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
I•••••• G••••• I••••••••• M••••••••• L•••
Latest filing Jan 28, 2017
First filing on the tape Jan 24, 2014 · 5 filings
RAUM
$4.1B
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$4.1B as of Jan 28, 2017
Jan 28, 2015$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2017
Jan 28, 20150 then
Employees (5.A)4 as of Jan 28, 2017
Jan 28, 20153 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 2017; 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
- $172MderivedRAUM 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
- +11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 24reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••• · Risk Manager And Chief Compliance Officercontrolsince 06/2012 · owns less than 5%
- B•••••••• F••••••• · Directorcontrolsince 06/2010 · owns less than 5%
- C••••••••• J••••• · Directorcontrolsince 06/2010 · owns less than 5%
- P••••••• G•••••• · Directorcontrolsince 07/2014 · owns less than 5%
- S••••••• S•••••• · Directorcontrolsince 07/2014 · owns less than 5%
- U•••• X••••• · Director And Chief Executive Officercontrolsince 07/2013 · owns less than 5%
Entity owners
- N••••• G••••• H••••••• L••• · Owner Of 100% Of Voting Shares Of I•••••• G••••• I••••••••• M••••••••• L•••direct · owns 75% or more
- N••••••• B••• O• C••••• · 100% Owner Of N••••• Global Holdings Ltdindirect · owns 75% or more of N••••• Global Holdings Ltd
Related persons
Schedule D 7.A
- I•••••• G••• G• I•••pooled vehicle sponsorn
- I•••••• G••• G• I•••pooled vehicle sponsorn
- I•••••• I••••••••• M••••••••• I•••investment advisernRAUM $2.6B
- I•••••• T••• G• I•••pooled vehicle sponsorn
- N••••••• B••• F•••••••• I•••broker-dealern
- N••••••• B••• O• C•••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 21 to 24Jan 27, 2016 to Jan 28, 2017
- Discretionary RAUM · $3.7B to $4.1BJan 27, 2016 to Jan 28, 2017
- RAUM · $3.7B to $4.1BJan 27, 2016 to Jan 28, 2017
- Accounts · 15 to 21Jan 28, 2015 to Jan 27, 2016
- Advisory employees · 3 to 4Jan 28, 2015 to Jan 27, 2016
- Employees · 3 to 4Jan 28, 2015 to Jan 27, 2016
- Discretionary RAUM · $2.2B to $3.7BJan 28, 2015 to Jan 27, 2016
- RAUM · $2.2B to $3.7BJan 28, 2015 to Jan 27, 2016
- Accounts · 4 to 15Feb 21, 2014 to Jan 28, 2015
- Discretionary RAUM · $1.8B to $2.2BFeb 21, 2014 to Jan 28, 2015
- RAUM · $1.8B to $2.2BFeb 21, 2014 to Jan 28, 2015
Signals
1 dated events
- I•••••• G••••• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jan 24, 2014 · 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