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•••••• H••••••• M•••••••• L•
Latest filing Apr 5, 2022
First filing on the tape Jun 8, 2017 · 7 filings
RAUM
$459,374
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$459,374 gross assets
History
7 filings and snapshots on the tape
RAUM$459,374 as of Apr 5, 2022
Mar 30, 2018$733M then
HNW client RAUM$0 as of Apr 5, 2022
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 5, 2022
Mar 30, 20180 then
Employees (5.A)7 as of Apr 5, 2022
Mar 30, 20186 then
Private funds1 as of Apr 5, 2022
Mar 30, 20181 then
RAUM -100% over the last fiscal year-92% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 5, 2022; 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
- $459,374derivedRAUM 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
- -100%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 vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$459,374100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• H••••••• I• L• | Private Equity Fund | $459,374 | 11 | Nov 7, 2017 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• R•••••• •••• · Membercontrolsince 04/2017 · owns 50% to 75%
- H••••••••• J•••••• D•••••••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- H•••••••• G••••• H•••• · Membercontrolsince 04/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- N•••• I••••• V•••••••investment advisernRAUM $441M
- O•••••• H••••••• I• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $550M to $459,374Mar 30, 2021 to Apr 5, 2022
- Pooled vehicle RAUM · $550M to $459,374Mar 30, 2021 to Apr 5, 2022
- RAUM · $550M to $459,374Mar 30, 2021 to Apr 5, 2022
- Business name · N•••• I••••• M•••••••• L•• to O•••••• H••••••• M•••••••• L•Mar 30, 2020 to Mar 30, 2021
- Employees · 10 to 7Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $642M to $550MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $642M to $550MMar 30, 2020 to Mar 30, 2021
- RAUM · $642M to $550MMar 30, 2020 to Mar 30, 2021
- Related adviser · false to trueMar 30, 2020 to Mar 30, 2021
- Employees · 6 to 10Mar 28, 2019 to Mar 30, 2020
- Legal name · N•••• I••••• M•••••••• L•• to O•••••• H••••••• M•••••••• L•Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.0B to $642MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.0B to $642MMar 28, 2019 to Mar 30, 2020
- RAUM · $1.0B to $642MMar 28, 2019 to Mar 30, 2020
- Organization form · Limited Liability Company to Limited PartnershipMar 30, 2018 to Mar 28, 2019
- Discretionary RAUM · $733M to $1.0BMar 30, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $733M to $1.0BMar 30, 2018 to Mar 28, 2019
- RAUM · $733M to $1.0BMar 30, 2018 to Mar 28, 2019
- Discretionary RAUM · $619M to $733MNov 7, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · $619M to $733MNov 7, 2017 to Mar 30, 2018
- RAUM · $619M to $733MNov 7, 2017 to Mar 30, 2018
- Accounts · 0 to 1Jun 8, 2017 to Nov 7, 2017
- Advisory employees · 3 to 5Jun 8, 2017 to Nov 7, 2017
- Charity clients · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Corporate clients · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- HNW clients · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Individual clients · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Pension plan clients · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Pooled vehicle clients · unset to 1.0Jun 8, 2017 to Nov 7, 2017
- Assets in custody · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Custody of client assets · false to trueJun 8, 2017 to Nov 7, 2017
- Employees · 3 to 6Jun 8, 2017 to Nov 7, 2017
- Other offices · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Private funds · unset to 1Jun 8, 2017 to Nov 7, 2017
- Discretionary RAUM · $0 to $619MJun 8, 2017 to Nov 7, 2017
- HNW RAUM · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Individual RAUM · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Pension RAUM · unset to 0.0Jun 8, 2017 to Nov 7, 2017
- Pooled vehicle RAUM · unset to 618750000.0Jun 8, 2017 to Nov 7, 2017
- RAUM · $0 to $619MJun 8, 2017 to Nov 7, 2017
Signals
4 dated events
- O•••••• H••••••• M•••••••• L• reported RAUM $459,374, down 100% from $549.9M (2021-03-30 to 2022-04-05)Apr 5, 2022 · RAUM change · derived
- O•••••• H••••••• M•••••••• L• reported RAUM $642.1M, down 38% from $1.0B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- O•••••• H••••••• M•••••••• L• reported RAUM $1.0B, up 41% from $733.2M (2018-03-30 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- N•••• I••••• M•••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O•••••• H••••••• M•••••••• 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