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
U••••••••• ••• L••
Latest filing Jun 9, 2026
First filing on the tape Jan 30, 2020 · 16 filings
SEC status approved since Feb 28, 2020
RAUM
$2.5B
reported, Item 5.F
Discretionary
10%
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.5B as of Jun 9, 2026
Mar 31, 2021$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 9, 2026
Mar 31, 20213 then
Employees (5.A)9 as of Jun 9, 2026
Mar 31, 20218 then
Private funds2 as of Jan 23, 2025
Mar 29, 20242 then
RAUM -13% over the last fiscal year-2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 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
- $90.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 10%derivedof RAUM
- Institutional
- 10%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
- -13%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B77%
- Corporations and businesses$300M12%
- Pension and profit-sharing plans$256M10%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.77 institutional_share=0.1 related_bd=false related_bank=false bd_reps=2.0derived
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 |
|---|---|---|---|---|
| U••••••••• S•••••••• V• S••••••••• | Private Equity Fund | $529M | 114 | Mar 29, 2024 |
| U••••••••• D••••• I• S•• S•••• R••• | Private Equity Fund | $477M | 74 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• B••••••• J••• · Board Membercontrolsince 06/2004 · owns less than 5%
- A•••• H•••• C•••••• M•••• · D•••••Orcontrolsince 10/2022 · owns F of F•••• F•••••••••
- S••••••• B••••••• J••• · D•••••Orcontrolsince 07/2011 · owns F of F•••• F•••••••••
- S••••••• Y•••••• · D•••••Orcontrolsince 03/2020 · owns F of F•••• F•••••••••
- T•••••• D••••• E••••••• · D•••••Orcontrolsince 03/2020 · owns F of F•••• F•••••••••
- B••••••• D••••• C•••• · Chief Compliance Officersince 09/2022 · owns less than 5%
- M••••• R••••• A•• · Board Membersince 11/2012 · owns less than 5%
- M•••••• R••••• F•••••• · Board Membersince 10/2015 · owns less than 5%
Entity owners
- U••••••••• H•••••• S• · Shareholderdirect · owns 75% or more
- F•••• F••••••••• · Shareholderindirect · owns 25% to 50% of U••••••••• H•••••• S•
Related persons
Schedule D 7.A
- U••••••••• ••••••• G• L••••••pooled vehicle sponsorn
- U••••••••• ••• L••investment advisernRAUM $1.5B
- U••••••••• A••• P•• L••investment advisern
- U••••••••• A•••• M••••••••• ••••••• I•••investment advisern
- U••••••••• A•••• M••••••••• ••••••• S•investment advisern
- U••••••••• G• S•••pooled vehicle sponsorn
- U••••••••• S•investment adviserpooled vehicle sponsorn
- W•••• C••••• L••••••pooled vehicle sponsorn
Advisers that list U••••••••• ••• L•• as a related person
- 282265 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY8 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Apr 28, 2026institutional share of RAUM moved from 49.0% to 23.0% between the annual amendments of 2025-03-31 and 2026-04-28peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 24 to 27Nov 18, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 18Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $328M to $256MNov 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.0B to $2.2BNov 18, 2025 to Mar 31, 2026
- Pension RAUM · $328M to $256MNov 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.4B to $1.9BNov 18, 2025 to Mar 31, 2026
- RAUM · $2.3B to $2.5BNov 18, 2025 to Mar 31, 2026
- BD registered reps · 1 to 2Mar 31, 2025 to Nov 18, 2025
- Employees · 8 to 9Mar 31, 2025 to Nov 18, 2025
- Non-discretionary RAUM · $2.5B to $2.0BMar 31, 2025 to Nov 18, 2025
- RAUM · $2.8B to $2.3BMar 31, 2025 to Nov 18, 2025
- Accounts · 22 to 24Jan 23, 2025 to Mar 31, 2025
- BD registered reps · 2 to 1Jan 23, 2025 to Mar 31, 2025
- Corporate clients · 9 to 8Jan 23, 2025 to Mar 31, 2025
- Pooled vehicle clients · 12 to 15Jan 23, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 23, 2025 to Mar 31, 2025
- Private funds · 2 to unsetJan 23, 2025 to Mar 31, 2025
- Discretionary RAUM · $354M to $328MJan 23, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $2.3B to $2.5BJan 23, 2025 to Mar 31, 2025
- Pension RAUM · $354M to $328MJan 23, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $1.0B to $1.4BJan 23, 2025 to Mar 31, 2025
- RAUM · $2.7B to $2.8BJan 23, 2025 to Mar 31, 2025
- HQ city · J••••• CITY to NEW YORKOct 23, 2024 to Jan 23, 2025
- HQ state · NJ to NYOct 23, 2024 to Jan 23, 2025
- Other offices · 1 to 0Oct 23, 2024 to Jan 23, 2025
- BD registered reps · 1 to 2Apr 30, 2024 to Oct 23, 2024
- Employees · 9 to 8Apr 30, 2024 to Oct 23, 2024
- Other offices · 0 to 1Apr 30, 2024 to Oct 23, 2024
- Accounts · 27 to 22Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 5 to 6Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 12 to 9Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 14 to 12Mar 31, 2023 to Mar 29, 2024
- Employees · 8 to 9Mar 31, 2023 to Mar 29, 2024
- Private funds · unset to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $371M to $354MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $2.3B to $2.3BMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $371M to $354MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $963M to $1.0BMar 31, 2023 to Mar 29, 2024
- RAUM · $2.6B to $2.7BMar 31, 2023 to Mar 29, 2024
- Accounts · 19 to 27Oct 26, 2022 to Mar 31, 2023
Signals
11 dated events
- C•••••• M•••• H••• A••• (Director) appeared on Schedule A of U••••••••• ••• L••Mar 31, 2023 · Control person joined · fact
- Dominik Kremer (Board Member) no longer on Schedule A of U••••••••• ••• L•• (listed 2022-03-30, absent 2022-10-26)Oct 26, 2022 · Control person left · inference
- U••••••••• ••• L•• reported RAUM $2.2B, up 34% from $1.6B (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Christopher Boedtker (Board Member) no longer on Schedule A of U••••••••• ••• L•• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- U••••••••• ••• L•• reported RAUM $1.6B, up 34% from $1.2B (2020-01-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Nmn P•••••• F•••• (Director) no longer on Schedule A of U••••••••• ••• L•• (listed 2020-01-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- E•••••• J•••• A••••• H•••• (Director) no longer on Schedule A of U••••••••• ••• L•• (listed 2020-01-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Dominik Kremer (Board Member) appeared on Schedule A of U••••••••• ••• L••Mar 31, 2021 · Control person joined · fact
- Y•••••• S•••••• (Director) appeared on Schedule A of U••••••••• ••• L••Mar 31, 2021 · Control person joined · fact
- E••••••• D•••• T••••• (Director) appeared on Schedule A of U••••••••• ••• L••Mar 31, 2021 · Control person joined · fact
- U••••••••• ••• L•• filed its initial SEC registration (Form ADV)Jan 30, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- U••••••••• ••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- U•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +1 646 449 7670reportedpublic record, Form ADV, Jun 9, 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