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
3•• O•• A•••• M••••••••• L••••••
Latest filing Jun 24, 2026
First filing on the tape Apr 11, 2019 · 30 filings
SEC status approved since May 14, 2019
RAUM
$4.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$504M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.2B
derived; firm RAUM over IAPD count
Employees
130
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$4.3B as of Jun 24, 2026
Jun 19, 2020$2.8B then
HNW client RAUM$69.3M as of Jun 24, 2026
Jun 19, 2020$10.9M then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Jun 19, 20200 then
Employees (5.A)130 as of Jun 24, 2026
Jun 19, 2020113 then
Private funds6 as of Jun 24, 2026
Jun 19, 202022 then
RAUM -40% over the last fiscal year-3.4% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
- RAUM per advisor
- $2.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2,274derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.9MderivedHNW RAUM over HNW clients
- Average account
- $903,078derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 65.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $412M, 6 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B48%
- Sovereign wealth funds$1.7B39%
- Individuals$434M10%
- High-net-worth individuals$69.3M1.6%
- Corporations and businesses$67.3M1.6%
- Charitable organizations$59,0420.0%
- Individual clients
- 4,541reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 4,773reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $412M for 6 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.12 fund_share=0.48 institutional_share=0.39 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• P••••••••• M••••••••• | Mumbai,Maharashtra | May 14, 2019 | 20 y | 0 |
| M•••• J•••Chartered Financial Analyst | Mumbai,Maharashtra | May 14, 2019 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••••• O••••••••• F••• | Other Private Fund | $131M | 909 | Jun 12, 2023 |
| 3•• O•• R••• E••••• F••• ••••••••• • S••••• 2• | Other Private Fund | $129M | 322 | Jun 19, 2020 |
| 3•• O•• M••••••••• F••••• | Other Private Fund | $111M | 460 | Jun 17, 2022 |
| I••• S••• V••••••• F••• 1•no longer reported | Private Equity Fund | $106M | 249 | Jun 19, 2020 |
| I••• F•••••• E••••• S••••••••• F•••no longer reported | Private Equity Fund | $96.8M | 501 | Jun 19, 2020 |
| 3•• O•• Y•••• E••••••• F••• | Other Private Fund | $90.2M | 277 | Jun 19, 2020 |
| 3•• O•• E••••• O••••••••• F••• | Other Private Fund | $88.8M | 395 | Jun 28, 2021 |
| H••• C••••••••• F••• • S••••• 1• | Other Private Fund | $45.3M | 315 | Jun 19, 2020 |
| 3•• O•• S••••• S••••• • I• | Other Private Fund | $37.7M | 189 | Jun 19, 2020 |
| I••• R• O••••••• I•••• E••••• F•••no longer reported | Private Equity Fund | $25.3M | 206 | Jun 19, 2020 |
| 3•• O•• H••• G••••• C•••••••• F••• | Other Private Fund | $24.9M | 109 | Jun 19, 2020 |
| I••• I••••• O••••••••• F••• S••••• S•••••• S•••••••••no longer reported | Other Private Fund | $13.5M | 274 | Jun 19, 2020 |
| 3•• O•• M••••••••• F••• | Other Private Fund | $12.2M | 87 | Apr 11, 2019 |
| I••• E••••• O••••••••• F•••no longer reported | Hedge Fund | $0 | 0 | Apr 11, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••• O• P•••••• · Directorcontrolsince 08/2022 · owns less than 5%
- B••••• P••••• P••••• · Chief Financial Officercontrolsince 09/2014 · owns less than 5%
- G•••••• R••••••••• K• C• R••••••••• · Lead-Operationscontrolsince 04/2022 · owns less than 5%
- I••••••• R•••••• N••••••••• · Chief Executive Officer & Whole Time Directorcontrolsince 07/2024 · owns less than 5%
