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
O•••• I••••••••• A•• O•••• I••••••••• U•
Legal name O•••• I••••••••• U• L••••••
Latest filing Apr 27, 2026
First filing on the tape Mar 7, 2014 · 36 filings
SEC status approved since Apr 21, 2014
RAUM
$18B
reported, Item 5.F
Discretionary
0.0%
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
138
106 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$18B as of Apr 27, 2026
Mar 31, 2015$3.1B then
HNW client RAUM$0 as of Apr 27, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 27, 2026
Mar 31, 20150 then
Employees (5.A)138 as of Apr 27, 2026
Mar 31, 201557 then
Private funds3 as of Apr 27, 2026
Mar 31, 20151 then
RAUM -0.2% over the last fiscal year+2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 27, 2026; 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
- $1.4BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 52%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
- -0.2%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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $8.5B, 12 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$9.3B52%
- Pooled investment vehicles$8.5B48%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.5B for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.48 institutional_share=0.52 related_bd=false related_bank=true bd_reps=0.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• S•••••••• H••••••• B•••no longer reported | Other Private Fund | $3.7B | 1 | Mar 30, 2016 |
| B••••••• S•••••• H••••••• B•••no longer reported | Other Private Fund | $1.4B | 5 | Mar 31, 2015 |
| B••••••• T••••• P••••• B•••no longer reported | Other Private Fund | $1.1B | 1 | Mar 30, 2016 |
| B••••••• A•• H••••••• B••• | Hedge Fund | $523M | 3 | Mar 30, 2016 |
| C•••• F••• U• L• | Private Equity Fund | $434M | 5 | Mar 30, 2022 |
| F••••••••• F••• U•• L• | Private Equity Fund | $276M | 10 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••• · Chief Financial Officercontrolsince 09/2018 · owns less than 5%
- G•••• P••••• D•••• · Managing Director And Director, Oiuscontrolsince 07/2021 · owns less than 5%
- H••••••• B•••••••• P• · Director, Legal And Director, Oiuscontrolsince 12/2023 · owns less than 5%
- K••••••••• I•••• · Senior Managing Director, Global Head Of Strategic Partnerships, And President And Director, Oiuscontrolsince 09/2022 · owns less than 5%
- K•••••••• J•••• C•••••• · Senior Managing Director And Director, Oiuscontrolsince 05/2018 · owns less than 5%
- M••••••••• B••••• F•••••• · Managing Director, Legal, Secretary, And Director, Oiuscontrolsince 03/2021 · owns less than 5%
- O•••••• K••••••••• L• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- S••••••• B••••• S• · Director, Head Of Esgcontrolsince 07/2021 · owns less than 5%
- C••••••• C••••••••• R••••• · Shareholdercontrolsince 03/2021 · owns 25% to 50% of B••••••• H••••••• T•••• M••••••••• I•••
- H•••• J••••• W••••• · Shareholdercontrolsince 03/2021 · owns 25% to 50% of B••••••• H••••••• T•••• M••••••••• I•••
- M••••••• G•••••• G•••••• T••••• · Shareholdercontrolsince 01/2001 · owns 25% to 50% of B••••••• H••••••• T•••• M••••••••• I•••
- R•••••••• R•••••• G••••• · Shareholdercontrolsince 03/2007 · owns 25% to 50% of B••••••• H••••••• T•••• M••••••••• I•••
Entity owners
- O•••• I••••••••• M••••••••• I••• · Shareholderdirect · owns 75% or more
- B••••••• H••••••• T•••• M••••••••• I••• · Trusteeindirect · owns F of B•• R••• E••••• H••••••• T••••
- B•• P••••••••• L••• · Shareholderindirect · owns 75% or more of O•••• C•••••• C•••••••••
- B•• R••• E••••• H••••••• T•••• · Shareholderindirect · owns 50% to 75% of B•• P••••••••• L•••
- O•••• A••••••••• C••••••••• · Shareholderindirect · owns 25% to 50% of B•• P••••••••• L•••
- O•••• C•••••• C••••••••• · Shareholderindirect · owns 75% or more of O•••• I••••••••• M••••••••• I•••
Related persons
Schedule D 7.A
- C•••• G• L••bankpooled vehicle sponsorn
- F••••••••• G• I•••bankpooled vehicle sponsorn
- O•••• A••• P••• L•••investment advisern
- O•••• I••••••••• A•••••••• P•• L••••••investment advisern
