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

A•• R••• E••••• I••••••••• M••••••• U• L••

Former SEC-registered adviserNew York, New YorkCRD 167667SEC 801-78411IAPD
Latest filing Mar 31, 2021
First filing on the tape Aug 1, 2013 · 17 filings
RAUM
$12B
reported, Item 5.F
Discretionary
0.7%
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
40
35 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$12B as of Mar 31, 2021
Mar 29, 2014$727M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 29, 20140 then
Employees (5.A)40 as of Mar 31, 2021
Mar 29, 20148 then
Private funds: 1
RAUM +13% over the last fiscal year+147% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$1.3BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.7%derivedof RAUM
Institutional
90%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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 vehicles, otherreportedItem 5.G
Custody
$116M, 2 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$11B99%
  • Pooled investment vehicles$116M1.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$116M for 2 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• C•••••••• M••••••• F•••Other Private Fund$1.2M2Mar 22, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• L••••••• E••••••• · Director/Chairmancontrol
        since 09/2014 · owns less than 5%
      • L••••••• F••••• S••••• · Head Of US Commercial R••• E••••• Debtcontrol
        since 03/2020 · owns less than 5%
      • M•••••••• S••••••• D•••• · Head Of North America R••• Assets & Directorcontrol
        since 01/2017 · owns less than 5%
      • R••••• T••••••• · Directorcontrol
        since 10/2020 · owns less than 5%
      • T•••••• O••••••• M••• · Directorcontrol
        since 09/2019 · owns less than 5%
      • S••••• D••••• E••••• · Chief Compliance Officer
        since 01/2017 · owns less than 5%
      Entity owners
      • A•• R••• E••••• I••••••••• M••••••• S• · Member
        direct · owns 75% or more
      • A•• I••••••••• M••••••• S• · Shareholder
        indirect · owns 75% or more of A•• R••• E••••• I••••••••• M••••••• S•
      • A•• S• · Shareholder
        indirect · owns 75% or more of A•• I••••••••• M••••••• S•
      Related persons
      Schedule D 7.A
      • A•• I••••••••• M••••••• D••••••••• G•••
        investment advisern
      • A•• I••••••••• M••••••• G• L••••••
        investment advisern
      • Axa Investment M••••••S US Inc
        investment adviserbankpooled vehicle sponsornRAUM $79B
      • A•• I••••••••• M••••••• P•••• S•••
        investment advisern
      • A•• I••••••••• M••••••• S••••••••• A•
        investment advisern
      • A•• I••••••••• M••••••• U• L••
        investment advisern
      • A•• R••• E••••• I••••••••• M••••••• B••••••
        investment companyn
      • A•• R••• E••••• I••••••••• M••••••• F•••••
        investment companyn
      • A•• R••• E••••• I••••••••• M••••••• I•••••• S•
        investment companyn
      • A•• R••• E••••• I••••••••• M••••••• I••••• S••
        investment companyn
      • A•• R••• E••••• I••••••••• M••••••• J•••• K•
        investment adviserinvestment companyn
      • A•• R••• E••••• I••••••••• M••••••• L••••••••• S•
        insurancepooled vehicle sponsorn
      • A•• R••• E••••• I••••••••• M••••••• N•••••••• B•••
        investment companyn
      • A•• R••• E••••• I••••••••• M••••••• S••••••••• A•
        investment companyn
      • A•• R••• E••••• I••••••••• M••••••• S••
        investment advisern
      • A•• R••• E••••• I••••••••• M••••••• U• L••
        investment companyn
      • E••••• F•••• M••••••••• H••••••• P•• L••
        investment adviserinvestment companyn
      • U••• V•••••••• R••• E••••• C••• G•• L••
        pooled vehicle sponsory
      • U• 3• M••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Alpharetta, GA23 employees
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 4 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $119M to $116M
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 41 to 40
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 1 to unset
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $66.4M to $81.9M
        Mar 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $11B to $12B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $120M to $116M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $11B to $12B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 4 to 9
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 6 to 35
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $55.6M to $119M
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 15 to 41
        Mar 29, 2019 to Mar 30, 2020
      • Other offices · 0 to 1
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · unset to 1
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $0 to $66.4M
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $877M to $11B
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $55.2M to $120M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $877M to $11B
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 5 to 6
        Mar 30, 2018 to Mar 29, 2019
      • BD registered reps · 2 to 1
        Mar 30, 2018 to Mar 29, 2019
      • Assets in custody · $796M to $55.6M
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 16 to 15
        Mar 30, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $796M to $877M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $55.1M to $55.2M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $796M to $877M
        Mar 30, 2018 to Mar 29, 2019
      • Assets in custody · $660M to $796M
        Dec 14, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $587M to $796M
        Dec 14, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · $55.0M to $55.1M
        Dec 14, 2017 to Mar 30, 2018
      • RAUM · $587M to $796M
        Dec 14, 2017 to Mar 30, 2018
      • Related insurance company · false to true
        Dec 14, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 4, 2017 to Dec 14, 2017
      • Assets in custody · $408M to $660M
        Aug 4, 2017 to Dec 14, 2017
      • Employees · 13 to 16
        Aug 4, 2017 to Dec 14, 2017
      • Other offices · unset to 0.0
        Aug 4, 2017 to Dec 14, 2017
      • Non-discretionary RAUM · $302M to $587M
        Aug 4, 2017 to Dec 14, 2017
      • Pooled vehicle RAUM · unset to 54955100.0
        Aug 4, 2017 to Dec 14, 2017
      • RAUM · $302M to $587M
        Aug 4, 2017 to Dec 14, 2017
      • Advisory employees · 2 to 5
        Jan 10, 2017 to Mar 30, 2017
      • Advisory activities · 2 to 3
        Jan 10, 2017 to Mar 30, 2017
      Signals
      7 dated events
      • Timothee Rauly (Director) appeared on Schedule A of A•• R••• E••••• I••••••••• M••••••• U• L••
        Mar 31, 2021 · Control person joined · fact
      • A•• R••• E••••• I••••••••• M••••••• U• L•• reported RAUM $10.6B, up 1105% from $877.0M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Marc Olivier Thoral (Director) appeared on Schedule A of A•• R••• E••••• I••••••••• M••••••• U• L••
        Mar 30, 2020 · Control person joined · fact
      • Steven Frank Linneen (Head Of Us Commercial Real Estate Debt) appeared on Schedule A of A•• R••• E••••• I••••••••• M••••••• U• L••
        Mar 30, 2020 · Control person joined · fact
      • J••••• A••••• S•••••• (Director) no longer on Schedule A of A•• R••• E••••• I••••••••• M••••••• U• L•• (listed 2019-03-29, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • A•• R••• E••••• I••••••••• M••••••• U• L•• reported RAUM $796.3M, up 36% from $587.2M (2017-12-14 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • A•• R••• E••••• I••••••••• M••••••• U• L•• filed its initial SEC registration (Form ADV)
        Aug 1, 2013 · 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

      A•• R••• E••••• I••••••••• M••••••• U• 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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