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
T••••••• G•••• A•••••••• L••
Latest filing Mar 26, 2018
First filing on the tape Aug 18, 2016 · 6 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
80
64 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 26, 2018
Mar 29, 20171 then
Employees (5.A)80 as of Mar 26, 2018
Mar 29, 2017104 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 5
Practice profile
derived from the filing of Mar 26, 2018; 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
- 16.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +400%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- noreported
- Compensation
- % of AUMreported
- 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
- A••••• T•••••••• R•••••• · Chief Executive Officer & Membercontrolsince 03/2017 · owns less than 5%
- O•••••• J•••••• P•••••• · Chief O•••••••• Officercontrolsince 03/2017 · owns less than 5%
- W••••• B••••• M•••••• · Chief Financial Officercontrolsince 03/2017 · owns less than 5%
- C•••••••• H••••• M•••• · Chief Compliance Officersince 03/2017 · owns less than 5%
Entity owners
- C•• A••••••• H•••••••• L•• · Memberdirect · owns 25% to 50%
- T••••••• H••••••• L•• · Memberdirect · owns 50% to 75%
- A•• C••••••••• I•• · Ownerindirect · owns 75% or more of G••••••• B•••••• C•••
- A•• P•• · Ownerindirect · owns 75% or more of A•• C••••••••• I•• · public reporting company
- C••••• C•••••• I••••••••• A•••••••• L•• · Memberindirect · owns 75% or more of C•• A••••••• H•••••••• L••
- C••••• C•••••• I••••••••• H•••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• A•••••••• L••
- C••••• C•••••• O• S••••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• I••••••••• H•••••• L••
- C••••• C•••••• O•••••••• C••••••• L•• · Memberindirect · owns 75% or more of C••••• C•••••• O• S••••••••• L••
- C••••• N••••••••• I••• · Memberindirect · owns 75% or more of C••••• C•••••• O•••••••• C••••••• L••
- G••••••• B•••••• C••• · Memberindirect · owns 75% or more of T••••••• H••••••• L••
Related persons
Schedule D 7.A
- A•• H••••• I•••LP sponsorn
- Aon I•••••Ments USA Inc.investment adviserbanknRAUM $151B
- A•• H••••• L••••••investment advisern
- A•• R••••••••• P••• A•••••••• L••investment adviserLP sponsornRAUM $2.7M
- Aon S••••••••• LLCbroker-dealerinvestment adviserbankn
- A•• T•••• C••••••n
- Capra Credit Management, LLCinvestment advisernRAUM $45.1M
- C••• I• I••••••••• A••••••• L••investment advisern
- C•••• I•• S•••••••• M••••••• L••pooled vehicle sponsory
- C•••• R••• E••••• P••••••• I• L••pooled vehicle sponsory
- C•••• R••• E••••• P••••••• I•• L••bankpooled vehicle sponsory
- C•••• G•• L••bankpooled vehicle sponsory
- C•••• G•• L••bankpooled vehicle sponsory
- C•• C••• A•••••••• L••investment advisern
- C•• F••• A•••••••• L•••investment advisern
- C•• N•• A•••••••• L••investment advisern
- C•• N•• A•••••••• L•• ••••••• A•••••••investment advisern
- C•• N••••• A•••••••• L••investment advisern
- C•• N••• A•••••••• L••investment advisern
- C•• N•• A•••••••• L••investment advisern
- C•• N••• A•••••••• L••investment advisern
- C•• R••• A•••••••• L••investment advisern
- C•• S•• A•••••••• L••investment advisern
- C•• T••• A•••••••• L••investment advisern
- C•• I••••• I•••• S•••••investment adviserpooled vehicle sponsorn
- C••••••••• G•• L••pooled vehicle sponsorn
- C•••••• S•••••••• P••••••• I••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
- C••••• C••••• G•••••• P••••••• L••pooled vehicle sponsorn
- C•••••• S•••••••• P•••••••• L••pooled vehicle sponsorn
Advisers that list T••••••• G•••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom9 employees
- San Francisco, CA9 employees
- Central, Hong Kong7 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 64Jan 26, 2018 to Mar 26, 2018
- BD registered reps · 1 to 5Jan 26, 2018 to Mar 26, 2018
- Business name · N••• U••••••• L•• to T••••••• G•••• A•••••••• L••Jan 26, 2018 to Mar 26, 2018
- Employees · 104 to 80Jan 26, 2018 to Mar 26, 2018
- State-registered IARs · 1 to 5Jan 26, 2018 to Mar 26, 2018
- Other offices · 2 to 3Jan 26, 2018 to Mar 26, 2018
- Other offices · unset to 2.0Sep 15, 2017 to Jan 26, 2018
- Legal name · N••• U•••••• ADMINISTRATOR, LLC to T••••••• G•••• A•••••••• L••Mar 29, 2017 to Sep 15, 2017
- BD registered reps · 6 to 1Oct 19, 2016 to Mar 29, 2017
- Employees · 93 to 104Oct 19, 2016 to Mar 29, 2017
- HQ city · NEW YORK to CLEVELANDOct 19, 2016 to Mar 29, 2017
- HQ state · NY to OHOct 19, 2016 to Mar 29, 2017
- State-registered IARs · 0 to 1Oct 19, 2016 to Mar 29, 2017
- Legal name · N••• U••••••• L•• to N••• U•••••• ADMINISTRATOR, LLCOct 19, 2016 to Mar 29, 2017
Signals
1 dated events
- N••• U••••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 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