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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
U••• C•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Oct 10, 2016 · 28 filings
SEC status approved since Nov 3, 2016
RAUM
$691M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
34%
$232M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$691M as of Mar 30, 2026
Jan 4, 2017$53.8M then
HNW client RAUM$225M as of Mar 30, 2026
Mar 29, 2018$74.8M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 4, 20170 then
Employees (5.A)8 as of Mar 30, 2026
Jan 4, 20177 then
Private funds2 as of Mar 30, 2026
Jan 4, 20171 then
RAUM +119% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $6.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 42%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
- +119%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$279M41%
- High-net-worth individuals$225M33%
- Pooled investment vehicles$144M21%
- Corporations and businesses$12.3M1.8%
- Pension and profit-sharing plans$10.3M1.5%
- Individuals$6.6M1.0%
- Individual clients
- 20reported
- HNW clients
- 68reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 115reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.34 fund_share=0.21 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U••• A••••••••• F••• L•• | Hedge Fund | $17.7M | 15 | Dec 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• R•••••• V•••••• · Chief Compliance Officercontrolsince 10/2016 · owns less than 5%
- A••••••• J•••• A•••••• · Chairman, Ceo, Ciocontrolsince 06/2012 · owns less than 5%
- A••••••• R••••••• G••••• A•••••••• · Partnercontrolsince 01/2023 · owns less than 5%
- A••••••• J•••• A•••••• · Limited Partnercontrolsince 04/2012 · owns 75% or more of A•••••• F••••• H••••••• L•••
Entity owners
- U••• H••••••• L••• · Memberdirect · owns 75% or more
- A•••••• F••••• H••••••• L••• · Memberindirect · owns 75% or more of A•••••• Holdings LLC
- A•••••• H•••••••• L•• · Limited Partnerindirect · owns 75% or more of U••• H••••••• L•••
- E••••• O• P•••• P• N•••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- U••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 30, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $315,428,036 to $691,463,102, advisors 0 to 0, private clients 90 to 88, offices 0 to 0 (2025-03-27 to 2026-03-30)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 66.0% to 33.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $315,428,036 to $691,463,102 (+119.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +16.0% (1385 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 99% percentile
- client mix shiftChange between filings · filing Mar 30, 2026private-client share of RAUM moved from 70.0% to 34.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 22.0% to 44.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 105 to 115Sep 4, 2025 to Mar 30, 2026
- Advisory employees · 5 to 6Sep 4, 2025 to Mar 30, 2026
- Charity clients · 1 to 4Sep 4, 2025 to Mar 30, 2026
- HNW clients · 61 to 68Sep 4, 2025 to Mar 30, 2026
- Individual clients · 29 to 20Sep 4, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Sep 4, 2025 to Mar 30, 2026
- Employees · 6 to 8Sep 4, 2025 to Mar 30, 2026
- Private funds · 1 to 2Sep 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $315M to $691MSep 4, 2025 to Mar 30, 2026
- HNW RAUM · $208M to $225MSep 4, 2025 to Mar 30, 2026
- Individual RAUM · $11.4M to $6.6MSep 4, 2025 to Mar 30, 2026
- Pension RAUM · $8.6M to $10.3MSep 4, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $20.8M to $144MSep 4, 2025 to Mar 30, 2026
- RAUM · $315M to $691MSep 4, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 4, 2025
- Accounts · 97 to 105Sep 16, 2024 to Mar 27, 2025
- Charity clients · unset to 1.0Sep 16, 2024 to Mar 27, 2025
- Corporate clients · unset to 1.0Sep 16, 2024 to Mar 27, 2025
- HNW clients · 62 to 61Sep 16, 2024 to Mar 27, 2025
- Individual clients · 30 to 29Sep 16, 2024 to Mar 27, 2025
- Pension plan clients · unset to 3.0Sep 16, 2024 to Mar 27, 2025
- Discretionary RAUM · $220M to $315MSep 16, 2024 to Mar 27, 2025
- HNW RAUM · $172M to $208MSep 16, 2024 to Mar 27, 2025
- Individual RAUM · $8.8M to $11.4MSep 16, 2024 to Mar 27, 2025
- Pension RAUM · $9.0M to $8.6MSep 16, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $17.7M to $20.8MSep 16, 2024 to Mar 27, 2025
- RAUM · $220M to $315MSep 16, 2024 to Mar 27, 2025
- Accounts · 99 to 97Mar 30, 2023 to Mar 26, 2024
- HNW clients · 63 to 62Mar 30, 2023 to Mar 26, 2024
- Pension plan clients · 4.0 to unsetMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $188M to $220MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $146M to $172MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $6.9M to $8.8MMar 30, 2023 to Mar 26, 2024
- Pension RAUM · $9.3M to $9.0MMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $15.5M to $17.7MMar 30, 2023 to Mar 26, 2024
- RAUM · $188M to $220MMar 30, 2023 to Mar 26, 2024
- Accounts · 219 to 99Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 4 to 5Nov 4, 2022 to Mar 30, 2023
- HNW clients · 66 to 63Nov 4, 2022 to Mar 30, 2023
- Individual clients · 32 to 30Nov 4, 2022 to Mar 30, 2023
Signals
3 dated events
- U••• C•••••• L•• reported RAUM $691.5M, up 119% from $315.4M (2025-09-04 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- G••••• A•••••••• R•••••• A•••••• (Partner) appeared on Schedule A of U••• C•••••• L••Mar 30, 2023 · Control person joined · fact
- U••• C•••••• L•• filed its initial SEC registration (Form ADV)Oct 10, 2016 · 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.
How to reach
public business contact points only, each with its source
- Website
- U•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-920-2000reportedpublic record, Form ADV, Mar 30, 2026
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
- Wealth manager with institutional or fund businessderiveda 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