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

U••••• G••••• A•••••••• L••

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 167809SEC 801-78081IAPD
Latest filing Oct 15, 2013
First filing on the tape May 13, 2013 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$0 as of Oct 15, 2013
May 13, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Oct 15, 2013
May 13, 20130 then
Employees (5.A)2 as of Oct 15, 2013
May 13, 20131 then
Private funds1 as of Oct 15, 2013
Sep 12, 20131 then
Practice profile
derived from the filing of Oct 15, 2013; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• J••••• A•••••Beverly Hills, CaJan 1, 202527 y2
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
A•• O• S•••••• L•Hedge Fund$00Sep 12, 2013
Owners and control persons
Schedule A and B, latest filing
  • A•••••• D••••• J••••• · Managing Member/Chief Compliance Officercontrol
    since 06/2013 · owns 50% to 75%
  • V••••• I••• · Managing Membercontrol
    since 06/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
  • U••••• G••••• F•••• G•• L••
    bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 2
    Sep 5, 2013 to Sep 12, 2013
  • Advisory activities · 1 to 2
    Sep 5, 2013 to Sep 12, 2013
  • Assets in custody · unset to 0.0
    Sep 5, 2013 to Sep 12, 2013
  • Custody of client assets · false to true
    Sep 5, 2013 to Sep 12, 2013
  • Employees · 3 to 2
    Sep 5, 2013 to Sep 12, 2013
  • State-registered IARs · 3 to 2
    Sep 5, 2013 to Sep 12, 2013
  • Private funds · unset to 1
    Sep 5, 2013 to Sep 12, 2013
  • Related bank · false to true
    Sep 5, 2013 to Sep 12, 2013
  • Advisory employees · 0 to 3
    Jun 7, 2013 to Jun 28, 2013
  • Employees · 1 to 3
    Jun 7, 2013 to Jun 28, 2013
  • HQ city · LOS ANGELES to BEVERLY HILLS
    Jun 7, 2013 to Jun 28, 2013
  • State-registered IARs · 0 to 3
    Jun 7, 2013 to Jun 28, 2013
Signals
1 dated events
  • U••••• G••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    May 13, 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.
How to reach
public business contact points only, each with its source
Website
UGADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
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