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
L•••• I••••••••• G••••• L•••
Latest filing Mar 17, 2026
First filing on the tape Jul 11, 2018 · 12 filings
SEC status approved since Aug 10, 2018
RAUM
$484M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$484M as of Mar 17, 2026
Mar 27, 2019$34.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 27, 20190 then
Employees (5.A)4 as of Mar 17, 2026
Mar 27, 20193 then
Private funds1 as of Mar 17, 2026
Mar 27, 20191 then
RAUM +0.8% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $242MderivedRAUM 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
- +0.8%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
- $450M, 1 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$454M94%
- Pooled investment vehicles$29.2M6.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $450M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.06 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• P••••••• L••no longer reported | Hedge Fund | $340M | 2 | Mar 29, 2021 |
| L•••• I•••• H••••• F••• L•••••• | Other Private Fund | $29.1M | 12 | Jul 11, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• A•••• · President & Ccocontrolsince 06/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New Delhi, India4 employees
What changed
consecutive filings, newest first
- Employees · 5 to 4Mar 13, 2025 to Mar 17, 2026
- Discretionary RAUM · $480M to $484MMar 13, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $29.4M to $29.2MMar 13, 2025 to Mar 17, 2026
- RAUM · $480M to $484MMar 13, 2025 to Mar 17, 2026
- Assets in custody · $419M to $450MJan 27, 2025 to Mar 13, 2025
- Financial planning clients · 0 to 0Jan 27, 2025 to Mar 13, 2025
- Discretionary RAUM · $448M to $480MJan 27, 2025 to Mar 13, 2025
- Pooled vehicle RAUM · $29.1M to $29.4MJan 27, 2025 to Mar 13, 2025
- RAUM · $448M to $480MJan 27, 2025 to Mar 13, 2025
- HQ state · unset to Mar 15, 2024 to Jan 27, 2025
- Assets in custody · $312M to $419MMar 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $333M to $448MMar 20, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $21.8M to $29.1MMar 20, 2023 to Mar 15, 2024
- RAUM · $333M to $448MMar 20, 2023 to Mar 15, 2024
- Assets in custody · $340M to $312MNov 4, 2022 to Mar 20, 2023
- Discretionary RAUM · $367M to $333MNov 4, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $27.1M to $21.8MNov 4, 2022 to Mar 20, 2023
- RAUM · $367M to $333MNov 4, 2022 to Mar 20, 2023
- Private funds · 2 to 1Mar 28, 2022 to Jun 1, 2022
- Advisory activities · 2 to 1Mar 29, 2021 to Mar 28, 2022
- Assets in custody · unset to 339783881.0Mar 29, 2021 to Mar 28, 2022
- Custody of client assets · false to trueMar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $269M to $367MMar 29, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $20.7M to $27.1MMar 29, 2021 to Mar 28, 2022
- RAUM · $269M to $367MMar 29, 2021 to Mar 28, 2022
- Employees · 4 to 5Mar 26, 2020 to Mar 29, 2021
- Private funds · 1 to 2Mar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $236M to $269MMar 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $33.6M to $20.7MMar 26, 2020 to Mar 29, 2021
- RAUM · $236M to $269MMar 26, 2020 to Mar 29, 2021
- Accounts · 1 to 2Mar 27, 2019 to Mar 26, 2020
- Advisory employees · 3 to 4Mar 27, 2019 to Mar 26, 2020
- Corporate clients · unset to 1.0Mar 27, 2019 to Mar 26, 2020
- Employees · 3 to 4Mar 27, 2019 to Mar 26, 2020
- Discretionary RAUM · $34.6M to $236MMar 27, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $34.6M to $33.6MMar 27, 2019 to Mar 26, 2020
- RAUM · $34.6M to $236MMar 27, 2019 to Mar 26, 2020
- Advisory employees · 1 to 3Jul 11, 2018 to Mar 27, 2019
- Employees · 1 to 3Jul 11, 2018 to Mar 27, 2019
- Financial planning clients · unset to 0Jul 11, 2018 to Mar 27, 2019
Signals
2 dated events
- L•••• I••••••••• G••••• L••• reported RAUM $448.5M, up 35% from $333.3M (2023-03-20 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- L•••• I••••••••• G••••• L••• filed its initial SEC registration (Form ADV)Jul 11, 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
- 230-212-9800reportedpublic record, Form ADV, Mar 17, 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
- Other 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