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
O••••• M•••••• S••••••• L••
Latest filing May 1, 2025
First filing on the tape Dec 7, 2016 · 43 filings
SEC status approved since Jan 3, 2017
RAUM
$462M
reported, Item 5.F
Discretionary
94%
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
18
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$462M as of May 1, 2025
Mar 27, 2017$58.7M then
HNW client RAUM$0 as of May 1, 2025
Feb 2, 2018$0 then
State-registered IARs (5.B.3)0 as of May 1, 2025
Mar 27, 20170 then
Employees (5.A)18 as of May 1, 2025
Mar 27, 201718 then
Private funds4 as of May 1, 2025
Mar 27, 20175 then
RAUM -19% over the last fiscal year+9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2025; 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
- $76.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- +16%derivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $417M, 5 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)
- 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
- Pooled investment vehicles$441M96%
- Corporations and businesses$18.7M4.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $417M for 5 clientsreported
- 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
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••• M•••••• F••• V• ••• L• | Private Equity Fund | $372M | 52 | Nov 2, 2021 |
| O••••• M•••••• F••• I• L• | Private Equity Fund | $54.0M | 23 | Apr 30, 2019 |
| O••••• M•••••• P••••••• N•• 1• L••no longer reported | Private Equity Fund | $18.4M | 21 | Dec 7, 2016 |
| A•••••• M•••••• R••••••••• L•• | Private Equity Fund | $13.9M | 9 | Jan 3, 2023 |
| O••••• M•••••• F••• V• L• | Private Equity Fund | $6.9M | 6 | Dec 7, 2016 |
| A•• C••••••••• L•• | Private Equity Fund | $5.7M | 42 | Jan 3, 2023 |
| O••••• M•••••• N•• L••no longer reported | Private Equity Fund | $3.3M | 33 | Dec 7, 2016 |
| O•• T••••••••• F••• I• L••no longer reported | Private Equity Fund | $886,428 | 4 | Nov 2, 2021 |
| O••••• M•••••• N•• L••no longer reported | Private Equity Fund | $0 | 16 | Dec 7, 2016 |
| O••••• M•••••• N•• L••no longer reported | Private Equity Fund | $0 | 32 | Dec 7, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• L•••••• M••••• · Ceocontrolsince 01/2016 · owns less than 5%
- G••••••••• S•••••• J••• · Ccocontrolsince 05/2022 · owns less than 5%
- J•••••••• N•••••• E••••• · Chief Accounting Officercontrolsince 07/2021 · owns less than 5%
- C•••••• L•••••• M••••• · Membercontrolsince 01/2009 · owns 25% to 50% of T•• I••••••••• C••••••
- C•••••••• A•••••• M•••• · Managing Membercontrolsince 01/2016 · owns 75% or more of A••••• R•••••••• L••
- C•••••••• A•••••• M•••• · Trusteecontrolsince 03/2024 · owns F of A•• M••••••••• T••••
- C•••••••• A•••••• M•••• · Managing Membercontrolsince 01/2016 · owns 75% or more of A• H•••••••• L••
- R•••••• S••••• D•••• · Membercontrolsince 01/2009 · owns 50% to 75% of T•• I••••••••• C••••••
- S•••• D••••• H•••• · Ownersince 03/2022 · owns 5% to 10%
- R•••• J•••••• P••• · Trusteesince 03/2024 · owns F of C••••••• F••••• 2••• T•••• A••••••••
Entity owners
- A••••• H•••••••• L•• · Ownerdirect · owns 50% to 75%
- A• H•••••••• L•• · Memberindirect · owns 25% to 50% of A••••• H•••••••• L••
- A•• M••••••••• T•••• · Ownerindirect · owns 25% to 50% of A• H•••••••• L••
- A••••• R•••••••• L•• · Memberindirect · owns 25% to 50% of A••••• H•••••••• L••
- C••••••• F••••• 2••• T•••• A•••••••• · Ownerindirect · owns 25% to 50% of A• H•••••••• L••
- C•• L•••••• • L•••••••• C•••••• · Direct Ownerdirect · owns 10% to 25%
- T•• I••••••••• C•••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- O••••• M•••••• F••• G• I• L••pooled vehicle sponsory
- O••••• M•••••• G• V• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 1 to 2May 6, 2024 to May 1, 2025
- Corporate clients · 0 to 1May 6, 2024 to May 1, 2025
- Pooled vehicle clients · 6 to 4May 6, 2024 to May 1, 2025
