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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SEC-registered adviser
3••• R••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 2, 2016 · 21 filings
SEC status approved since May 26, 2017
RAUM
$2.4B
reported, Item 5.F
Discretionary
62%
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
16
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
16
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2026
Mar 30, 2018$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20180 then
Employees (5.A)16 as of Mar 31, 2026
Mar 30, 20187 then
Private funds16 as of Mar 31, 2026
Mar 30, 20201 then
RAUM -13% over the last fiscal year-4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $187MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%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, performance-basedreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.4B60%
- Sovereign wealth funds$627M26%
- Pooled investment vehicles$357M15%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.15 institutional_share=0.26 related_bd=false related_bank=true bd_reps=0.0derived
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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3••• C•• B••••• L•••••• L•• | Real Estate Fund | $1.4B | 2 | Mar 30, 2020 |
| 3••• R••• E••••• I••••••••• T•••• 2• L•• | Real Estate Fund | $704M | 3 | Mar 31, 2022 |
| C•• 3••• S• I••••••• L• | Real Estate Fund | $609M | 2 | Mar 31, 2021 |
| 3••• R••• E••••• I••••••••• T•••• 3• L•• | Real Estate Fund | $520M | 3 | Mar 31, 2022 |
| 3••• M••• B•• I••••••• L• | Real Estate Fund | $250M | 2 | Mar 31, 2022 |
| G•••• R•••• R• C••••• E•••••••• P•••••••• L••• | Real Estate Fund | $185M | 5 | Mar 31, 2021 |
| 3••• P•••• I••••••• L• | Real Estate Fund | $102M | 2 | Mar 30, 2024 |
| 3••• H•••••• I••••••• L• | Real Estate Fund | $75.7M | 2 | Mar 31, 2022 |
| 3••• M••• I••••••• L• | Real Estate Fund | $67.3M | 2 | Mar 31, 2021 |
| 3••• S•••••• S••••••••• I• L••• | Real Estate Fund | $30.0M | 2 | Mar 30, 2024 |
| 3••• S•••••• S••••••••• G• C••••••••• I• L••• | Real Estate Fund | $12.5M | 2 | Mar 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••• T••••• T•••••••• · Managing Partnercontrolsince 10/2016 · owns less than 5%
- J•••••••• M•••• A•••••• · Gc/Ccocontrolsince 07/2017 · owns less than 5%
- K••••••• J•••••• A•••••• · Managing Partnercontrolsince 10/2016 · owns less than 5%
- P••••••• A•••••• M••••• · Portfolio Manager/Head Of Creditcontrolsince 10/2016 · owns less than 5%
- R•••• J•••••••• P••• · Managing Partnercontrolsince 10/2016 · owns less than 5%
Entity owners
- 3••• R••• H•••••• C•••••• L•• · Managing Memberdirect · owns 75% or more
- 3••• H••••••• G• L•• · General Partner Of 3••• H••••••• L•indirect · owns F of 3••• H••••••• L•
- 3••• H••••••• L• · Managing Memberindirect · owns 75% or more of 3••• R••• H•••••• C•••••• L••
Related persons
Schedule D 7.A
- 3••• B•• I••••••• G• L••investment adviserpooled vehicle sponsorn
- 3••• H•••••• B•• I••••••• G• L••investment adviserpooled vehicle sponsorn
- 3••• P•••• B•• I••••••• G• L••investment adviserpooled vehicle sponsory
- 3••• S•• I••••••• G• L••investment adviserbankpooled vehicle sponsorn
- 3••• S•••••• S••••••••• G• I• L••investment adviserpooled vehicle sponsory
- G•••• R•••• R• C••••• G• I• L•••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Beverly Hills, CA3 employees
- New York, NY3 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.5B to $1.5BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.2B to $930MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $356M to $357MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.8B to $2.4BMar 31, 2025 to Mar 31, 2026
- Accounts · 9 to 13Oct 21, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Oct 21, 2024 to Mar 31, 2025
- Corporate clients · unset to 3.0Oct 21, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 4Oct 21, 2024 to Mar 31, 2025
- Employees · 14 to 16Oct 21, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 21, 2024 to Mar 31, 2025
- Private funds · 11 to 16Oct 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.5BOct 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.6B to $1.2BOct 21, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.7B to $356MOct 21, 2024 to Mar 31, 2025
- RAUM · $2.7B to $2.8BOct 21, 2024 to Mar 31, 2025
- Accounts · 8 to 9Mar 30, 2023 to Mar 30, 2024
- Pooled vehicle clients · 8 to 9Mar 30, 2023 to Mar 30, 2024
- Private funds · 8 to 11Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.3B to $1.2BMar 30, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $1.5B to $1.6BMar 30, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $2.8B to $2.7BMar 30, 2023 to Mar 30, 2024
- RAUM · $2.8B to $2.7BMar 30, 2023 to Mar 30, 2024
- Related adviser · false to trueMar 30, 2023 to Mar 30, 2024
- Pension plan clients · 1.0 to unsetOct 6, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 8Oct 6, 2022 to Mar 30, 2023
- Employees · 13 to 14Oct 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.2B to $1.3BOct 6, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.1B to $1.5BOct 6, 2022 to Mar 30, 2023
- Pension RAUM · 807987075.0 to unsetOct 6, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.5B to $2.8BOct 6, 2022 to Mar 30, 2023
- RAUM · $2.3B to $2.8BOct 6, 2022 to Mar 30, 2023
- Accounts · 4 to 8Mar 31, 2021 to Mar 31, 2022
- Pension plan clients · unset to 1.0Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 7Mar 31, 2021 to Mar 31, 2022
- Employees · 8 to 13Mar 31, 2021 to Mar 31, 2022
- Private funds · 4 to 8Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $586M to $1.2BMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $909M to $1.1BMar 31, 2021 to Mar 31, 2022
- Pension RAUM · unset to 807987075.0Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.5B to $1.5BMar 31, 2021 to Mar 31, 2022
Signals
9 dated events
- 3••• R••• I••••••••• M••••••••• L•• reported RAUM $2.3B, up 55% from $1.5B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- 3••• R••• I••••••••• M••••••••• L•• reported RAUM $1.5B, up 64% from $909.7M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- 3••• R••• I••••••••• M••••••••• L•• reported RAUM $909.7M, up 98% from $459.6M (2020-03-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Michael Fleischer (Head Of Bridge & Event Driven Originations) no longer on Schedule A of 3••• R••• I••••••••• M••••••••• L•• (listed 2020-03-06, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Lee Kenneth Dickey (Head Of Fixed Rate Lending) no longer on Schedule A of 3••• R••• I••••••••• M••••••••• L•• (listed 2020-03-06, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- 3••• R••• I••••••••• M••••••••• L•• reported RAUM $459.6M, up 78% from $257.6M (2018-04-27 to 2019-04-01)Apr 1, 2019 · RAUM change · derived
- Michael Fleischer (Head Of Bridge & Event Driven Originations) appeared on Schedule A of 3••• R••• I••••••••• M••••••••• L••Apr 1, 2019 · Control person joined · fact
- Lee Kenneth Dickey (Head Of Fixed Rate Lending) appeared on Schedule A of 3••• R••• I••••••••• M••••••••• L••Apr 1, 2019 · Control person joined · fact
- G•••• R•••• C••••• P••••••• L•• filed its initial SEC registration (Form ADV)Dec 2, 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.
How to reach
public business contact points only, each with its source
- Website
- 3•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-901-1010reportedpublic record, Form ADV, Mar 31, 2026
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
- Other 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
3••• R••• I••••••••• M••••••••• 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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