- O•••• I••••••••• E••••• L••••••investment advisern
- O•••• I••••••••• M••••••••• I•••investment adviserbanky
- O•••• V••••••• M••••••••• I•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (134 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $5B to $20B (134) · 0.0% percentile
- employee count dropChange between filings · filing Apr 27, 2026employees (Item 5.A) moved from 221.0 to 138.0 (-38.0%) between the annual amendments of 2025-03-28 and 2026-04-27; the peer median change was 0.0% (108 comparable advisers, 0.0th percentile of changes)peers: other advisers, $5B to $20B (108) · 0.0% percentile
What changed
consecutive filings, newest first
- Assets in custody · $8.4B to $8.5BMar 25, 2026 to Apr 27, 2026
- Non-discretionary RAUM · $18B to $18BMar 25, 2026 to Apr 27, 2026
- Pooled vehicle RAUM · $8.4B to $8.5BMar 25, 2026 to Apr 27, 2026
- RAUM · $18B to $18BMar 25, 2026 to Apr 27, 2026
- Advisory employees · 105 to 106Jul 7, 2025 to Mar 25, 2026
- Assets in custody · $8.7B to $8.4BJul 7, 2025 to Mar 25, 2026
- Employees · 221 to 138Jul 7, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $18B to $18BJul 7, 2025 to Mar 25, 2026
- Pension RAUM · $9.2B to $9.3BJul 7, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $8.7B to $8.4BJul 7, 2025 to Mar 25, 2026
- RAUM · $18B to $18BJul 7, 2025 to Mar 25, 2026
- Financial planning clients · unset to Jun 9, 2025 to Jul 7, 2025
- Accounts · 14 to 13Sep 16, 2024 to Mar 28, 2025
- Advisory employees · 122 to 105Sep 16, 2024 to Mar 28, 2025
- Pooled vehicle clients · 13 to 12Sep 16, 2024 to Mar 28, 2025
- Assets in custody · $9.7B to $8.7BSep 16, 2024 to Mar 28, 2025
- Employees · 225 to 221Sep 16, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $17B to $18BSep 16, 2024 to Mar 28, 2025
- Pension RAUM · $7.5B to $9.2BSep 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $9.7B to $8.7BSep 16, 2024 to Mar 28, 2025
- RAUM · $17B to $18BSep 16, 2024 to Mar 28, 2025
- Assets in custody · $9.7B to $9.7BMar 28, 2024 to May 1, 2024
- Non-discretionary RAUM · $17B to $17BMar 28, 2024 to May 1, 2024
- Pooled vehicle RAUM · $9.7B to $9.7BMar 28, 2024 to May 1, 2024
- RAUM · $17B to $17BMar 28, 2024 to May 1, 2024
- Accounts · 13 to 14Feb 2, 2024 to Mar 28, 2024
- Advisory employees · 222 to 122Feb 2, 2024 to Mar 28, 2024
- Pooled vehicle clients · 12 to 13Feb 2, 2024 to Mar 28, 2024
- Assets in custody · $9.2B to $9.7BFeb 2, 2024 to Mar 28, 2024
- Employees · 222 to 225Feb 2, 2024 to Mar 28, 2024
- Private funds · 2 to 3Feb 2, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $17B to $17BFeb 2, 2024 to Mar 28, 2024
- Pension RAUM · $7.5B to $7.5BFeb 2, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $9.2B to $9.7BFeb 2, 2024 to Mar 28, 2024
- RAUM · $17B to $17BFeb 2, 2024 to Mar 28, 2024
- Assets in custody · $9.2B to $9.2BMar 31, 2023 to May 9, 2023
- Non-discretionary RAUM · $17B to $17BMar 31, 2023 to May 9, 2023
- Pooled vehicle RAUM · $9.2B to $9.2BMar 31, 2023 to May 9, 2023
- RAUM · $17B to $17BMar 31, 2023 to May 9, 2023
- Advisory employees · 161 to 222Jan 18, 2023 to Mar 31, 2023
Signals
30 dated events
- L Katharine Ostrow (Chief Compliance Officer) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Sep 16, 2024 · Control person joined · fact
- Ann K•••• H••••••••• (Chief Compliance Officer) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2024-05-01, absent 2024-09-16)Sep 16, 2024 · Control person left · inference
- P B••••••• Haskins (Director, Legal And Director, Oius) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Feb 2, 2024 · Control person joined · fact
- Simoes Gisele Everett (Senior Managing Director And Director, Oius) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2023-07-21, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- Ellen Jennifer Guerard (Senior Managing Director, Head Of Legal And Assistant Secretary, Oius) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2023-07-21, absent 2024-02-02)Feb 2, 2024 · Control person left · inference