- Assets in custody · $447M to $417MMay 6, 2024 to May 1, 2025
- Employees · 24 to 18May 6, 2024 to May 1, 2025
- Financial planning clients · 0 to 0May 6, 2024 to May 1, 2025
- Private funds · 5 to 4May 6, 2024 to May 1, 2025
- Discretionary RAUM · $447M to $436MMay 6, 2024 to May 1, 2025
- Non-discretionary RAUM · $212M to $25.8MMay 6, 2024 to May 1, 2025
- Pooled vehicle RAUM · $659M to $441MMay 6, 2024 to May 1, 2025
- RAUM · $659M to $462MMay 6, 2024 to May 1, 2025
- Advisory employees · 4 to 6Aug 15, 2023 to Mar 26, 2024
- Assets in custody · $390M to $447MAug 15, 2023 to Mar 26, 2024
- Employees · 23 to 24Aug 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $390M to $447MAug 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $178M to $212MAug 15, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $567M to $659MAug 15, 2023 to Mar 26, 2024
- RAUM · $567M to $659MAug 15, 2023 to Mar 26, 2024
- Accounts · 7 to 6Jan 9, 2023 to Mar 29, 2023
- Advisory employees · 7 to 4Jan 9, 2023 to Mar 29, 2023
- Advisory activities · 2 to 1Jan 9, 2023 to Mar 29, 2023
- Pooled vehicle clients · 7 to 6Jan 9, 2023 to Mar 29, 2023
- Assets in custody · $494M to $390MJan 9, 2023 to Mar 29, 2023
- Employees · 18 to 23Jan 9, 2023 to Mar 29, 2023
- State-registered IARs · 2 to 0Jan 9, 2023 to Mar 29, 2023
- Private funds · 8 to 5Jan 9, 2023 to Mar 29, 2023
- Discretionary RAUM · $342M to $390MJan 9, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $143M to $178MJan 9, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $485M to $567MJan 9, 2023 to Mar 29, 2023
- RAUM · $485M to $567MJan 9, 2023 to Mar 29, 2023
- Related adviser · false to trueJan 9, 2023 to Mar 29, 2023
- Assets in custody · unset to 493970224.0Jun 7, 2022 to Jan 3, 2023
- Custody of client assets · false to trueJun 7, 2022 to Jan 3, 2023
- Private funds · 6 to 8Jun 7, 2022 to Jan 3, 2023
- Advisory employees · 8 to 7Nov 2, 2021 to Mar 30, 2022
- Employees · 19 to 18Nov 2, 2021 to Mar 30, 2022
- State-registered IARs · 3 to 2Nov 2, 2021 to Mar 30, 2022
- Discretionary RAUM · $331M to $342MNov 2, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $113M to $143MNov 2, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $444M to $485MNov 2, 2021 to Mar 30, 2022
Signals
10 dated events
- O••••• M•••••• S••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $461.7M)Apr 1, 2026 · Left the SEC roster · derived
- O••••• M•••••• S••••••• L•• reported RAUM $461.7M, down 30% from $658.8M (2024-05-06 to 2025-05-01)May 1, 2025 · RAUM change · derived
- M Kevin Hays (Chief Financial Officer) no longer on Schedule A of O••••• M•••••• S••••••• L•• (listed 2024-03-26, absent 2024-05-06)May 6, 2024 · Control person left · inference
- Eugene Nathan Johnston (Chief Accounting Officer) appeared on Schedule A of O••••• M•••••• S••••••• L••May 6, 2024 · Control person joined · fact
- M Kevin Hays (Chief Financial Officer) appeared on Schedule A of O••••• M•••••• S••••••• L••Mar 29, 2023 · Control person joined · fact
- Jean Stacey Gillespie (Cco) appeared on Schedule A of O••••• M•••••• S••••••• L••Jun 7, 2022 · Control person joined · fact
- Scott Jeffrey Cannizzaro (Chief Compliance Officer) no longer on Schedule A of O••••• M•••••• S••••••• L•• (listed 2020-08-26, absent 2020-09-08)Sep 8, 2020 · Control person left · inference
- O••••• M•••••• S••••••• L•• reported RAUM $490.2M, up 63% from $300.7M (2019-02-25 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- O••••• M•••••• S••••••• L•• reported RAUM $300.7M, up 109% from $143.7M (2018-10-25 to 2019-02-25)Feb 25, 2019 · RAUM change · derived
- O••••• M•••••• S••••••• L•• filed its initial SEC registration (Form ADV)Dec 7, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••• M•••••• S••••••• L•• · Private Equityshared crd · organization
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