- M••••••••• A•••• P••••••••• · Chief Investment Officer & Whole Time Directorcontrolsince 08/2018 · owns less than 5%
- M•••• J••••••• B•••••••• · Head - Compliancecontrolsince 11/2020 · owns less than 5%
- T••••••••• S•••••• A•••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- K•••• A•••• P••• N••• · Directorsince 10/2023 · owns less than 5%
- P••• A••••• S••••• · Directorsince 01/2024 · owns less than 5%
- S••••••••• R•••• T•••••• S••••••••• · Directorsince 02/2021 · owns less than 5%
- S••••••••• K••••• K•••• R•• C•••••• · Directorsince 01/2020 · owns less than 5%
Entity owners
- 3•• O•• W•• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- 3•• O•• A••••••••• A•••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- 3•• O•• A•••• T•••••• L••••••pooled vehicle sponsorn
- 3•• O•• C•••••• P•• L••investment advisern
- 3•• O•• C•••••• ••••••• L••••••broker-dealern
- 3•• O•• D••••••••• S••••••• L••••••broker-dealern
- 3•• O•• I••••••••• A•••••• A•• T•••••• S••••••• L••••••investment advisern
- 3•• O•• P•••••••• M••••••• L••••••investment adviserpooled vehicle sponsornRAUM $3.6B
- 3•• O•• P•••• L••••••broker-dealerpooled vehicle sponsorreal estaten
- 3•• O•• P•••••• W••••• •••••• L••••••broker-dealern
- 3•• O•• W•• L••••••pooled vehicle sponsory
Advisers that list 3•• O•• A•••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6,576 to 4,773Dec 10, 2025 to Jun 24, 2026
- Charity clients · unset to 1.0Dec 10, 2025 to Jun 24, 2026
- Corporate clients · 281 to 175Dec 10, 2025 to Jun 24, 2026
- HNW clients · 6 to 7Dec 10, 2025 to Jun 24, 2026
- Individual clients · 6,228 to 4,541Dec 10, 2025 to Jun 24, 2026
- Assets in custody · $3.1B to $412MDec 10, 2025 to Jun 24, 2026
- Employees · 129 to 130Dec 10, 2025 to Jun 24, 2026
- Other offices · 0 to 1Dec 10, 2025 to Jun 24, 2026
- Private funds · 7 to 6Dec 10, 2025 to Jun 24, 2026
- Discretionary RAUM · $4.8B to $4.3BDec 10, 2025 to Jun 24, 2026
- HNW RAUM · $66.8M to $69.3MDec 10, 2025 to Jun 24, 2026
- Individual RAUM · $601M to $434MDec 10, 2025 to Jun 24, 2026
- Pooled vehicle RAUM · $2.0B to $2.1BDec 10, 2025 to Jun 24, 2026
- RAUM · $4.8B to $4.3BDec 10, 2025 to Jun 24, 2026
- Financial planning clients · unset to Jun 30, 2025 to Jul 31, 2025
- Accounts · 7,138 to 6,576Feb 13, 2025 to Jun 30, 2025
- Corporate clients · 308 to 281Feb 13, 2025 to Jun 30, 2025
- HNW clients · unset to 6.0Feb 13, 2025 to Jun 30, 2025
- Individual clients · 6,705 to 6,228Feb 13, 2025 to Jun 30, 2025
- Pooled vehicle clients · 68 to 13Feb 13, 2025 to Jun 30, 2025
- Employees · 194 to 129Feb 13, 2025 to Jun 30, 2025
- Discretionary RAUM · $8.7B to $4.8BFeb 13, 2025 to Jun 30, 2025
- HNW RAUM · $38.5M to $66.8MFeb 13, 2025 to Jun 30, 2025
- Individual RAUM · $590M to $601MFeb 13, 2025 to Jun 30, 2025
- Pooled vehicle RAUM · $6.5B to $2.0BFeb 13, 2025 to Jun 30, 2025
- RAUM · $8.7B to $4.8BFeb 13, 2025 to Jun 30, 2025
- HQ state · unset to Jul 30, 2024 to Feb 13, 2025
- Private funds · 23 to 7Jul 30, 2024 to Feb 13, 2025
- Private funds · 25 to 23Feb 12, 2024 to Jun 21, 2024
- Discretionary RAUM · $7.1B to $8.7BFeb 12, 2024 to Jun 21, 2024
- HNW RAUM · $26.6M to $38.5MFeb 12, 2024 to Jun 21, 2024
- Individual RAUM · $509M to $590MFeb 12, 2024 to Jun 21, 2024
- Pooled vehicle RAUM · $5.3B to $6.5BFeb 12, 2024 to Jun 21, 2024
- RAUM · $7.1B to $8.7BFeb 12, 2024 to Jun 21, 2024
- Accounts · 7,593 to 7,138Feb 12, 2024 to Jun 21, 2024
- Charity clients · 6.0 to unsetFeb 12, 2024 to Jun 21, 2024
- Corporate clients · 331 to 308Feb 12, 2024 to Jun 21, 2024
- Individual clients · 7,145 to 6,705Feb 12, 2024 to Jun 21, 2024
- Pooled vehicle clients · 57 to 68Feb 12, 2024 to Jun 21, 2024