- Ann K•••• H••••••••• (Chief Compliance Officer) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jul 21, 2023 · Control person joined · fact
- A Angelique Kournetas Trapani (Chief Compliance Officer) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2023-06-01, absent 2023-07-21)Jul 21, 2023 · Control person left · inference
- W••••• J•••• H••• (Shareholder) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jun 1, 2023 · Control person joined · fact
- G••••• R••••• R••••••• (Shareholder) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jun 1, 2023 · Control person joined · fact
- G•••••• T••••• G••••• Mcgrath (Shareholder) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jun 1, 2023 · Control person joined · fact
- R••••• C••••••••• C•••••• (Shareholder) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jun 1, 2023 · Control person joined · fact
- S Bruce Schlein (Director, Head Of Esg) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Mar 31, 2023 · Control person joined · fact
- C•••••••• A••••••• W•••••• (Director) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2023-01-18, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- C•••• A••••••• H••• (Director) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2023-01-18, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Irini Kalamakis (Senior Managing Director, Global Head Of Strategic Partnerships, And President And Director, Oius) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Mar 31, 2023 · Control person joined · fact
- K••••••• M•••• V••••• (Chief Compliance Officer) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2022-03-30, absent 2023-01-18)Jan 18, 2023 · Control person left · inference
- Angelique Kournetas Trapani (Chief Compliance Officer) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jan 18, 2023 · Control person joined · fact
- O•••• I••••••••• A•• O•••• I••••••••• U• reported RAUM $16.9B, up 94% from $8.7B (2021-07-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- C•••• A••••••• H••• (Director) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jul 30, 2021 · Control person joined · fact
- M••••• J••• C•••••• (Director) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2021-04-19, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- D•••• P•••• G••• (Director) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Jul 30, 2021 · Control person joined · fact
- C•••••••• A••••••• W•••••• (Director) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Mar 30, 2021 · Control person joined · fact
- John Michael Ryder (Director) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Simoes Gisele Everett (Senior Managing Director, Americas) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Mar 30, 2021 · Control person joined · fact
- G•••••• B••••••• F••••••• S•••• (Director) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2020-03-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- C•••••• M•••• M••••••• (Director, Legal & Secretary) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Ann C•••••••• Sharp (Chief Compliance Officer) no longer on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U• (listed 2018-09-10, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- K••••••• M•••• V••••• (Chief Compliance Officer) appeared on Schedule A of O•••• I••••••••• A•• O•••• I••••••••• U•Mar 29, 2019 · Control person joined · fact
- O•••• I••••••••• A•• O•••• I••••••••• U• reported RAUM $8.2B, down 30% from $11.7B (2017-09-07 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- •••••••• I••••••••• • ••••••••• filed its initial SEC registration (Form ADV)Mar 7, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•••• I••••••••• A•• O•••• I••••••••• U• · Independent Sponsorsshared crd · capital_provider
- O•••• I••••••••• a•• O•••• I••••••••• U• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/borealis-infrastructure/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-376-3100reportedpublic record, Form ADV, Apr 27, 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
- Other 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