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

N•• C•••••• M••••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 289964SEC 801-117098IAPD
Latest filing Jul 11, 2023
First filing on the tape Jun 28, 2019 · 9 filings
RAUM
$97.9M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$97.9M gross assets
History
9 filings and snapshots on the tape
RAUM$97.9M as of Mar 31, 2023
Mar 30, 2020$324M then
HNW client RAUM$0 as of Mar 31, 2023
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 30, 20200 then
Employees (5.A)3 as of Mar 31, 2023
Mar 30, 202010 then
Private funds5 as of Mar 31, 2023
Mar 30, 20208 then
RAUM -11% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 2023; 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
$19.6MderivedRAUM 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
-11%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
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)
  • 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
  • Pooled investment vehicles$97.9M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• P••••••• I• L•••Private Equity Fund$36.9M33Sep 14, 2017
      N•• R••• E••••• V•••••••• L•••no longer reportedReal Estate Fund$030Mar 31, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• S•••••••• H•••••••• · Chief Compliance Officercontrol
        since 03/2021 · owns less than 5%
      • H•••••• A•••• A••••••• · Managing Partnercontrol
        since 11/2014 · owns 75% or more
      • P••••• D•••••• J•••• · Principal
        since 10/2021 · owns less than 5%
      • S••••• M•••••••• G••• · Principal
        since 11/2021 · owns less than 5%
      Related persons
      Schedule D 7.A
      • N•• O••••••••• F••• I• G•• L••
        pooled vehicle sponsorn
      • N•• P••••••• I• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Mar 30, 2022 to Mar 31, 2023
      • Employees · 5 to 3
        Mar 30, 2022 to Mar 31, 2023
      • Discretionary RAUM · $110M to $97.9M
        Mar 30, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $110M to $97.9M
        Mar 30, 2022 to Mar 31, 2023
      • RAUM · $110M to $97.9M
        Mar 30, 2022 to Mar 31, 2023
      • Accounts · 8 to 5
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 8 to 5
        Mar 31, 2021 to Mar 30, 2022
      • Assets in custody · 95316912.0 to unset
        Mar 31, 2021 to Mar 30, 2022
      • Custody of client assets · true to false
        Mar 31, 2021 to Mar 30, 2022
      • Private funds · 8 to 5
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $163M to $110M
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $163M to $110M
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $163M to $110M
        Mar 31, 2021 to Mar 30, 2022
      • Related adviser · true to false
        Mar 31, 2021 to Mar 30, 2022
      • Advisory employees · 6 to 4
        Apr 29, 2020 to Mar 31, 2021
      • Assets in custody · $260M to $95.3M
        Apr 29, 2020 to Mar 31, 2021
      • Employees · 9 to 5
        Apr 29, 2020 to Mar 31, 2021
      • Discretionary RAUM · $260M to $163M
        Apr 29, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $260M to $163M
        Apr 29, 2020 to Mar 31, 2021
      • RAUM · $260M to $163M
        Apr 29, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 6
        Mar 30, 2020 to Apr 29, 2020
      • Assets in custody · $324M to $260M
        Mar 30, 2020 to Apr 29, 2020
      • Employees · 10 to 9
        Mar 30, 2020 to Apr 29, 2020
      • Discretionary RAUM · $324M to $260M
        Mar 30, 2020 to Apr 29, 2020
      • Pooled vehicle RAUM · $324M to $260M
        Mar 30, 2020 to Apr 29, 2020
      • RAUM · $324M to $260M
        Mar 30, 2020 to Apr 29, 2020
      • Accounts · 7 to 8
        Jun 28, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 7 to 8
        Jun 28, 2019 to Mar 30, 2020
      • Assets in custody · $251M to $324M
        Jun 28, 2019 to Mar 30, 2020
      • Private funds · 14 to 8
        Jun 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $251M to $324M
        Jun 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $251M to $324M
        Jun 28, 2019 to Mar 30, 2020
      • RAUM · $251M to $324M
        Jun 28, 2019 to Mar 30, 2020
      Signals
      9 dated events
      • Lee Harrison Price (Principal) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • S•••• B••• (Chief Operations Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • Jane Shahmanesh (Chief Compliance Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2020-04-29, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • S•••• L••••••• (Director) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2020-04-29, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • J••• T••• (Director) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2020-04-29, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Hassanali Saleemah Ahamed (Chief Compliance Officer) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • W••••••• S•••• K•••••• (Chief Compliance Officer) no longer on Schedule A of N•• C•••••• M••••••••• L•• (listed 2020-03-30, absent 2020-04-29)
        Apr 29, 2020 · Control person left · inference
      • Jane Shahmanesh (Chief Compliance Officer) appeared on Schedule A of N•• C•••••• M••••••••• L••
        Apr 29, 2020 · Control person joined · fact
      • N•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 28, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      N•• C•••••• 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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