DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

R•••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 165849SEC 801-77291IAPD
Latest filing Jun 16, 2016
First filing on the tape Oct 19, 2012 · 8 filings
RAUM
$380M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$101M gross assets
History
8 filings and snapshots on the tape
RAUM$380M as of Mar 30, 2016
Jan 22, 2013$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Jan 22, 20130 then
Employees (5.A)12 as of Mar 30, 2016
Jan 22, 20135 then
Private funds3 as of Mar 30, 2016
Mar 27, 20141 then
RAUM +4.2% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 16, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$94.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$101M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$101M for 3 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R• M••••••••• I•••••••• L••Real Estate Fund$84.5M5Mar 27, 2015
      K••••• R•••• V••• I•••••••• L••Real Estate Fund$16.2M3Mar 30, 2016
      R• D••••••••• I•••••••• L••Real Estate Fund$610,00015Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• S••••••• L••••••• · Chief Operating Officercontrol
        since 07/2011 · owns less than 5%
      • S••••••• E••••• A•••••••• · Chief Compliance Officercontrol
        since 09/2013 · owns less than 5%
      Entity owners
      • N•• Y••• M••••••• F••••••• L•• · Member
        direct · owns 75% or more
      • N•• Y••• M••••••• T••••• I••• · Sole Member
        indirect · owns 75% or more of N•• Y••• M••••••• F••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • D••••• F••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Mar 27, 2015 to Mar 30, 2016
      • Assets in custody · $83.1M to $101M
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 10 to 12
        Mar 27, 2015 to Mar 30, 2016
      • Private funds · 2 to 3
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $364M to $380M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $364M to $380M
        Mar 27, 2015 to Mar 30, 2016
      • Assets in custody · $1.7M to $83.1M
        Oct 21, 2014 to Mar 27, 2015
      • Employees · 8 to 10
        Oct 21, 2014 to Mar 27, 2015
      • Private funds · 1 to 2
        Oct 21, 2014 to Mar 27, 2015
      • Discretionary RAUM · $298M to $364M
        Oct 21, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $69.4M to $0
        Oct 21, 2014 to Mar 27, 2015
      • RAUM · $367M to $364M
        Oct 21, 2014 to Mar 27, 2015
      • Accounts · 2 to 3
        Jan 22, 2013 to Mar 27, 2014
      • Advisory employees · 2 to 3
        Jan 22, 2013 to Mar 27, 2014
      • Advisory activities · 2 to 3
        Jan 22, 2013 to Mar 27, 2014
      • Assets in custody · $0 to $1.7M
        Jan 22, 2013 to Mar 27, 2014
      • Custody of client assets · false to true
        Jan 22, 2013 to Mar 27, 2014
      • Employees · 5 to 8
        Jan 22, 2013 to Mar 27, 2014
      • Private funds · unset to 1
        Jan 22, 2013 to Mar 27, 2014
      • Discretionary RAUM · $198M to $298M
        Jan 22, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $66.0M to $69.4M
        Jan 22, 2013 to Mar 27, 2014
      • RAUM · $264M to $367M
        Jan 22, 2013 to Mar 27, 2014
      • Advisory employees · unset to 2.0
        Oct 23, 2012 to Jan 22, 2013
      • BD registered reps · unset to 0.0
        Oct 23, 2012 to Jan 22, 2013
      • Employees · unset to 5.0
        Oct 23, 2012 to Jan 22, 2013
      • State-registered IARs · unset to 0.0
        Oct 23, 2012 to Jan 22, 2013
      • Discretionary RAUM · $120M to $198M
        Oct 23, 2012 to Jan 22, 2013
      • Non-discretionary RAUM · $75.0M to $66.0M
        Oct 23, 2012 to Jan 22, 2013
      • RAUM · $195M to $264M
        Oct 23, 2012 to Jan 22, 2013
      Signals
      1 dated events
      • R•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 19, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      R•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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