- Assets in custody · $3.4B to $3.1BFeb 12, 2024 to Jun 21, 2024
Signals
22 dated events
- 3•• O•• A•••• M••••••••• L•••••• reported RAUM $4.8B, down 45% from $8.7B (2025-02-13 to 2025-06-30)Jun 30, 2025 · RAUM change · derived
- N••••••••• R••••• I•••••• (Chief Executive Officer & Whole Time Director) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Jul 30, 2024 · Control person joined · fact
- Manoj Shenoy (Ceo) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2022-06-17, absent 2022-08-22)Aug 22, 2022 · Control person left · inference
- Karan Bhagat (Director) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Aug 22, 2022 · Control person joined · fact
- 3•• O•• A•••• M••••••••• L•••••• reported RAUM $6.3B, up 32% from $4.8B (2022-03-09 to 2022-06-17)Jun 17, 2022 · RAUM change · derived
- R••••••• V••••••••• (Director) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2022-03-09, absent 2022-06-17)Jun 17, 2022 · Control person left · inference
- Chonkar Nilesh (Svp - Operations) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2022-03-09, absent 2022-06-17)Jun 17, 2022 · Control person left · inference
- R••••••••• G••••• (Lead-Operations) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Jun 17, 2022 · Control person joined · fact
- 3•• O•• A•••• M••••••••• L•••••• reported RAUM $4.8B, up 68% from $2.8B (2021-02-12 to 2021-06-28)Jun 28, 2021 · RAUM change · derived
- R••• S••••••••• (Director) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Jun 28, 2021 · Control person joined · fact
- Prashasta Seth (Joint Chief Executive Officer) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2020-12-23, absent 2021-02-12)Feb 12, 2021 · Control person left · inference
- Manoj Shenoy (Ceo) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Feb 12, 2021 · Control person joined · fact
- B•••••••• J•••••• M••• (Head - Compliance) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Dec 23, 2020 · Control person joined · fact
- Ashok Ashutosh Naik (Head - Compliance) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2020-07-29, absent 2020-10-30)Oct 30, 2020 · Control person left · inference
- Chonkar Nilesh (Svp - Operations) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Jul 29, 2020 · Control person joined · fact
- Dipesh Mamania (Svp - Operations) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2020-06-19, absent 2020-07-29)Jul 29, 2020 · Control person left · inference
- Smita Aggarwal (Director) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Jun 19, 2020 · Control person joined · fact
- Ardeshir Homai Daruwalla (Director) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2020-02-11, absent 2020-06-19)Jun 19, 2020 · Control person left · inference
- Prakash Pranab Pattnayak (Director) no longer on Schedule A of 3•• O•• A•••• M••••••••• L•••••• (listed 2020-02-11, absent 2020-06-19)Jun 19, 2020 · Control person left · inference
- Sharadindu Kumar (Director) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Feb 11, 2020 · Control person joined · fact
- R••••••• V••••••••• (Director) appeared on Schedule A of 3•• O•• A•••• M••••••••• L••••••Nov 6, 2019 · Control person joined · fact
- I••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Apr 11, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 3•• O•• A•••• M••••••••• L•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 3••.onereportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +91 022 4876 5600reportedpublic record, Form ADV, Jun 24, 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
- $2.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026