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•••••• A•••• M••••••••• •••••• P••• L•••

Former SEC-registered adviserMumbai, Maharashtra, CRD 285620SEC 801-108727IAPD
Latest filing Dec 25, 2024
First filing on the tape Nov 18, 2016 · 15 filings
RAUM
$10B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
0.9%
$91.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
222
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$10B as of Jun 28, 2024
Jun 28, 2017$4.0B then
HNW client RAUM$8.1M as of Jun 28, 2024
Jun 29, 2018$12.9M then
State-registered IARs (5.B.3)0 as of Jun 28, 2024
Jun 28, 20170 then
Employees (5.A)222 as of Jun 28, 2024
Jun 28, 2017221 then
Private funds: no history
RAUM +61% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 25, 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
$1.6MderivedHNW RAUM over HNW clients
Average account
$11.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
0.0%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
+61%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-19%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$8.7B85%
  • Investment companies$1.4B14%
  • Individuals$83.4M0.8%
  • High-net-worth individuals$8.1M0.1%
  • Corporations and businesses$5.0M0.0%
Individual clients
802reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
880reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••••• S••••• · Head - Compliancecontrol
        since 12/2008 · owns less than 5%
      • L•• A•••••• T•• S•••• · Directorcontrol
        since 03/2013 · owns less than 5%
      • N•••••••• S•••••• · Chief Executive Officercontrol
        since 12/2008 · owns less than 5%
      • P••• S•• K••• T•••• · Directorcontrol
        since 09/2016 · owns less than 5%
      • S••••• R••••• · Head - Legalcontrol
        since 11/2019 · owns less than 5%
      • U•••••••• K•••• · Coo & Cfocontrol
        since 12/2008 · owns less than 5%
      • P•••••••• P••••• · Independent Director
        since 11/2018 · owns less than 5%
      • T•••••••• S••••• · Independent Director
        since 01/2019 · owns less than 5%
      Entity owners
      • I•••••• H••• K••• L•••••• · Shareholder
        direct · owns 75% or more
      • I•••••• A•••• M••••••••• P•••••• L•••••• •••• K•••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• H••• K••• L••••••
      • I•••••• H•••••• C•••••• L•••••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• P•••••• G•••• L••••••
      • I•••••• L••• · Sole Shareholder - Ultimate Parent Company
        indirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
      • I•••••• P•••••• G•••• L•••••• · Sole Shareholder
        indirect · owns 75% or more of I•••••• A•••• M••••••••• P•••••• L•••••• •••• K••••
      Related persons
      Schedule D 7.A
      Advisers that list I•••••• A•••• M••••••••• •••••• P••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 96369841.0 to unset
        Jun 28, 2024 to Dec 25, 2024
      • Custody of client assets · true to false
        Jun 28, 2024 to Dec 25, 2024
      • Accounts · 1,052 to 880
        May 23, 2024 to Jun 28, 2024
      • Advisory employees · 18 to 21
        May 23, 2024 to Jun 28, 2024
      • Charity clients · 8 to 0
        May 23, 2024 to Jun 28, 2024
      • Corporate clients · 40 to 30
        May 23, 2024 to Jun 28, 2024
      • HNW clients · 0 to 5
        May 23, 2024 to Jun 28, 2024
      • Individual clients · 998 to 802
        May 23, 2024 to Jun 28, 2024
      • Assets in custody · $80.2M to $96.4M
        May 23, 2024 to Jun 28, 2024
      • Employees · 220 to 222
        May 23, 2024 to Jun 28, 2024
      • Discretionary RAUM · $5.3B to $8.8B
        May 23, 2024 to Jun 28, 2024
      • HNW RAUM · $0 to $8.1M
        May 23, 2024 to Jun 28, 2024
      • Individual RAUM · $69.4M to $83.4M
        May 23, 2024 to Jun 28, 2024
      • Non-discretionary RAUM · $1.0B to $1.4B
        May 23, 2024 to Jun 28, 2024
      • Pooled vehicle RAUM · $5.3B to $8.7B
        May 23, 2024 to Jun 28, 2024
      • RAUM · $6.4B to $10B
        May 23, 2024 to Jun 28, 2024
      • Accounts · 1,447 to 1,052
        Jun 30, 2022 to Jun 30, 2023
      • Advisory employees · 21 to 18
        Jun 30, 2022 to Jun 30, 2023
      • Charity clients · 10 to 8
        Jun 30, 2022 to Jun 30, 2023
      • Corporate clients · 56 to 40
        Jun 30, 2022 to Jun 30, 2023
      • Individual clients · 1,337 to 998
        Jun 30, 2022 to Jun 30, 2023
      • Pooled vehicle clients · 44 to 37
        Jun 30, 2022 to Jun 30, 2023
      • Assets in custody · $119M to $80.2M
        Jun 30, 2022 to Jun 30, 2023
      • Employees · 223 to 220
        Jun 30, 2022 to Jun 30, 2023
      • Discretionary RAUM · $5.8B to $5.3B
        Jun 30, 2022 to Jun 30, 2023
      • Individual RAUM · $104M to $69.4M
        Jun 30, 2022 to Jun 30, 2023
      • Non-discretionary RAUM · $1.2B to $1.0B
        Jun 30, 2022 to Jun 30, 2023
      • Pooled vehicle RAUM · $6.8B to $5.3B
        Jun 30, 2022 to Jun 30, 2023
      • RAUM · $7.0B to $6.4B
        Jun 30, 2022 to Jun 30, 2023
      • Accounts · 1,954 to 1,447
        Jun 30, 2021 to Jun 30, 2022
      • Advisory employees · 19 to 21
        Jun 30, 2021 to Jun 30, 2022
      • Charity clients · 11 to 10
        Jun 30, 2021 to Jun 30, 2022
      • Corporate clients · 140 to 56
        Jun 30, 2021 to Jun 30, 2022
      • Individual clients · 1,795 to 1,337
        Jun 30, 2021 to Jun 30, 2022
      • Pooled vehicle clients · 53 to 44
        Jun 30, 2021 to Jun 30, 2022
      • Assets in custody · $153M to $119M
        Jun 30, 2021 to Jun 30, 2022
      • Employees · 237 to 223
        Jun 30, 2021 to Jun 30, 2022
      • Discretionary RAUM · $5.4B to $5.8B
        Jun 30, 2021 to Jun 30, 2022
      • Individual RAUM · $128M to $104M
        Jun 30, 2021 to Jun 30, 2022
      • Non-discretionary RAUM · $1.4B to $1.2B
        Jun 30, 2021 to Jun 30, 2022
      Signals
      5 dated events
      • I•••••• A•••• M••••••••• •••••• P••• L••• reported RAUM $10.3B, up 61% from $6.4B (2024-05-23 to 2024-06-28)
        Jun 28, 2024 · RAUM change · derived
      • I•••••• A•••• M••••••••• •••••• P••• L••• reported RAUM $6.8B, up 58% from $4.3B (2020-06-30 to 2021-06-30)
        Jun 30, 2021 · RAUM change · derived
      • R••••• S•••• (Head - Legal) appeared on Schedule A of I•••••• A•••• M••••••••• •••••• P••• L•••
        Jun 30, 2020 · Control person joined · fact
      • I•••••• A•••• M••••••••• •••••• P••• L••• reported RAUM $5.4B, up 35% from $4.0B (2017-09-27 to 2018-06-29)
        Jun 29, 2018 · RAUM change · derived
      • I•••••• A•••• M••••••••• •••••• P••• L••• filed its initial SEC registration (Form ADV)
        Nov 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