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

I••••••• G••••• L•

Former SEC-registered adviserNew York, New YorkCRD 290080SEC 801-112261IAPD
Latest filing May 3, 2024
First filing on the tape Dec 6, 2017 · 24 filings
RAUM
$187M
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
11
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$194M gross assets
History
24 filings and snapshots on the tape
RAUM$187M as of Mar 28, 2024
Mar 31, 2018$210M then
HNW client RAUM$164M as of Mar 31, 2023
Mar 31, 2018$188M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 31, 20180 then
Employees (5.A)11 as of Mar 28, 2024
Mar 31, 201810 then
Private funds4 as of Mar 28, 2024
Mar 31, 20181 then
RAUM -81% over the last fiscal year-41% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 3, 2024; 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
$23.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-81%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 vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$187M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••••• E•• O••••••••• M•••••• L•Hedge Fund$89.0M66Dec 6, 2017
      I••••••• A••••••••• L••Other Private Fund$38.1M5Jun 30, 2021
      I••••••• C••••• O••••••••• M•••••• L•Hedge Fund$13.6M12Aug 7, 2020
      I••••••• C•••• L••Other Private Fund$8.0M6Mar 31, 2023
      I••••••• C••••• O••••••••• L•Hedge Fund$4.0M12Aug 8, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• A••••••• L••• · Chief Executive Officer, Chief Investment Officercontrol
        since 08/2017 · owns less than 5%
      • E••••• M••••••• A•••• · Managing Director, Chief Operating Officer, Chief Compliance Officercontrol
        since 08/2017 · owns less than 5%
      • S••••••••• D••••••• •••• · Chief Financial Officercontrol
        since 01/2018 · owns less than 5%
      • D••••• A••••••• L••• · Managing Membercontrol
        since 01/2018 · owns 50% to 75% of I••••••• H•••••••• L••
      • D••••• A••••••• L••• · Managing Member, Sole Membercontrol
        since 08/2017 · owns 75% or more of I••••••• G•••• G•• L••
      Entity owners
      • I••••••• G•••• G•• L•• · General Partner
        direct · owns less than 5%
      • I••••••• H•••••••• L•• · Limited Partner
        direct · owns 75% or more
      • A•• 2••• G•• T•••• · Managing Member
        indirect · owns 50% to 75% of I••••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      • I••••••• A••••••••• M•• L••
        pooled vehicle sponsorn
      • I••••••• C••• L••
        pooled vehicle sponsorn
      • I••••••• C••••• O••••••••• G•• L•
        bankpooled vehicle sponsorn
      • I••••••• E•• O••••••••• F••••• G•• L•
        bankpooled vehicle sponsorn
      • I••••••• E•• O••••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 8
        Nov 7, 2023 to Mar 28, 2024
      • Advisory employees · 8 to 5
        Nov 7, 2023 to Mar 28, 2024
      • Advisory activities · 4 to 1
        Nov 7, 2023 to Mar 28, 2024
      • Charity clients · 1.0 to unset
        Nov 7, 2023 to Mar 28, 2024
      • HNW clients · 3.0 to unset
        Nov 7, 2023 to Mar 28, 2024
      • Assets in custody · 41435445.0 to unset
        Nov 7, 2023 to Mar 28, 2024
      • Custody of client assets · true to false
        Nov 7, 2023 to Mar 28, 2024
      • Employees · 16 to 11
        Nov 7, 2023 to Mar 28, 2024
      • Discretionary RAUM · $983M to $187M
        Nov 7, 2023 to Mar 28, 2024
      • HNW RAUM · 164432076.0 to unset
        Nov 7, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $7.6M to $0
        Nov 7, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $777M to $187M
        Nov 7, 2023 to Mar 28, 2024
      • RAUM · $990M to $187M
        Nov 7, 2023 to Mar 28, 2024
      • Other offices · 0 to 1
        Sep 7, 2023 to Oct 30, 2023
      • Accounts · 12 to 13
        Apr 6, 2022 to Mar 31, 2023
      • HNW clients · unset to 3.0
        Apr 6, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 7 to 8
        Apr 6, 2022 to Mar 31, 2023
      • Assets in custody · $52.8M to $41.4M
        Apr 6, 2022 to Mar 31, 2023
      • Employees · 15 to 16
        Apr 6, 2022 to Mar 31, 2023
      • Private funds · 3 to 4
        Apr 6, 2022 to Mar 31, 2023
      • Discretionary RAUM · $1.2B to $983M
        Apr 6, 2022 to Mar 31, 2023
      • HNW RAUM · unset to 164432076.0
        Apr 6, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $3.7M to $7.6M
        Apr 6, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $912M to $777M
        Apr 6, 2022 to Mar 31, 2023
      • RAUM · $1.2B to $990M
        Apr 6, 2022 to Mar 31, 2023
      • Accounts · 10 to 12
        Nov 5, 2021 to Mar 31, 2022
      • Advisory activities · 3 to 4
        Nov 5, 2021 to Mar 31, 2022
      • Assets in custody · $45.1M to $52.8M
        Nov 5, 2021 to Mar 31, 2022
      • Employees · 14 to 15
        Nov 5, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.1B to $1.2B
        Nov 5, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $0 to $3.7M
        Nov 5, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $890M to $912M
        Nov 5, 2021 to Mar 31, 2022
      • RAUM · $1.1B to $1.2B
        Nov 5, 2021 to Mar 31, 2022
      • Accounts · 8 to 10
        Mar 31, 2021 to Jun 30, 2021
      • Pooled vehicle clients · 6 to 7
        Mar 31, 2021 to Jun 30, 2021
      • Assets in custody · $41.8M to $45.1M
        Mar 31, 2021 to Jun 30, 2021
      • Employees · 13 to 14
        Mar 31, 2021 to Jun 30, 2021
      • Private funds · 2 to 3
        Mar 31, 2021 to Jun 30, 2021
      • Discretionary RAUM · $893M to $1.1B
        Mar 31, 2021 to Jun 30, 2021
      • Pooled vehicle RAUM · $670M to $890M
        Mar 31, 2021 to Jun 30, 2021
      Signals
      4 dated events
      • I••••••• G••••• L• reported RAUM $186.8M, down 81% from $990.1M (2023-11-07 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • I••••••• G••••• L• reported RAUM $1.1B, up 26% from $893.2M (2021-03-31 to 2021-06-30)
        Jun 30, 2021 · RAUM change · derived
      • I••••••• G••••• L• reported RAUM $551.2M, up 162% from $210.5M (2018-03-31 to 2019-03-31)
        Mar 31, 2019 · RAUM change · derived
      • I••••••• G••••• L• filed its initial SEC registration (Form ADV)
        Dec 6, 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
      I•••••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 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
      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