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•• P•••••••• M••••••• L••••••
Latest filing Jun 24, 2026
First filing on the tape Feb 27, 2020 · 20 filings
SEC status approved since Apr 28, 2020
RAUM
$3.6B
reported, Item 5.F
Discretionary
32%
of RAUM
Private clients
92%
$3.3B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.6B
derived; firm RAUM over IAPD count
Employees
72
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$3.6B as of Jun 24, 2026
Jun 28, 2021$3.1B then
HNW client RAUM$1.7B as of Jun 24, 2026
Jun 28, 2021$2.0B then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Jun 28, 20210 then
Employees (5.A)72 as of Jun 24, 2026
Jun 28, 202156 then
Private funds2 as of Jun 24, 2026
Jun 28, 20215 then
RAUM +11% over the last fiscal year+5.1% a year over threeIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,820derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 32%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 72.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 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
- +1.1%derived
- 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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $10.5M, 2 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
- High-net-worth individuals$1.7B49%
- Individuals$1.6B45%
- Corporations and businesses$167M4.7%
- Pooled investment vehicles$38.2M1.1%
- Charitable organizations$24.9M0.7%
- Individual clients
- 1,699reported
- HNW clients
- 121reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 2,096reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.5M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.92 fund_share=0.01 institutional_share=0.01 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• V•••••••• M••• | Hyderabad,Telangana | Apr 30, 2026 | 12 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3•• O•• B•••••• F••• • S••••• A•no longer reported | Other Private Fund | $9.3M | 44 | Feb 27, 2020 |
| 3•• O•• C••• A••••••••• | Other Private Fund | $5.6M | 41 | Jun 28, 2021 |
| 3•• O•• C••• C•••••••••no longer reported | Other Private Fund | $5.2M | 14 | Jun 28, 2022 |
| 3•• O•• C••• B••••••• | Other Private Fund | $4.9M | 17 | Jun 28, 2024 |
| I••• O•• O••••••••• F•• • S••••• 1•no longer reported | Other Private Fund | $3.0M | 17 | Jun 28, 2021 |
| 3•• O•• A•• C•• F•••no longer reported | Other Private Fund | $3.0M | 9 | Feb 27, 2020 |
| 3•• O•• B•••••• F••• • S••••• B•no longer reported | Other Private Fund | $2.3M | 8 | Feb 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• H••••••• V•••• · Directorcontrolsince 03/2021 · owns less than 5%
- D••••• G•••••• J•••••• · Directorcontrolsince 07/2025 · owns less than 5%
- S•••• Y••••• P••••••••• · Directorcontrolsince 07/2016 · owns less than 5%
- T••••••••• S•••••• A•••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- J•••• A••• R••• · Directorsince 09/2024 · 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•••• M••••••••• L••••••investment adviserpooled vehicle sponsornRAUM $4.3B
- 3•• O•• A•••• T•••••• L••••••n
- 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•••• 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•• P•••••••• M••••••• L•••••• as a related person
- 300914 n
Offices
Schedule D 1.F, the 25 largest
- New Delhi, India1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 24, 2026D••••• G•••••• J•••••• (DIRECTOR) appeared on Schedule A between the filings of 2024-11-05 and 2026-06-24peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 24, 2026C••••••••• H••••••• V•••• (DIRECTOR) left Schedule A between the filings of 2024-11-05 and 2026-06-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,038 to 2,096Aug 12, 2025 to Jun 24, 2026
- Corporate clients · 196 to 234Aug 12, 2025 to Jun 24, 2026
- HNW clients · 145 to 121Aug 12, 2025 to Jun 24, 2026
- Individual clients · 1,664 to 1,699Aug 12, 2025 to Jun 24, 2026
- Assets in custody · $9.9M to $10.5MAug 12, 2025 to Jun 24, 2026
- Employees · 76 to 72Aug 12, 2025 to Jun 24, 2026
- Other offices · 1 to 2Aug 12, 2025 to Jun 24, 2026
- Discretionary RAUM · $1.2B to $1.2BAug 12, 2025 to Jun 24, 2026
- HNW RAUM · $1.9B to $1.7BAug 12, 2025 to Jun 24, 2026
- Individual RAUM · $1.6B to $1.6BAug 12, 2025 to Jun 24, 2026
