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
1•••••••••
Legal name 1••••••••• G•••••• L••
Latest filing Jun 3, 2026
First filing on the tape Jun 29, 2021 · 8 filings
SEC status approved since Jul 30, 2021
RAUM
$860M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$860M as of Jun 3, 2026
Mar 31, 2022$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 3, 2026
Mar 31, 20220 then
Employees (5.A)4 as of Jun 3, 2026
Mar 31, 20224 then
Private funds10 as of Jun 3, 2026
Mar 31, 20226 then
RAUM +55% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 3, 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
- $86.0MderivedRAUM 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
- +55%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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$860M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1••••••••• F•••• L••• | Private Equity Fund | $122M | 86 | Mar 29, 2019 |
| 1••••••••• F••• I•• L• | Private Equity Fund | $113M | 88 | Mar 31, 2022 |
| 1••••••••• F••• I• Q•• L••• | Private Equity Fund | $90.3M | 3 | Jul 9, 2019 |
| 1••••••••• N•• F••• I• L• | Venture Capital Fund | $74.9M | 1 | Mar 23, 2023 |
| 1••••••••• F••• I•• Q• L• | Private Equity Fund | $51.6M | 22 | Mar 31, 2022 |
| 1••••••••• F••• Q•• L••• | Private Equity Fund | $39.8M | 3 | Mar 29, 2019 |
| 1••••••••• F••• I•• L••• | Private Equity Fund | $28.9M | 31 | Jul 9, 2019 |
| M••••••• 1•• L•••no longer reported | Private Equity Fund | $7.4M | 10 | Mar 29, 2019 |
| 1••••••••• F••• I• L• | Private Equity Fund | $0 | 0 | Nov 1, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• F••••• C•••••• · Head Of Operations And Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- T••••••• N••••••• · General Partnercontrolsince 08/2017 · owns 75% or more
Related persons
Schedule D 7.A
- 1••••••••• C••••• P•••••••• L••pooled vehicle sponsorn
- 1••••••••• F••• I•• G• L••pooled vehicle sponsorn
- 1••••••••• M••••••••• L••pooled vehicle sponsorn
- 1••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 27, 2025 to Mar 19, 2026
- Pooled vehicle clients · 9 to 10Mar 27, 2025 to Mar 19, 2026
- Private funds · 9 to 10Mar 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $556M to $860MMar 27, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $556M to $860MMar 27, 2025 to Mar 19, 2026
- RAUM · $556M to $860MMar 27, 2025 to Mar 19, 2026
- Accounts · 7 to 9Nov 1, 2024 to Mar 27, 2025
- Pooled vehicle clients · 7 to 9Nov 1, 2024 to Mar 27, 2025
- Financial planning clients · unset to Nov 1, 2024 to Mar 27, 2025
- Private funds · 8 to 9Nov 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $521M to $556MNov 1, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $521M to $556MNov 1, 2024 to Mar 27, 2025
- RAUM · $521M to $556MNov 1, 2024 to Mar 27, 2025
- Private funds · 7 to 8Mar 28, 2024 to Nov 1, 2024
- Assets in custody · unset to 0.0Mar 23, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $600M to $521MMar 23, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $600M to $521MMar 23, 2023 to Mar 28, 2024
- RAUM · $600M to $521MMar 23, 2023 to Mar 28, 2024
- Accounts · 6 to 7Mar 31, 2022 to Mar 23, 2023
- Advisory employees · 2 to 3Mar 31, 2022 to Mar 23, 2023
- Pooled vehicle clients · 6 to 7Mar 31, 2022 to Mar 23, 2023
- Assets in custody · 537000000.0 to unsetMar 31, 2022 to Mar 23, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 23, 2023
- Private funds · 6 to 7Mar 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $1.2B to $600MMar 31, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $1.2B to $600MMar 31, 2022 to Mar 23, 2023
- RAUM · $1.2B to $600MMar 31, 2022 to Mar 23, 2023
- Accounts · 5 to 6Jun 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 6Jun 29, 2021 to Mar 31, 2022
- Employees · 3 to 4Jun 29, 2021 to Mar 31, 2022
- Private funds · 10 to 6Jun 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $537M to $1.2BJun 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $537M to $1.2BJun 29, 2021 to Mar 31, 2022
- RAUM · $537M to $1.2BJun 29, 2021 to Mar 31, 2022
Signals
5 dated events
- 1Confirmation reported RAUM $860.0M, up 55% from $556.0M (2025-03-27 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Charles Frank Hourigan (Head Of Operations And Chief Compliance Officer) appeared on Schedule A of 1ConfirmationNov 1, 2024 · Control person joined · fact
- 1Confirmation reported RAUM $599.6M, down 51% from $1.2B (2022-03-31 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- 1Confirmation reported RAUM $1.2B, up 130% from $537.0M (2021-06-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- 1Confirmation filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 1Confirmation · Independent Sponsorsshared crd · capital_provider
- 1confirmation · Private Equityshared crd · organization
- 1confirmation · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/1confirmationreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 1•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-574-2915reportedpublic record, Form ADV, Jun 3, 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