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
I•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2022 · 6 filings
SEC status approved since Apr 28, 2022
RAUM
$295M
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
10
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$295M as of Mar 31, 2026
Mar 27, 2023$243M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20230 then
Employees (5.A)10 as of Mar 31, 2026
Mar 27, 20238 then
Private funds6 as of Mar 31, 2026
Mar 27, 20235 then
RAUM +7.4% over the last fiscal year+6.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $49.1MderivedRAUM 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
- +7.4%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 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
- 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$295M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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=1.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• C•••••• I•• L• | Other Private Fund | $139M | 92 | Mar 28, 2022 |
| I•••••• C••••••• L• | Other Private Fund | $86.3M | 77 | Oct 28, 2019 |
| I•••••• C••••••• F•••• L• | Other Private Fund | $28.5M | 8 | Mar 27, 2023 |
| I•••••• C•••••• I• A• L• | Other Private Fund | $18.3M | 36 | Mar 27, 2023 |
| I•••••• C•••••• P••• L• | Other Private Fund | $5.4M | 1 | Oct 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- D••••• I•• N•••••• A• · Managercontrolsince 05/2017 · owns 50% to 75%
- T•••••• K•••••••• J••• · Chief Compliance Officer / Vice President Of Finance & Operationscontrolsince 06/2021 · owns less than 5%
- S••••••• B•••••••• M• · Partnercontrolsince 10/2018 · owns 25% to 50% of L•••• C••••••• L••
- W•••••• C••••••• C• · Partnercontrolsince 10/2018 · owns 25% to 50% of L•••• C••••••• L••
Entity owners
- L•••• C••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- I•••••• C•••••• G•• L••pooled vehicle sponsorn
- I•••••• C•••••• I• G•• L••pooled vehicle sponsorn
- I•••••• C••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 5 to 6Mar 26, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 6Mar 26, 2025 to Mar 31, 2026
- Employees · 11 to 10Mar 26, 2025 to Mar 31, 2026
- Private funds · 5 to 6Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $274M to $295MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $274M to $295MMar 26, 2025 to Mar 31, 2026
- RAUM · $274M to $295MMar 26, 2025 to Mar 31, 2026
- Employees · 10 to 11Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $278M to $274MMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $278M to $274MMar 26, 2024 to Mar 26, 2025
- RAUM · $278M to $274MMar 26, 2024 to Mar 26, 2025
- Related adviser · false to trueMar 26, 2024 to Mar 26, 2025
- Employees · 8 to 10May 31, 2023 to Mar 26, 2024
- Other offices · 0 to 1May 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $243M to $278MMay 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $243M to $278MMay 31, 2023 to Mar 26, 2024
- RAUM · $243M to $278MMay 31, 2023 to Mar 26, 2024
- Accounts · 3 to 5Mar 28, 2022 to Mar 27, 2023
- Advisory employees · 3 to 4Mar 28, 2022 to Mar 27, 2023
- Pooled vehicle clients · 3 to 5Mar 28, 2022 to Mar 27, 2023
- Custody of client assets · true to falseMar 28, 2022 to Mar 27, 2023
- Employees · 7 to 8Mar 28, 2022 to Mar 27, 2023
- Private funds · 6 to 5Mar 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $150M to $243MMar 28, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $150M to $243MMar 28, 2022 to Mar 27, 2023
- RAUM · $150M to $243MMar 28, 2022 to Mar 27, 2023
Signals
1 dated events
- I•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I•••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- I•••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/illumen-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- illumencapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 510-250-1510reportedpublic record, Form ADV, Mar 31, 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