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
O••• C•••••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Feb 1, 2018 · 12 filings
SEC status approved since Mar 2, 2018
RAUM
$1.8B
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.8B as of Mar 30, 2026
Mar 29, 2019$324M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20190 then
Employees (5.A)6 as of Mar 30, 2026
Mar 29, 20194 then
Private funds1 as of Mar 30, 2026
Mar 29, 20191 then
RAUM -30% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $587MderivedRAUM 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
- -30%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
- $505M, 2 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
- 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
- Pooled investment vehicles$1.3B71%
- Other investment advisers$505M29%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $505M for 2 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=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••• O••••••••• M••••• F•••• L• | Hedge Fund | $562M | 21 | Feb 1, 2018 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• T•••••• P•••••• · Cfo/Coo/Ccocontrolsince 02/2018 · owns less than 5%
- L•• X•••••• · Limited Partner, Foundercontrolsince 02/2018 · owns 75% or more
- L•• X•••••• · Managing Membercontrolsince 11/2017 · owns 75% or more of X•• L••
Entity owners
- X•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- O••• O••••••••• A••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $2,505,542,111 to $1,761,311,310 (-30.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 3.3% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 3Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 7 to 6Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $643M to $505MMar 28, 2025 to Mar 30, 2026
- Employees · 7 to 6Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.5B to $1.8BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.9B to $1.3BMar 28, 2025 to Mar 30, 2026
- RAUM · $2.5B to $1.8BMar 28, 2025 to Mar 30, 2026
- Accounts · 3 to 5Apr 1, 2024 to Mar 28, 2025
- Advisory employees · 5 to 7Apr 1, 2024 to Mar 28, 2025
- Assets in custody · $562M to $643MApr 1, 2024 to Mar 28, 2025
- Employees · 5 to 7Apr 1, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Apr 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.2B to $2.5BApr 1, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.2B to $1.9BApr 1, 2024 to Mar 28, 2025
- RAUM · $1.2B to $2.5BApr 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $1.2BApr 1, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $1.1B to $1.2BApr 1, 2023 to Apr 1, 2024
- RAUM · $1.1B to $1.2BApr 1, 2023 to Apr 1, 2024
- Advisory employees · 6 to 5Mar 30, 2022 to Apr 1, 2023
- Assets in custody · $545M to $562MMar 30, 2022 to Apr 1, 2023
- Employees · 6 to 5Mar 30, 2022 to Apr 1, 2023
- Discretionary RAUM · $1.6B to $1.1BMar 30, 2022 to Apr 1, 2023
- Pooled vehicle RAUM · $1.6B to $1.1BMar 30, 2022 to Apr 1, 2023
- RAUM · $1.6B to $1.1BMar 30, 2022 to Apr 1, 2023
- Advisory employees · 4 to 6Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $327M to $545MMar 30, 2021 to Mar 30, 2022
- Employees · 4 to 6Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.4B to $1.6BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.4B to $1.6BMar 30, 2021 to Mar 30, 2022
- RAUM · $1.4B to $1.6BMar 30, 2021 to Mar 30, 2022
- Corporate clients · 0.0 to unsetAug 17, 2020 to Mar 30, 2021
- Individual clients · 0.0 to unsetAug 17, 2020 to Mar 30, 2021
- Pooled vehicle clients · 2 to 3Aug 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $857M to $1.4BAug 17, 2020 to Mar 30, 2021
- Individual RAUM · 0.0 to unsetAug 17, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $857M to $1.4BAug 17, 2020 to Mar 30, 2021
- RAUM · $857M to $1.4BAug 17, 2020 to Mar 30, 2021
- Accounts · 2 to 3May 18, 2020 to Aug 17, 2020
- HNW clients · 1.0 to unsetMay 14, 2020 to May 18, 2020
- Charity clients · 0.0 to unsetMar 29, 2019 to May 14, 2020
Signals
7 dated events
- O••• C•••••• M••••••••• L• reported RAUM $1.8B, down 30% from $2.5B (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- O••• C•••••• M••••••••• L• reported RAUM $2.5B, up 105% from $1.2B (2024-04-01 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- O••• C•••••• M••••••••• L• reported RAUM $1.1B, down 28% from $1.6B (2022-03-30 to 2023-04-01)Apr 1, 2023 · RAUM change · derived
- O••• C•••••• M••••••••• L• reported RAUM $1.4B, up 66% from $857.1M (2020-08-17 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- O••• C•••••• M••••••••• L• reported RAUM $857.1M, up 165% from $324.0M (2019-03-29 to 2020-05-14)May 14, 2020 · RAUM change · derived
- O••• C•••••• M••••••••• L• reported RAUM $324.0M, up 62% from $200.0M (2018-07-13 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- O••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Feb 1, 2018 · 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
- Principal office phone
- 212.430.2184reportedpublic record, Form ADV, Mar 30, 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