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•••• O•• C•••••• P••••••• I•• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 284373SEC 801-108278IAPD
Latest filing Aug 18, 2022
First filing on the tape Aug 11, 2016 · 14 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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 31, 20170 then
Employees (5.A)0 as of Mar 28, 2022
Mar 31, 20170 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 18, 2022; 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
unknownderived1 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 vehicles, selection of other advisersreportedItem 5.G
Custody
$2.8B, 9 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.8B for 9 clientsreported
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•••• O•• R••• E••••• I••••••••• F••• I• L•no longer reportedReal Estate Fund$00Aug 11, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• D••• · General Counselcontrol
        since 03/2016 · owns less than 5%
      • F••••••• D•••••• A••• · Chief Accounting Officercontrol
        since 08/2018 · owns less than 5%
      • H••• J•••• R• · Chief Risk Officercontrol
        since 10/2020 · owns less than 5%
      • J••••••• T••••• S• · Chief Financial Officercontrol
        since 03/2016 · owns less than 5%
      • L••••••• R•••••• A••• · Chief Compliance Officer & Chief Operating Officercontrol
        since 03/2016 · owns less than 5%
      • F••••••• M••••••• A•••• · Ownercontrol
        since 01/2020 · owns 25% to 50% of A•••• O•• C••••••••• L•
      • P•••••• S••••••••• V••••• · Ownercontrol
        since 01/2020 · owns 25% to 50% of A•••• O•• C••••••••• L•
      Entity owners
      • A•••• O•• A•••• M••••••••• H•••••••• L•• · Owner Of A•••• O•• C•••••• P••••••• I•• L••
        direct · owns 75% or more
      • A•••• O•• C••••••••• L• · Owner Of A•••• O•• A•••• M••••••••• H•••••••• L••
        indirect · owns 75% or more of A•••• O•• A•••• M••••••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list A•••• O•• C•••••• P••••••• I•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 5 to 9
        Apr 28, 2021 to Mar 28, 2022
      • Assets in custody · $1.7B to $2.8B
        Apr 28, 2021 to Mar 28, 2022
      • Pooled vehicle clients · 4 to 5
        Apr 30, 2020 to Mar 29, 2021
      • Assets in custody · $1.7B to $1.7B
        Apr 30, 2020 to Mar 29, 2021
      • Pooled vehicle clients · 3 to 4
        Jun 14, 2019 to Mar 30, 2020
      • Assets in custody · $1.5B to $1.7B
        Jun 14, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 3
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $649M to $1.5B
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $594M to $649M
        Mar 28, 2018 to Mar 29, 2018
      • Advisory activities · 1 to 2
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • Assets in custody · $270M to $594M
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Related broker-dealer · true to false
        Mar 31, 2017 to Mar 28, 2018
      • Accounts · 0.0 to unset
        Aug 11, 2016 to Mar 31, 2017
      • Assets in custody · $0 to $270M
        Aug 11, 2016 to Mar 31, 2017
      • Private funds · 1 to unset
        Aug 11, 2016 to Mar 31, 2017
      • Discretionary RAUM · 0.0 to unset
        Aug 11, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Aug 11, 2016 to Mar 31, 2017
      • RAUM · 0.0 to unset
        Aug 11, 2016 to Mar 31, 2017
      Signals
      6 dated events
      • Diblee David Silvera (Chief Operating Officer) no longer on Schedule A of A•••• O•• C•••••• P••••••• I•• L•• (listed 2021-04-28, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • Adam Daniel Fazioli (Chief Accounting Officer) appeared on Schedule A of A•••• O•• C•••••• P••••••• I•• L••
        Mar 29, 2021 · Control person joined · fact
      • R John Hsu (Chief Risk Officer) appeared on Schedule A of A•••• O•• C•••••• P••••••• I•• L••
        Mar 29, 2021 · Control person joined · fact
      • Patrick Brian Smith (Chief Operating Officer) no longer on Schedule A of A•••• O•• C•••••• P••••••• I•• L•• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Diblee David Silvera (Chief Operating Officer) appeared on Schedule A of A•••• O•• C•••••• P••••••• I•• L••
        Mar 29, 2019 · Control person joined · fact
      • A•••• O•• C•••••• P••••••• I•• L•• filed its initial SEC registration (Form ADV)
        Aug 11, 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
      Across the graphs

      A•••• O•• C•••••• P••••••• I•• L•• 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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