- Non-discretionary RAUM · $2.6B to $2.5BAug 12, 2025 to Jun 24, 2026
- Pooled vehicle RAUM · $41.9M to $38.2MAug 12, 2025 to Jun 24, 2026
- RAUM · $3.9B to $3.6BAug 12, 2025 to Jun 24, 2026
- Advisory employees · 1 to 2Jun 30, 2025 to Aug 12, 2025
- Employees · 85 to 76Jun 30, 2025 to Aug 12, 2025
- Financial planning clients · 0 to 0Jun 30, 2025 to Aug 12, 2025
- Accounts · 1,914 to 2,038Nov 5, 2024 to Jun 30, 2025
- Advisory employees · 2 to 1Nov 5, 2024 to Jun 30, 2025
- Charity clients · 7 to 9Nov 5, 2024 to Jun 30, 2025
- Corporate clients · 180 to 196Nov 5, 2024 to Jun 30, 2025
- HNW clients · 164 to 145Nov 5, 2024 to Jun 30, 2025
- Individual clients · 1,536 to 1,664Nov 5, 2024 to Jun 30, 2025
- Pooled vehicle clients · 6 to 5Nov 5, 2024 to Jun 30, 2025
- Assets in custody · $27.8M to $9.9MNov 5, 2024 to Jun 30, 2025
- Employees · 97 to 85Nov 5, 2024 to Jun 30, 2025
- HQ state · unset to Nov 5, 2024 to Jun 30, 2025
- Private funds · 3 to 2Nov 5, 2024 to Jun 30, 2025
- Discretionary RAUM · $1.1B to $1.2BNov 5, 2024 to Jun 30, 2025
- HNW RAUM · $2.4B to $1.9BNov 5, 2024 to Jun 30, 2025
- Individual RAUM · $1.1B to $1.6BNov 5, 2024 to Jun 30, 2025
- Non-discretionary RAUM · $2.7B to $2.6BNov 5, 2024 to Jun 30, 2025
- Pooled vehicle RAUM · $64.0M to $41.9MNov 5, 2024 to Jun 30, 2025
- RAUM · $3.7B to $3.9BNov 5, 2024 to Jun 30, 2025
- Accounts · 1,892 to 1,914Apr 18, 2024 to Jun 28, 2024
- Charity clients · 5 to 7Apr 18, 2024 to Jun 28, 2024
- Corporate clients · 175 to 180Apr 18, 2024 to Jun 28, 2024
- HNW clients · 119 to 164Apr 18, 2024 to Jun 28, 2024
- Individual clients · 1,563 to 1,536Apr 18, 2024 to Jun 28, 2024
- Pooled vehicle clients · 10 to 6Apr 18, 2024 to Jun 28, 2024
- Assets in custody · $59.9M to $27.8MApr 18, 2024 to Jun 28, 2024
Signals
14 dated events
- A••••••••• P••••• K•••• (Director) no longer on Schedule A of 3•• O•• P•••••••• M••••••• L•••••• (listed 2024-09-25, absent 2024-11-05)Nov 5, 2024 · Control person left · inference
- B•••••••• J•••••• M••• (Chief Compliance Officer, Head - Compliance) no longer on Schedule A of 3•• O•• P•••••••• M••••••• L•••••• (listed 2024-08-19, absent 2024-09-25)Sep 25, 2024 · Control person left · inference
- Ashok Sonali Tendulkar (Chief Compliance Officer) appeared on Schedule A of 3•• O•• P•••••••• M••••••• L••••••Sep 25, 2024 · Control person joined · fact
- Himadri Chatterjee (Director) appeared on Schedule A of 3•• O•• P•••••••• M••••••• L••••••Jun 28, 2021 · Control person joined · fact
- 3•• O•• P•••••••• M••••••• L•••••• reported RAUM $3.1B, up 28% from $2.5B (2020-12-24 to 2021-06-28)Jun 28, 2021 · RAUM change · derived
- Sandeep Jethwani (Director) no longer on Schedule A of 3•• O•• P•••••••• M••••••• L•••••• (listed 2020-12-24, absent 2021-06-28)Jun 28, 2021 · Control person left · inference
- Kavita Khatri (Chief Compliance Officer) no longer on Schedule A of 3•• O•• P•••••••• M••••••• L•••••• (listed 2020-11-09, absent 2020-12-24)Dec 24, 2020 · Control person left · inference
- B•••••••• J•••••• M••• (Chief Compliance Officer, Head - Compliance) appeared on Schedule A of 3•• O•• P•••••••• M••••••• L••••••Dec 24, 2020 · Control person joined · fact
- Ashok Ashutosh Naik (Chief Compliance Officer) no longer on Schedule A of 3•• O•• P•••••••• M••••••• L•••••• (listed 2020-08-14, absent 2020-11-09)Nov 9, 2020 · Control person left · inference
- Kavita Khatri (Chief Compliance Officer) appeared on Schedule A of 3•• O•• P•••••••• M••••••• L••••••Nov 9, 2020 · Control person joined · fact
- Sandeep Jethwani (Director) appeared on Schedule A of 3•• O•• P•••••••• M••••••• L••••••Aug 14, 2020 · Control person joined · fact
- A••••••••• P••••• K•••• (Director) appeared on Schedule A of 3•• O•• P•••••••• M••••••• L••••••Aug 14, 2020 · Control person joined · fact
- 3•• O•• P•••••••• M••••••• L•••••• reported RAUM $2.5B, up 649% from $328.6M (2020-03-11 to 2020-08-14)Aug 14, 2020 · RAUM change · derived
- I••• P•••••••• M••••••• L•••••• filed its initial SEC registration (Form ADV)Feb 27, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- 3•• O•• P•••••••• M••••••• L•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- +91 22 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026