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••••••••• A••••••• R••••• I••••••••• L••

Other adviserNew York, New YorkCRD 306860SEC 801-118192IAPD
Latest filing May 7, 2026
First filing on the tape Feb 7, 2020 · 18 filings
SEC status approved since Mar 9, 2020
RAUM
$1.1B
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
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.1B as of May 7, 2026
Mar 31, 2021$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 7, 2026
Mar 31, 20210 then
Employees (5.A)5 as of May 7, 2026
Mar 31, 20216 then
Private funds3 as of May 7, 2026
Mar 30, 20221 then
RAUM -13% over the last fiscal year-3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 7, 2026; every figure names its basis
Archetypes, each a printed rule
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
$225MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
53%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
-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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Sovereign wealth funds$590M53%
  • Pooled investment vehicles$534M47%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.47 institutional_share=0.53 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••• G••••• S•• • P•••••• S•Other Private Fund$336M1Mar 30, 2023
      C•••••• A••••• F••• • S••••• H•Other Private Fund$237M1Mar 30, 2023
      I••••••••• S•••••• O••••••••• I•••••• D••••••••• L••• O••••••• F••• I• L•Hedge Fund$109M14Mar 30, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• I•• · Chief Compliance Officer, Head Of Legal And Compliancecontrol
        since 07/2024 · owns less than 5%
      • E•••••• L•••••• N•••••• · Manager, Head And Chief Investment Officercontrol
        since 12/2013 · owns less than 5%
      • J••••• J•••••••• R••••• · Officercontrol
        since 05/2020 · owns less than 5%
      • M•••••••• J••••• A•••••• · Presidentcontrol
        since 11/2022 · owns less than 5%
      • T••••••••• P•••••• · Shareholdercontrol
        since 11/2023 · owns 25% to 50% of T•••• A••••••••• S•••••••• S••••
      Entity owners
      • I••••••••• A•• H••••••• L•• · Sole Member
        direct · owns 75% or more
      • C• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of I••••••••• H••••••• L••••••
      • I•••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of I•••• I••••••••• S•• L••
      • I•••• I••••••••• S•• L•• · Shareholder
        indirect · owns 25% to 50% of S•••• L••••••
      • I••••••••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of I••••••••• S•••
      • I••••••••• S••• · Shareholder
        indirect · owns 50% to 75% of I••••••••• L••••••
      • I••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of I••••••••• A•• H••••••• L••
      • S•••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of I•••• H••••••• L••
      • S•••• L•••••• · Shareholder
        indirect · owns 75% or more of C• H••••••• L••••••
      • T•••• A••••••••• S•••••••• S•••• · Shareholder
        indirect · owns 50% to 75% of I••••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list I••••••••• A••••••• R••••• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom2 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.3B to $1.1B
        Nov 3, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $610M to $534M
        Nov 3, 2025 to Mar 30, 2026
      • RAUM · $1.3B to $1.1B
        Nov 3, 2025 to Mar 30, 2026
      • Employees · 8 to 5
        Mar 31, 2025 to Nov 3, 2025
      • Advisory employees · 5 to 4
        Dec 12, 2024 to Mar 31, 2025
      • Employees · 7 to 8
        Dec 12, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Dec 12, 2024 to Mar 31, 2025
      • Discretionary RAUM · $1.3B to $1.3B
        Dec 12, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $675M to $610M
        Dec 12, 2024 to Mar 31, 2025
      • RAUM · $1.3B to $1.3B
        Dec 12, 2024 to Mar 31, 2025
