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
I• F•••• A•••••• L••
Latest filing Oct 24, 2025
First filing on the tape Mar 31, 2022 · 14 filings
SEC status approved since Apr 29, 2022
RAUM
$260M
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
12
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
41
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$260M as of Oct 24, 2025
Mar 14, 2023$143M then
HNW client RAUM$0 as of Oct 24, 2025
Mar 14, 2023$0 then
State-registered IARs (5.B.3)0 as of Oct 24, 2025
Mar 14, 20231 then
Employees (5.A)12 as of Oct 24, 2025
Mar 14, 202316 then
Private funds41 as of Oct 24, 2025
Mar 14, 202327 then
RAUM +31% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 24, 2025; 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
- $6.0MderivedRAUM 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
- +40%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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$260M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 43reported
- Financial planning clients
- reported
- 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
Private funds
36 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I• F•••• 3• • V••••• 3• | Private Equity Fund | $23.2M | 81 | Mar 14, 2023 |
| I• F•••• 3• • R••••• 2• | Private Equity Fund | $21.9M | 37 | Mar 14, 2023 |
| I• F••• L•• • S••••• X• | Private Equity Fund | $21.1M | 66 | Mar 31, 2022 |
| I•• P••••••• H••••••• L••no longer reported | Private Equity Fund | $17.7M | 25 | Mar 31, 2022 |
| I••••• F••• 2• • A• S••••• O• I• F•••• 3• L•• | Private Equity Fund | $12.4M | 10 | Mar 14, 2023 |
| I• F•••• I• L•• • P••••• I• | Private Equity Fund | $11.0M | 7 | Mar 29, 2024 |
| I• F•••• I• L•• • S••••• I• G•••• F•••• | Private Equity Fund | $9.4M | 52 | Mar 31, 2022 |
| I• F•••• 3• • U•••• | Private Equity Fund | $9.2M | 50 | Mar 29, 2024 |
| I• F•••• I• S••••• I• L•• | Private Equity Fund | $9.0M | 49 | Mar 31, 2022 |
| I• F•••• I• L•• S••••• V• | Private Equity Fund | $8.8M | 50 | Mar 31, 2022 |
| I• F•••• I• L•• S••••• I• | Private Equity Fund | $6.4M | 53 | Mar 31, 2022 |
| I• F•••• I• L•• S••••• V• | Private Equity Fund | $6.3M | 55 | Mar 31, 2022 |
| I• F•••• I• • G••••• | Private Equity Fund | $6.2M | 48 | Mar 14, 2023 |
| I• F•••• I• L•• S••••• I•• | Private Equity Fund | $5.8M | 42 | Mar 31, 2022 |
| T•••••• • I•• I• L•• | Private Equity Fund | $5.6M | 51 | Mar 14, 2023 |
| I• F••• L•• • S••••• V• | Private Equity Fund | $5.4M | 11 | Mar 31, 2022 |
| I• F•••• 3• • P•••••••• 2• | Private Equity Fund | $4.5M | 34 | Mar 29, 2024 |
| I• F••• L•• • S••••• V••• | Private Equity Fund | $4.4M | 26 | Mar 31, 2022 |
| I• F•••• I• L•• • I••••• G•••••••• 2• | Private Equity Fund | $3.8M | 30 | Mar 14, 2023 |
| I• F•••• 3• • C••••• 2• | Private Equity Fund | $3.8M | 10 | Mar 29, 2024 |
| I• F•••• 3• • T•••• P••• 2• | Private Equity Fund | $3.2M | 28 | Mar 29, 2024 |
| I• F•••• I• L•• S••••• X• | Private Equity Fund | $2.5M | 25 | Mar 31, 2022 |
| I• F•••• I• L•• S••••• V•• | Private Equity Fund | $2.5M | 31 | Mar 31, 2022 |
| I• F•••• 3• • C••••• S••••• 3• | Private Equity Fund | $2.1M | 26 | Mar 29, 2024 |
| I• F•••• I• • P••••• | Private Equity Fund | $2.0M | 85 | Mar 14, 2023 |
| I• F••• L•• • S••••• V• | Private Equity Fund | $1.9M | 13 | Mar 31, 2022 |
| I• I••••••••• F••• L•• | Private Equity Fund | $1.2M | 9 | Mar 14, 2023 |
| I• F••• L•• • S••••• I•• | Private Equity Fund | $904,678 | 6 | Mar 31, 2022 |
| I• F••• L•• • S••••• X•• | Private Equity Fund | $527,834 | 20 | Mar 31, 2022 |
| I• F•••• 3• • L••••• L••• | Private Equity Fund | $313,827 | 3 | Mar 29, 2024 |
| I• F••• L•• • S••••• X• | Private Equity Fund | $270,117 | 30 | Mar 31, 2022 |
| I• F••• L•• • S••••• X• | Private Equity Fund | $222,530 | 3 | Mar 31, 2022 |
| I• F•••• 3• • V••••• 4• | Private Equity Fund | $143,393 | 2 | Mar 29, 2024 |
| I• F••• L•• • S••••• I• | Private Equity Fund | $123,423 | 9 | Mar 31, 2022 |
| I• F•••• I• L•• S••••• I• | Private Equity Fund | $0 | 26 | Mar 31, 2022 |
| I• F•••• 3• • B••••• | Private Equity Fund | $0 | 38 | Mar 14, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• D•••••• J••••• · Membercontrolsince 05/2017 · owns 50% to 75%
