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•••••• C•••••• ••• L•

Former SEC-registered adviserCRD 281436SEC 801-108559IAPD
Latest filing Mar 16, 2017
First filing on the tape Oct 14, 2016 · 2 filings
RAUM
$190M
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$190M gross assets
History
2 filings and snapshots on the tape
RAUM$190M as of Mar 16, 2017
Oct 14, 2016$233M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2017
Oct 14, 20160 then
Employees (5.A)7 as of Mar 16, 2017
Oct 14, 20165 then
Private funds1 as of Mar 16, 2017
Oct 14, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 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
$63.5MderivedRAUM 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
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
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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
3reported
Financial planning clients
n/areported
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
      I•••••• G••••• M••••• F••• L••••••Hedge Fund$190M36Nov 13, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• A•••• M•••••• · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • G•••••••• M••••••• T••••••••• · Partnercontrol
        since 06/2013 · owns 25% to 50%
      • M•••• M•••••• N•• · Partnercontrol
        since 06/2013 · owns 10% to 25%
      • M•••••• G•••••• R•••••• · Partnercontrol
        since 06/2013 · owns 10% to 25%
      • G•••••••• M••••••• T••••••••• · Partnercontrol
        since 01/2013 · owns 50% to 75% of I•••••• L••••••
      • M•••• M••••• · Partnercontrol
        since 01/2013 · owns 25% to 50% of I•••••• L••••••
      Entity owners
      • I•••••• C•••••• G• L•••••• · General Partner
        direct · owns 25% to 50%
      • I•••••• L•••••• · Owner
        indirect · owns 75% or more of I•••••• C•••••• G• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list I•••••• C•••••• ••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Oct 14, 2016 to Mar 16, 2017
      • Employees · 5 to 7
        Oct 14, 2016 to Mar 16, 2017
      • Discretionary RAUM · $233M to $190M
        Oct 14, 2016 to Mar 16, 2017
      • RAUM · $233M to $190M
        Oct 14, 2016 to Mar 16, 2017
      Signals
      1 dated events
      • I•••••• C•••••• ••• L• filed its initial SEC registration (Form ADV)
        Oct 14, 2016 · 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