      • Related broker-dealer · true to false
        Dec 12, 2024 to Mar 31, 2025
      • Discretionary RAUM · $1.3B to $1.3B
        Mar 30, 2023 to Mar 22, 2024
      • Pooled vehicle RAUM · $648M to $675M
        Mar 30, 2023 to Mar 22, 2024
      • RAUM · $1.3B to $1.3B
        Mar 30, 2023 to Mar 22, 2024
      • Accounts · 2 to 5
        Oct 25, 2022 to Mar 30, 2023
      • Advisory employees · 6 to 5
        Oct 25, 2022 to Mar 30, 2023
      • Pooled vehicle clients · unset to 3.0
        Oct 25, 2022 to Mar 30, 2023
      • Other offices · 0 to 1
        Oct 25, 2022 to Mar 30, 2023
      • Private funds · 1 to 3
        Oct 25, 2022 to Mar 30, 2023
      • Discretionary RAUM · $953M to $1.3B
        Oct 25, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · unset to 647867521.0
        Oct 25, 2022 to Mar 30, 2023
      • RAUM · $953M to $1.3B
        Oct 25, 2022 to Mar 30, 2023
      • Accounts · 5 to 2
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 5.0 to unset
        Mar 31, 2021 to Mar 30, 2022
      • Employees · 6 to 7
        Mar 31, 2021 to Mar 30, 2022
      • Private funds · unset to 1
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $1.0B to $953M
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · 1002954148.0 to unset
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $1.0B to $953M
        Mar 31, 2021 to Mar 30, 2022
      • Related bank · true to false
        Mar 31, 2021 to Mar 30, 2022
      • Advisory employees · 8 to 6
        Jan 8, 2021 to Mar 31, 2021
      • Assets in custody · 876577850.0 to unset
        Jan 8, 2021 to Mar 31, 2021
      • Custody of client assets · true to false
        Jan 8, 2021 to Mar 31, 2021
      • Employees · 8 to 6
        Jan 8, 2021 to Mar 31, 2021
      • Discretionary RAUM · $887M to $1.0B
        Jan 8, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $887M to $1.0B
        Jan 8, 2021 to Mar 31, 2021
      • RAUM · $887M to $1.0B
        Jan 8, 2021 to Mar 31, 2021
      • Accounts · unset to 5.0
        Sep 23, 2020 to Dec 23, 2020
      • Pooled vehicle clients · unset to 5.0
        Sep 23, 2020 to Dec 23, 2020
      • Discretionary RAUM · unset to 887083544.0
        Sep 23, 2020 to Dec 23, 2020
      Signals
      9 dated events
      • Ira A•••••• (Chief Compliance Officer, Head Of Legal And Compliance) appeared on Schedule A of I••••••••• A••••••• R••••• I••••••••• L••
        Sep 13, 2024 · Control person joined · fact
      • I••••••••• A••••••• R••••• I••••••••• L•• reported RAUM $1.3B, up 32% from $952.7M (2022-10-25 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • Anthony James Medeiros (President) appeared on Schedule A of I••••••••• A••••••• R••••• I••••••••• L••
        Mar 30, 2023 · Control person joined · fact
      • Robert Jonathan Joyce (Officer) appeared on Schedule A of I••••••••• A••••••• R••••• I••••••••• L••
        Mar 30, 2022 · Control person joined · fact
      • Krzysztof Lis (Chief Compliance Officer) no longer on Schedule A of I••••••••• A••••••• R••••• I••••••••• L•• (listed 2021-03-31, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • Joseph Brian Murphy (Chief Compliance Officer) no longer on Schedule A of I••••••••• A••••••• R••••• I••••••••• L•• (listed 2020-09-23, absent 2020-12-23)
        Dec 23, 2020 · Control person left · inference
      • Krzysztof Lis (Chief Compliance Officer) appeared on Schedule A of I••••••••• A••••••• R••••• I••••••••• L••
        Dec 23, 2020 · Control person joined · fact
      • P•••••• T••••••••• (Shareholder) appeared on Schedule A of I••••••••• A••••••• R••••• I••••••••• L••
        Jun 25, 2020 · Control person joined · fact
      • I••••••••• A••••••• R••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 7, 2020 · 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
      212-599-4700reportedpublic record, Form ADV, May 7, 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