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

U•••• B•• I••••••••• M••••••••• L•

Former SEC-registered adviserCRD 297494SEC 801-114230IAPD
Latest filing Dec 11, 2023
First filing on the tape Oct 2, 2018 · 10 filings
RAUM
$309M
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
$361M gross assets
History
10 filings and snapshots on the tape
RAUM$309M as of Mar 31, 2023
Feb 27, 2019$403M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Feb 27, 20190 then
Employees (5.A)4 as of Mar 31, 2023
Feb 27, 20195 then
Private funds5 as of Mar 31, 2023
Feb 27, 20192 then
RAUM -53% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 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
$44.2MderivedRAUM 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
-53%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$309M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• H•••••••• L••Private Equity Fund$293M23Oct 2, 2018
      U•••• B•• I••••••••• P•••••••• L•Private Equity Fund$32.3M4Oct 2, 2018
      Z•• H•••••••• L••Private Equity Fund$18.5M2Mar 31, 2023
      U•••• B•• I••••••••• P••••••• O••••••• B• L•Private Equity Fund$12.3M4Mar 30, 2020
      Z•• H••••••• I•• L••Private Equity Fund$4.9M2Mar 31, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• M••••• V••• · Managing Partner / President / Chief Compliance Officercontrol
        since 04/2018 · owns 25% to 50%
      • M••••••••• M•••••••• N•• · Managing Partner / Chief Executive Officercontrol
        since 04/2018 · owns 25% to 50%
      • R••••••• J•••• T••••• · Investment Committee Membercontrol
        since 04/2018 · owns less than 5%
      • M••••••• M••••• V••• · Membercontrol
        since 04/2018 · owns 25% to 50% of U•••• B•• I••••••••• M••••••••• L••
      • M••••••••• M•••••••• N•• · Membercontrol
        since 04/2018 · owns 50% to 75% of U•••• B•• I••••••••• M••••••••• L••
      Entity owners
      • U•••• B•• I••••••••• M••••••••• L•• · General Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • T•• E••••• • M••••••• G••••
        investment adviserpooled vehicle sponsornRAUM $13B
      • M•• C•••••• M••••••••• L••
        n
      • U•••• B•• I••••••••• P••••••• G•• L•
        pooled vehicle sponsorn
      • U•••• B•• I••••••••• P••••••• U• R••••••••• G•• L•
        n
      Advisers that list U•••• B•• I••••••••• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Mar 31, 2023 to Dec 11, 2023
      • Employees · 4 to 3
        Mar 31, 2023 to Dec 11, 2023
      • HQ city · NEW YORK to unset
        Mar 31, 2023 to Dec 11, 2023
      • HQ state · NY to unset
        Mar 31, 2023 to Dec 11, 2023
      • Accounts · 5 to 7
        Nov 18, 2022 to Mar 31, 2023
      • Advisory employees · 5 to 4
        Nov 18, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 3 to 5
        Nov 18, 2022 to Mar 31, 2023
      • Employees · 5 to 4
        Nov 18, 2022 to Mar 31, 2023
      • Private funds · 3 to 5
        Nov 18, 2022 to Mar 31, 2023
      • Discretionary RAUM · $661M to $309M
        Nov 18, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $357M to $309M
        Nov 18, 2022 to Mar 31, 2023
      • RAUM · $661M to $309M
        Nov 18, 2022 to Mar 31, 2023
      • Advisory employees · 6 to 5
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 6 to 5
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $726M to $661M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $411M to $357M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $726M to $661M
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 5 to 6
        Apr 28, 2020 to Mar 31, 2021
      • Employees · 5 to 6
        Apr 28, 2020 to Mar 31, 2021
      • Discretionary RAUM · $700M to $726M
        Apr 28, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $408M to $411M
        Apr 28, 2020 to Mar 31, 2021
      • RAUM · $700M to $726M
        Apr 28, 2020 to Mar 31, 2021
      • Accounts · 3 to 5
        Dec 23, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 3
        Dec 23, 2019 to Mar 30, 2020
      • Assets in custody · 0.0 to unset
        Dec 23, 2019 to Mar 30, 2020
      • Private funds · 2 to 3
        Dec 23, 2019 to Mar 30, 2020
      • Discretionary RAUM · $268M to $700M
        Dec 23, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $135M to $0
        Dec 23, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $268M to $408M
        Dec 23, 2019 to Mar 30, 2020
      • RAUM · $403M to $700M
        Dec 23, 2019 to Mar 30, 2020
      • Accounts · unset to 3.0
        Oct 2, 2018 to Feb 27, 2019
      • Advisory employees · 6 to 5
        Oct 2, 2018 to Feb 27, 2019
      • Advisory activities · 1 to 2
        Oct 2, 2018 to Feb 27, 2019
      • Custody of client assets · true to false
        Oct 2, 2018 to Feb 27, 2019
      • Employees · 6 to 5
        Oct 2, 2018 to Feb 27, 2019
      • Discretionary RAUM · unset to 267560000.0
        Oct 2, 2018 to Feb 27, 2019
      • Non-discretionary RAUM · unset to 135000000.0
        Oct 2, 2018 to Feb 27, 2019
      • Pooled vehicle RAUM · unset to 267560000.0
        Oct 2, 2018 to Feb 27, 2019
      • RAUM · unset to 402560000.0
        Oct 2, 2018 to Feb 27, 2019
      Signals
      3 dated events
      • U•••• B•• I••••••••• M••••••••• L• reported RAUM $309.2M, down 53% from $661.1M (2022-11-18 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • U•••• B•• I••••••••• M••••••••• L• reported RAUM $699.5M, up 74% from $402.6M (2019-12-23 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • U•••• B•• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Oct 2, 2018 · 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