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
R••••••• R••• A••••••• L••
Latest filing Nov 29, 2016
First filing on the tape Nov 3, 2016 · 3 filings
RAUM
$2.8M
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
45
28 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$2.8M as of Nov 29, 2016
Nov 3, 2016$2.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 29, 2016
Nov 3, 20160 then
Employees (5.A)45 as of Nov 29, 2016
Nov 3, 201645 then
Private funds: no history
Practice profile
derived from the filing of Nov 29, 2016; 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
- $2.8MderivedRAUM 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
- 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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $270,137, 1 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
- 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)
- 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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $270,137 for 1 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••••••• S••••• · Senior Vice Presidentcontrolsince 10/2016 · owns less than 5%
- F••••••• A•••• F•••• · Chief Executive Officer & Managing Board Membercontrolsince 10/2016 · owns less than 5%
- F•••••• K••••• M•••••• · Executive Vice Presidentcontrolsince 10/2016 · owns less than 5%
- P••••• D••••••• V••••• · Senior Vice President, Chief Compliance Officer & Secretarycontrolsince 10/2016 · owns less than 5%
- S•••••••• S•••••• R••• · Senior Vice President & Chief Financial Officercontrolsince 10/2016 · owns less than 5%
- W•••••••• M••••••• R•••• · Svp, General Counsel, & Secretarycontrolsince 10/2016 · owns less than 5%
- C••••• J••••••• P•••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- F•••••• A•••••• L••••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- F•••••• A•••••• L••••••• · Membercontrolsince 07/2003 · owns 75% or more of I••••• C•••••• G•••• L••
- G•••••••• F••••• M•••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
- J••••••••• M••••••• G•••••• · Member Of Board Of M••••••Scontrolsince 05/2012 · owns F of C•••• C•••••• P••••••• L••
- R••••••• S•••••• J••••• · Member Of Board Of M••••••Scontrolsince 02/2010 · owns F of C•••• C•••••• P••••••• L••
Entity owners
- R••••••• R••• E•••••• I••• · Sole Shareholderdirect · owns 75% or more
- A••••• A••••••• L•• · Memberindirect · owns F of I••••• C•••• M•••••• L••
- C•••• C•••••• P••••••• L•• · Sole Shareholderindirect · owns 75% or more of R••••••• A••••••• I•••
- I••••• C•••• D••••••••• I• L•• · Managing Memberindirect · owns F of I••••• C•••• H••••••• I• L••
- I••••• C•••• D••••••••• L•• · Managing Memberindirect · owns F of I••••• C•••• Holdings LLC
- I••••• C•••• H••••••• I• L•• · Memberindirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••• M•••••• L•• · M••••••indirect · owns 25% to 50% of C•••• C•••••• P••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of I••••• C•••• D••••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns 75% or more of A••••• A••••••• L••
- I••••• C•••••• G•••• L•• · Memberindirect · owns F of I••••• C•••• D••••••••• I• L••
- R••••••• A••••••• I••• · Sole Shareholderindirect · owns 75% or more of R••••••• R••• E•••••• I•••
Related persons
Schedule D 7.A
- A••••• S••••••••• L••broker-dealern
- C•••• C•••••• P••••••• L••pooled vehicle sponsory
- C•••• H• D••••••••• I•• L••investment adviserpooled vehicle sponsorn
- C•••• H• D••••••••• I• L••investment adviserbankpooled vehicle sponsorn
- C•••• I••••••••• M••••••••• L••investment adviserbanknRAUM $2.5B
- C•••• J•••• M•••••• L••investment advisern
- C•••• R••••• S••••••• L••investment companyn
- C•••• R• D••••••••• I• L••investment adviserpooled vehicle sponsorn
- C•••• R•• D••••••••• L••investment adviserpooled vehicle sponsorn
- C•••• S• M••••••••• L••investment adviserpooled vehicle sponsorn
- C•• C•• M•••••• L••investment advisern
- I•• R••••• L••investment companyn
- I••••••• O••••••••• D••••••••• L••investment adviserpooled vehicle sponsorn
- I••••• C•••••• M••••••••• L••investment advisern
- I••••• C•••••• G•••• L••investment adviserpooled vehicle sponsory
- I••••• D••••••••• I•• L••investment adviserpooled vehicle sponsorn
- I••••• F••• I• L••investment advisern
- J•• I•••••••• T•••• I•••investment advisern
- N•• A•••••• N•••••• I•••investment companyn
- Exantas Capital M•••••• Inc.investment advisernRAUM $2.5B
- R••••••• E••••• M••••••••• L••••••investment advisern
- R•••investment adviserbankpooled vehicle sponsornRAUM $74.0M
- R••••••• F•••••••• I••••••••• G••••• I•••investment adviserpooled vehicle sponsorn
- R••••••• S••••••••• I•••broker-dealern
- R••• N•• C••••••••• G• L••investment adviserpooled vehicle sponsorn
- T•••••• C•••••• M••••••••• L••investment advisern
- T•••••• M••••••••• G••••• L••investment advisern
- U••• R••••••••• G•••• L••investment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- R••••••• R••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 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