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
I•••••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Apr 13, 2017 · 19 filings
SEC status approved since Apr 20, 2017
RAUM
$3.4B
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
17
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$3.4B as of Mar 31, 2026
Mar 29, 2018$38.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20180 then
Employees (5.A)17 as of Mar 31, 2026
Mar 29, 20183 then
Private funds2 as of Mar 31, 2026
Mar 29, 20181 then
RAUM +5.8% over the last fiscal year+11% 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
- $565MderivedRAUM 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
- +5.8%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, portfolio management for investment companiesreportedItem 5.G
- Custody
- $545M, 3 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.0B60%
- Pooled investment vehicles$1.4B40%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $545M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=2.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••••• M••••• F••• L• | Hedge Fund | $237M | 55 | Dec 8, 2017 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• B•••••••• R••••• · Presidentcontrolsince 07/2019 · owns less than 5%
- H•••••• N•••••••• C••••••••• M•••••• · Chief Compliance Officercontrolsince 12/2024 · owns less than 5%
- M••••••• A••• N•• · Managing Partnercontrolsince 12/2015 · owns 75% or more
- G••••• D••••••• S•••• · Membercontrolsince 07/2015 · owns 25% to 50% of P••••••• P•••••••• L••
- G••••• L••••• S•••••• · Membercontrolsince 07/2015 · owns 25% to 50% of P••••••• P•••••••• L••
- M••••••• A••• N•• · Managing Membercontrolsince 12/2015 · owns 75% or more of I•••••••• G• L••
- R•••••••• C••••• G•••• · Membercontrolsince 07/2015 · owns 25% to 50% of P••••••• P•••••••• L••
- T••••• L•••• G•••• · Membercontrolsince 07/2015 · owns 25% to 50% of P••••••• P•••••••• L••
Entity owners
- I•••••••• G• L•• · General Partnerdirect · owns less than 5%
- P••••••• P•••••••• L•• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 8 to 7Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Assets in custody · unset to 544864248.0Mar 31, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 31, 2026
- Employees · 18 to 17Mar 31, 2025 to Mar 31, 2026
- Private funds · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.2B to $3.4BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.4BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.2B to $3.4BMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Dec 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.7B to $3.2BDec 13, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $984M to $1.1BDec 13, 2024 to Mar 31, 2025
- RAUM · $3.7B to $3.2BDec 13, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Mar 22, 2024 to Dec 13, 2024
- Employees · 17 to 18Mar 22, 2024 to Dec 13, 2024
- Employees · 14 to 17Mar 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $2.5B to $3.7BMar 28, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $486M to $984MMar 28, 2023 to Mar 19, 2024
- RAUM · $2.5B to $3.7BMar 28, 2023 to Mar 19, 2024
- Advisory employees · 5 to 7Nov 21, 2022 to Mar 28, 2023
- Employees · 9 to 14Nov 21, 2022 to Mar 28, 2023
- Discretionary RAUM · $478M to $2.5BNov 21, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $106M to $486MNov 21, 2022 to Mar 28, 2023
- RAUM · $478M to $2.5BNov 21, 2022 to Mar 28, 2023
- Accounts · 4 to 5Nov 4, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Nov 4, 2021 to Mar 31, 2022
- Employees · 8 to 9Nov 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $298M to $478MNov 4, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $18.0M to $106MNov 4, 2021 to Mar 31, 2022
- RAUM · $298M to $478MNov 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $202M to $298MOct 27, 2020 to Mar 2, 2021
- Pooled vehicle RAUM · $13.2M to $18.0MOct 27, 2020 to Mar 2, 2021
- RAUM · $202M to $298MOct 27, 2020 to Mar 2, 2021
- Employees · 12 to 8Mar 20, 2020 to Oct 27, 2020
- Accounts · 2 to 4Sep 10, 2019 to Mar 20, 2020
- Pooled vehicle clients · 1 to 3Sep 10, 2019 to Mar 20, 2020
- Discretionary RAUM · $236M to $202MSep 10, 2019 to Mar 20, 2020
- Pooled vehicle RAUM · $16.8M to $13.2MSep 10, 2019 to Mar 20, 2020
- RAUM · $236M to $202MSep 10, 2019 to Mar 20, 2020
Signals
14 dated events
- C••••••••• M•••••• N••••••• H••••• (Chief Compliance Officer) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Dec 13, 2024 · Control person joined · fact
- I•••••••• C•••••• M••••••••• L• reported RAUM $3.7B, up 50% from $2.5B (2023-03-28 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L• reported RAUM $2.5B, up 418% from $477.7M (2022-11-21 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L• reported RAUM $477.7M, up 60% from $298.5M (2021-11-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Clark Jay Warner (Member) no longer on Schedule A of I•••••••• C•••••• M••••••••• L• (listed 2021-03-02, absent 2021-11-04)Nov 4, 2021 · Control person left · inference
- Ross Bradley Balter (Managing Member) no longer on Schedule A of I•••••••• C•••••• M••••••••• L• (listed 2021-03-02, absent 2021-11-04)Nov 4, 2021 · Control person left · inference
- Clark Jay Warner (Member) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Sep 10, 2019 · Control person joined · fact
- G•••• C•••• R••••••• (Member) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Sep 10, 2019 · Control person joined · fact
- S•••• D•••••• G•••• (Member) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Sep 10, 2019 · Control person joined · fact
- G•••• L••• T•••• (Member) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Sep 10, 2019 · Control person joined · fact
- S•••••• L•••• G•••• (Member) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Sep 10, 2019 · Control person joined · fact
- Robert Benjamin Deschaine (President) appeared on Schedule A of I•••••••• C•••••• M••••••••• L•Sep 10, 2019 · Control person joined · fact
- I•••••••• C•••••• M••••••••• L• reported RAUM $236.5M, up 120% from $107.6M (2019-03-28 to 2019-09-10)Sep 10, 2019 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 13, 2017 · 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
- invenomic.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-729-2323reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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