- M••••••• J•••••• Q•••••• · Membercontrolsince 05/2017 · owns 50% to 75%
- L•••••••• K•••• W••••• · Chief Compliance Officer & General Counselsince 03/2024 · owns less than 5%
- P••••• A••••••••• A• · Chief Financial Officersince 12/2023 · owns less than 5%
Related persons
Schedule D 7.A
- I• F•••• M•••••• L••pooled vehicle sponsorn
- I• I••••••••• F••• M•••••• L••pooled vehicle sponsorn
- I•• S•••••• M••••••• P•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 0 to 1Jun 9, 2025 to Oct 24, 2025
- Discretionary RAUM · $277M to $260MJun 9, 2025 to Oct 24, 2025
- Pooled vehicle RAUM · $277M to $260MJun 9, 2025 to Oct 24, 2025
- RAUM · $277M to $260MJun 9, 2025 to Oct 24, 2025
- Accounts · 45 to 43Mar 31, 2025 to Jun 9, 2025
- Pooled vehicle clients · 45 to 41Mar 31, 2025 to Jun 9, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jun 9, 2025
- Private funds · 45 to 41Mar 31, 2025 to Jun 9, 2025
- Accounts · 35 to 45Sep 26, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Sep 26, 2024 to Mar 31, 2025
- BD registered reps · 4 to 0Sep 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 35 to 45Sep 26, 2024 to Mar 31, 2025
- Assets in custody · 213000000.0 to unsetSep 26, 2024 to Mar 31, 2025
- Custody of client assets · true to falseSep 26, 2024 to Mar 31, 2025
- Employees · 16 to 12Sep 26, 2024 to Mar 31, 2025
- Private funds · 35 to 45Sep 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $213M to $277MSep 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $213M to $277MSep 26, 2024 to Mar 31, 2025
- RAUM · $213M to $277MSep 26, 2024 to Mar 31, 2025
- Assets in custody · $143M to $213MMar 29, 2024 to Sep 26, 2024
- Discretionary RAUM · $198M to $213MMar 29, 2024 to Sep 26, 2024
- Pooled vehicle RAUM · $198M to $213MMar 29, 2024 to Sep 26, 2024
- RAUM · $198M to $213MMar 29, 2024 to Sep 26, 2024
- Related broker-dealer · true to falseMar 29, 2024 to Sep 26, 2024
- Accounts · 28 to 35Dec 26, 2023 to Mar 29, 2024
- Pooled vehicle clients · 28 to 35Dec 26, 2023 to Mar 29, 2024
- State-registered IARs · 1 to 0Dec 26, 2023 to Mar 29, 2024
- Private funds · 27 to 35Dec 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $143M to $198MDec 26, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $143M to $198MDec 26, 2023 to Mar 29, 2024
- RAUM · $143M to $198MDec 26, 2023 to Mar 29, 2024
- Advisory activities · 2 to 1May 1, 2023 to Dec 26, 2023
- Accounts · 19 to 28Sep 30, 2022 to Mar 14, 2023
- Pooled vehicle clients · 19 to 28Sep 30, 2022 to Mar 14, 2023
- Assets in custody · $104M to $143MSep 30, 2022 to Mar 14, 2023
- State-registered IARs · 0 to 1Sep 30, 2022 to Mar 14, 2023
- Private funds · 19 to 27Sep 30, 2022 to Mar 14, 2023
- Discretionary RAUM · $104M to $143MSep 30, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · $104M to $143MSep 30, 2022 to Mar 14, 2023
- RAUM · $104M to $143MSep 30, 2022 to Mar 14, 2023
Signals
8 dated events
- I• F•••• A•••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $260.1M)Apr 1, 2026 · Left the SEC roster · derived
- J••••• M••• D•••••••• (Chief Compliance Officer) no longer on Schedule A of I• F•••• A•••••• L•• (listed 2023-12-26, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Willem Karl Lohwater (Chief Compliance Officer) appeared on Schedule A of I• F•••• A•••••• L••Mar 29, 2024 · Control person joined · fact
- J••••• M••• D•••••••• (Chief Compliance Officer) appeared on Schedule A of I• F•••• A•••••• L••Dec 26, 2023 · Control person joined · fact
- Nmn Gennady Bekasov (Chief Compliance Officer) no longer on Schedule A of I• F•••• A•••••• L•• (listed 2023-05-01, absent 2023-12-26)Dec 26, 2023 · Control person left · inference
- Nmn Gennady Bekasov (Chief Compliance Officer) appeared on Schedule A of I• F•••• A•••••• L••Aug 9, 2022 · Control person joined · fact
- J••••• John Mulkern (Cco) no longer on Schedule A of I• F•••• A•••••• L•• (listed 2022-03-31, absent 2022-05-03)May 3, 2022 · Control person left · inference
- I• F•••• A•••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I• F•••• A•••••• L•• · Private Equityshared crd · organization
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