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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SEC-registered adviser
U• S••••• A•••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 24, 2015 · 36 filings
SEC status approved since Apr 10, 2015
RAUM
$459M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$459M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$459M as of Mar 9, 2026
Mar 24, 2016$139M then
HNW client RAUM$0 as of Mar 9, 2026
Mar 5, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 24, 20161 then
Employees (5.A)4 as of Mar 9, 2026
Mar 24, 20162 then
Private funds5 as of Mar 9, 2026
Mar 24, 20162 then
RAUM -0.9% over the last fiscal year-4.1% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $459MderivedRAUM 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
- $91.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$459M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• F•••••• D••••••Chartered Financial Analyst | Westfield, Nj | Dec 8, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U• S••••• P•••••• O••••••••• F••• I• | Private Equity Fund | $198M | 2 | Mar 5, 2018 |
| U• S••••• P•••••• O••••••••• F••• I•• | Private Equity Fund | $137M | 3 | Oct 3, 2016 |
| U••• S••••• D••••• P•••••• E••••• I•• L••• | Private Equity Fund | $73.7M | 2 | Mar 27, 2018 |
| U••• S••••• P•••••• O••••••••• F••• I•• L••• | Private Equity Fund | $60.5M | 2 | Mar 24, 2015 |
| U••• S••••• D••••• P•••••• E••••• •••• L• | Private Equity Fund | $17.0M | 2 | Mar 24, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••••• J••••• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- S••••• J•••••••• E•••• · Principalcontrolsince 05/2013 · owns less than 5%
Entity owners
- E•• O••••••••• P••• L••• · Holding Companydirect · owns 75% or more
- E•• F•••••••• G•••• L•••••• · Parent Companyindirect · owns 75% or more of E•• O••••••••• P••• L•••
Related persons
Schedule D 7.A
- A•broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 9, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-07-17, no on the filing of 2026-03-09peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Business name · U• S••••• A•••• M••••••••• I••• to U• S••••• A•••• M••••••••• L••Jul 17, 2025 to Mar 9, 2026
- Employees · 5 to 4Jul 17, 2025 to Mar 9, 2026
- HQ city · JERSEY CITY to Jul 17, 2025 to Mar 9, 2026
- HQ state · NJ to Jul 17, 2025 to Mar 9, 2026
- State-registered IARs · 2 to 1Jul 17, 2025 to Mar 9, 2026
- Legal name · U• S••••• A•••• M••••••••• I••• to U• S••••• A•••• M••••••••• L••Jul 17, 2025 to Mar 9, 2026
- Organization form · Corporation to Limited Liability CompanyJul 17, 2025 to Mar 9, 2026
- Discretionary RAUM · $463M to $459MJul 17, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $463M to $459MJul 17, 2025 to Mar 9, 2026
- RAUM · $463M to $459MJul 17, 2025 to Mar 9, 2026
- Financial planning clients · unset to Mar 6, 2025 to Jul 17, 2025
- Accounts · 4 to 5Dec 18, 2024 to Mar 6, 2025
- Advisory employees · 2 to 3Dec 18, 2024 to Mar 6, 2025
- Pooled vehicle clients · 4 to 5Dec 18, 2024 to Mar 6, 2025
- Employees · 7 to 5Dec 18, 2024 to Mar 6, 2025
- Financial planning clients · 0 to unsetDec 18, 2024 to Mar 6, 2025
- Discretionary RAUM · $513M to $463MDec 18, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $513M to $463MDec 18, 2024 to Mar 6, 2025
- RAUM · $513M to $463MDec 18, 2024 to Mar 6, 2025
- Related broker-dealer · true to falseDec 18, 2024 to Mar 6, 2025
- Accounts · 5 to 4Jan 10, 2024 to Mar 4, 2024
- Pooled vehicle clients · 5 to 4Jan 10, 2024 to Mar 4, 2024
- Assets in custody · 0.0 to unsetJan 10, 2024 to Mar 4, 2024
- Employees · 9 to 7Jan 10, 2024 to Mar 4, 2024
- State-registered IARs · 0 to 2Jan 10, 2024 to Mar 4, 2024
- Discretionary RAUM · $520M to $513MJan 10, 2024 to Mar 4, 2024
- Pooled vehicle RAUM · $520M to $513MJan 10, 2024 to Mar 4, 2024
- RAUM · $520M to $513MJan 10, 2024 to Mar 4, 2024
- Related adviser · true to falseJan 10, 2024 to Mar 4, 2024
- Related insurance company · true to falseJan 10, 2024 to Mar 4, 2024
- Business name · E•• A•••• M••••••••• U••• I••• to U• S••••• A•••• M••••••••• I•••Feb 27, 2023 to Jul 11, 2023
- Legal name · E•• A•••• M••••••••• U••• I••• to U• S••••• A•••• M••••••••• I•••Sep 30, 2022 to Feb 27, 2023
- Discretionary RAUM · $541M to $520MSep 30, 2022 to Feb 27, 2023
- Pooled vehicle RAUM · $541M to $520MSep 30, 2022 to Feb 27, 2023
- RAUM · $541M to $520MSep 30, 2022 to Feb 27, 2023
- Employees · 6 to 9Nov 11, 2021 to Mar 8, 2022
- HQ city · NEW YORK to JERSEY CITYNov 11, 2021 to Mar 8, 2022
- HQ state · NY to NJNov 11, 2021 to Mar 8, 2022
- Discretionary RAUM · $422M to $541MNov 11, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $422M to $541MNov 11, 2021 to Mar 8, 2022
Signals
7 dated events
- J••••• J••••• A•••• (Chief Compliance Officer) appeared on Schedule A of U• S••••• A•••• M••••••••• L••Dec 18, 2023 · Control person joined · fact
- Gen Alexander Maclachlan (President & Cco) no longer on Schedule A of U• S••••• A•••• M••••••••• L•• (listed 2023-02-27, absent 2023-07-11)Jul 11, 2023 · Control person left · inference
- U• S••••• A•••• M••••••••• L•• reported RAUM $541.0M, up 28% from $422.0M (2021-11-11 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- Cochrane Alan Dixon (Principal Shareholder) no longer on Schedule A of U• S••••• A•••• M••••••••• L•• (listed 2020-11-23, absent 2020-12-15)Dec 15, 2020 · Control person left · inference
- U• S••••• A•••• M••••••••• L•• reported RAUM $410.0M, up 39% from $295.0M (2018-04-30 to 2018-05-14)May 14, 2018 · RAUM change · derived
- U• S••••• A•••• M••••••••• L•• reported RAUM $295.0M, up 52% from $194.6M (2017-10-23 to 2018-03-05)Mar 5, 2018 · RAUM change · derived
- D•••• A•••• M••••••••• U•• filed its initial SEC registration (Form ADV)Mar 24, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- U• S••••• A•••• M••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212 480 2626reportedpublic record, Form ADV, Mar 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $459Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026