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••••••••• A•••• M••••••••• C•••••••••

Former SEC-registered adviserChristiansted, VICRD 168897SEC 801-78684IAPD
Latest filing May 17, 2021
First filing on the tape Oct 4, 2013 · 13 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$103M as of Mar 31, 2020
Mar 31, 2014$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20140 then
Employees (5.A)16 as of Mar 31, 2021
Mar 31, 201410 then
Private funds: 1
RAUM n/a over the last fiscal yearIARs 0 to 0offices 3 to 1
Practice profile
derived from the filing of May 17, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • 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)
  • controlled by a public reporting company (10.A)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      A••• R••• E••••• S••••••••• F•••Real Estate Fund$01Jan 29, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• R••••••• C••••••• · Directorcontrol
        since 06/2015 · owns less than 5%
      • D• J••••• J•••• P•••• · Directorcontrol
        since 12/2016 · owns less than 5%
      • E•••••••• J•••• A• · Directorcontrol
        since 06/2019 · owns less than 5%
      • M•••••••• T•••••• K•••• · Chief Executive Officercontrol
        since 04/2021 · owns less than 5%
      • P••••• C••••••••• A••••• · Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Bangalore, India1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2.0 to unset
        Jan 29, 2021 to Mar 31, 2021
      • Assets in custody · 103140000.0 to unset
        Jan 29, 2021 to Mar 31, 2021
      • Discretionary RAUM · 0.0 to unset
        Jan 29, 2021 to Mar 31, 2021
      • Non-discretionary RAUM · 103140000.0 to unset
        Jan 29, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $100M to $0
        Jan 29, 2021 to Mar 31, 2021
      • RAUM · 103140000.0 to unset
        Jan 29, 2021 to Mar 31, 2021
      • Advisory employees · 12 to 6
        Mar 31, 2020 to Jan 29, 2021
      • Custody of client assets · true to false
        Mar 31, 2020 to Jan 29, 2021
      • Employees · 101 to 16
        Mar 31, 2020 to Jan 29, 2021
      • Other offices · 3 to 1
        Mar 31, 2020 to Jan 29, 2021
      • Private funds · unset to 1
        Mar 31, 2020 to Jan 29, 2021
      • Assets in custody · $135M to $103M
        Mar 28, 2019 to Mar 31, 2020
      • Employees · 103 to 101
        Mar 28, 2019 to Mar 31, 2020
      • Other offices · 4 to 3
        Mar 28, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $135M to $103M
        Mar 28, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $132M to $100M
        Mar 28, 2019 to Mar 31, 2020
      • RAUM · $135M to $103M
        Mar 28, 2019 to Mar 31, 2020
      • Assets in custody · $176M to $135M
        Jun 11, 2018 to Mar 28, 2019
      • Employees · 65 to 103
        Jun 11, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $176M to $135M
        Jun 11, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $173M to $132M
        Jun 11, 2018 to Mar 28, 2019
      • RAUM · $176M to $135M
        Jun 11, 2018 to Mar 28, 2019
      • Advisory employees · 10 to 12
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $703M to $176M
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 55 to 65
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 4.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $703M to $176M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 172990000.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $703M to $176M
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $2.5B to $703M
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 47 to 55
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $2.5B to $703M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $2.5B to $703M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $2.7B to $2.5B
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 10 to 47
        Mar 31, 2015 to Mar 30, 2016
      • HQ city · FREDERIKSTED to CHRISTIANSTED
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $2.7B to $2.5B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $2.7B to $2.5B
        Mar 31, 2015 to Mar 30, 2016
      Signals
      16 dated events
      • David Christopher Moltke-Hansen (Chief Financial Officer) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2021-03-31, absent 2021-05-17)
        May 17, 2021 · Control person left · inference
      • K•••• T••••• Mccarthy (Chief Executive Officer) appeared on Schedule A of A••••••••• A•••• M••••••••• C•••••••••
        May 17, 2021 · Control person joined · fact
      • Indroneel Chatterjee (Director, Chief Executive Officer And President) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2021-03-31, absent 2021-05-17)
        May 17, 2021 · Control person left · inference
      • G••••• P•••• S••••• (General Counsel And Secretary) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2021-03-31, absent 2021-05-17)
        May 17, 2021 · Control person left · inference
      • Henry Stephen Gray (General Counsel And Secretary; Chief Compliance Officer) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2020-03-31, absent 2021-01-29)
        Jan 29, 2021 · Control person left · inference
      • Neil Robin Lowe (Chief Financial Officer) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2020-03-31, absent 2021-01-29)
        Jan 29, 2021 · Control person left · inference
      • G George Ellison (Chairman And Co-Chief Executive Officer) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2020-03-31, absent 2021-01-29)
        Jan 29, 2021 · Control person left · inference
      • Rene Dittrich (Chief Accounting Officer) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2020-03-31, absent 2021-01-29)
        Jan 29, 2021 · Control person left · inference
      • G••••• P•••• S••••• (General Counsel And Secretary) appeared on Schedule A of A••••••••• A•••• M••••••••• C•••••••••
        Jan 29, 2021 · Control person joined · fact
      • Andrew Constantine Pelos (Chief Compliance Officer) appeared on Schedule A of A••••••••• A•••• M••••••••• C•••••••••
        Jan 29, 2021 · Control person joined · fact
      • David Christopher Moltke-Hansen (Chief Financial Officer) appeared on Schedule A of A••••••••• A•••• M••••••••• C•••••••••
        Jan 29, 2021 · Control person joined · fact
      • A John Engerman (Director) appeared on Schedule A of A••••••••• A•••• M••••••••• C•••••••••
        Mar 31, 2020 · Control person joined · fact
      • Indroneel Chatterjee (Director, Co-Chief Executive Officer And President) appeared on Schedule A of A••••••••• A•••• M••••••••• C•••••••••
        Mar 31, 2020 · Control person joined · fact
      • Nathaniel Redleaf (Director) no longer on Schedule A of A••••••••• A•••• M••••••••• C••••••••• (listed 2019-03-28, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • A••••••••• A•••• M••••••••• C••••••••• reported RAUM $175.8M, down 75% from $702.6M (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • A••••••••• A•••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)
        Oct 4, 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••••••••• A•••• M••••••••• C••••••••• 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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