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••••••••• ••• L••
Latest filing Mar 28, 2024
First filing on the tape Dec 1, 2015 · 19 filings
RAUM
$1.5B
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
20
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.5B as of Mar 12, 2024
Mar 30, 2016$30.0M then
HNW client RAUM$17.5M as of Mar 22, 2023
Mar 29, 2018$102M then
State-registered IARs (5.B.3)0 as of Mar 12, 2024
Mar 30, 20160 then
Employees (5.A)20 as of Mar 12, 2024
Mar 30, 201627 then
Private funds: no history
RAUM -11% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
- $188MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 57%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
- -100%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$721M48%
- Pooled investment vehicles$416M28%
- Corporations and businesses$228M15%
- Pension and profit-sharing plans$137M9.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 8reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• A••••••• S•••••• · Ccocontrolsince 02/2010 · owns less than 5%
- M•••••• R••••• F•••••• · Executive Directorcontrolsince 09/2018 · owns less than 5%
- A•••• H•••• C•••••• M•••• · Directorcontrolsince 10/2022 · owns F of F•••• F•••••••••
- S••••••• B••••••• J••• · Directorcontrolsince 07/2011 · owns F of F•••• F•••••••••
- S••••••• Y•••••• · Directorcontrolsince 03/2020 · owns F of F•••• F•••••••••
- T•••••• D••••• E••••••• · Directorcontrolsince 03/2020 · owns F of F•••• F•••••••••
- W•••••• P••• · Chairmansince 01/2018 · owns less than 5%
Entity owners
- U••••••••• H•••••• S• · Shareholderdirect · owns 75% or more
- F•••• F••••••••• · Shareholderindirect · owns 25% to 50% of U••••••••• H•••••• S•
Related persons
Schedule D 7.A
- E••• C••••• I•• G• L••••••pooled vehicle sponsorn
- U•• C•• S•••••••• G• L••••••pooled vehicle sponsorn
- U••••••••• I••••••••• ••••••••• S•pooled vehicle sponsorn
- U••••••••• ••••••• G• L••••••pooled vehicle sponsorn
- U••••••••• ••• L••investment advisernRAUM $2.5B
- U••••••••• A••• P•• L••investment advisern
- U••••••••• A•••• M••••••••• ••••••• I•••investment advisern
- U••••••••• A•••• M••••••••• ••••••• S•investment advisern
- U••••••••• G• S•••pooled vehicle sponsorn
- U••••••••• S•investment advisern
- W•••• C••••• L••••••pooled vehicle sponsorn
Advisers that list U••••••••• ••• L•• as a related person
- 305038 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 8Apr 3, 2023 to Mar 12, 2024
- HNW clients · 2 to 0Apr 3, 2023 to Mar 12, 2024
- Pension plan clients · 3.0 to unsetApr 3, 2023 to Mar 12, 2024
- Pooled vehicle clients · 2 to 1Apr 3, 2023 to Mar 12, 2024
- Employees · 22 to 20Apr 3, 2023 to Mar 12, 2024
- Discretionary RAUM · $1.7B to $1.5BApr 3, 2023 to Mar 12, 2024
- HNW RAUM · 17478206.0 to unsetApr 3, 2023 to Mar 12, 2024
- Pension RAUM · $274M to $137MApr 3, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $432M to $416MApr 3, 2023 to Mar 12, 2024
- RAUM · $1.7B to $1.5BApr 3, 2023 to Mar 12, 2024
- Accounts · 20 to 12Nov 8, 2022 to Mar 22, 2023
- Advisory employees · 17 to 12Nov 8, 2022 to Mar 22, 2023
- HNW clients · 7 to 2Nov 8, 2022 to Mar 22, 2023
- Pension plan clients · 5 to 3Nov 8, 2022 to Mar 22, 2023
- Pooled vehicle clients · 4 to 2Nov 8, 2022 to Mar 22, 2023
- Employees · 38 to 22Nov 8, 2022 to Mar 22, 2023
- Discretionary RAUM · $2.6B to $1.7BNov 8, 2022 to Mar 22, 2023
- HNW RAUM · $68.5M to $17.5MNov 8, 2022 to Mar 22, 2023
- Pension RAUM · $618M to $274MNov 8, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $710M to $432MNov 8, 2022 to Mar 22, 2023
- RAUM · $2.6B to $1.7BNov 8, 2022 to Mar 22, 2023
- Accounts · 27 to 20Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 19 to 17Mar 31, 2021 to Mar 31, 2022
- Advisory activities · 4 to 3Mar 31, 2021 to Mar 31, 2022
- HNW clients · 13 to 7Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Employees · 41 to 38Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.9B to $2.6BMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $85.0M to $68.5MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $1.0B to $618MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $434M to $710MMar 31, 2021 to Mar 31, 2022
- RAUM · $2.9B to $2.6BMar 31, 2021 to Mar 31, 2022
- HNW clients · 14 to 13Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 2 to 3Mar 30, 2020 to Mar 31, 2021
- Employees · 49 to 41Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.0B to $2.9BMar 30, 2020 to Mar 31, 2021
- HNW RAUM · $83.2M to $85.0MMar 30, 2020 to Mar 31, 2021
- Pension RAUM · $1.2B to $1.0BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $284M to $434MMar 30, 2020 to Mar 31, 2021
- RAUM · $3.0B to $2.9BMar 30, 2020 to Mar 31, 2021
Signals
11 dated events
- D•••• F•••• F•••• (Executive Director) no longer on Schedule A of U••••••••• ••• L•• (listed 2022-11-08, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- C•••••• M•••• H••• A••• (Director) appeared on Schedule A of U••••••••• ••• L••Mar 22, 2023 · Control person joined · fact
- U••••••••• ••• L•• reported RAUM $1.7B, down 35% from $2.6B (2022-11-08 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Nmn P•••••• F•••• (Director) no longer on Schedule A of U••••••••• ••• L•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- E•••••• J•••• A••••• H•••• (Director) no longer on Schedule A of U••••••••• ••• L•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- E••••••• D•••• T••••• (Director) appeared on Schedule A of U••••••••• ••• L••Mar 31, 2021 · Control person joined · fact
- Y•••••• S•••••• (Director) appeared on Schedule A of U••••••••• ••• L••Mar 31, 2021 · Control person joined · fact
- D•••• F•••• F•••• (Board Member) appeared on Schedule A of U••••••••• ••• L••Mar 30, 2020 · Control person joined · fact
- U••••••••• ••• L•• reported RAUM $3.1B, down 29% from $4.3B (2018-03-29 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- U••••••••• ••• L•• reported RAUM $4.3B, up 49% from $2.9B (2017-05-04 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- U••••••••• ••• L•• filed its initial SEC registration (Form ADV)Dec 1, 2015 · 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