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••••••••• I••••••••• S•••••••• L••

Institutional managerNew York, New YorkCRD 314925SEC 801-121570IAPD
Latest filing Sep 29, 2025
First filing on the tape May 21, 2021 · 11 filings
SEC status approved since Jun 21, 2021
RAUM
$2.8B
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.8B as of Sep 29, 2025
Sep 27, 2022$99.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 29, 2025
Sep 24, 20210 then
Employees (5.A)6 as of Sep 29, 2025
Sep 24, 20212 then
Private funds: no history
RAUM +683% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 29, 2025; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
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
$2.8BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
+211%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 institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$2.8B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=1.0derived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• T••• · Chief Investment Officercontrol
        since 08/2021 · owns less than 5%
      • Q•••••• S••• · Chief Compliance Officercontrol
        since 04/2024 · owns less than 5%
      Entity owners
      • A••• M••••••••• E• L•• · Sole Member
        direct · owns 75% or more
      • C• H••••••• L•• · Shareholder
        indirect · owns 50% to 75% 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••••••••• I••••••••• H••••••• I••• · Shareholder
        indirect · owns 75% or more of A••• M••••••••• E• L••
      • I••••••••• S••• · Shareholder
        indirect · owns 75% or more of I••••••••• I••••••••• H••••••• I•••
      • 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••
      Related persons
      Schedule D 7.A
      Advisers that list I••••••••• I••••••••• S•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 5
        Dec 11, 2024 to Sep 29, 2025
      • Employees · 4 to 6
        Dec 11, 2024 to Sep 29, 2025
      • Financial planning clients · unset to
        Dec 11, 2024 to Sep 29, 2025
      • Discretionary RAUM · $1.1B to $2.8B
        Dec 11, 2024 to Sep 29, 2025
      • RAUM · $1.1B to $2.8B
        Dec 11, 2024 to Sep 29, 2025
      • Discretionary RAUM · $356M to $1.1B
        Jun 18, 2024 to Sep 27, 2024
      • RAUM · $356M to $1.1B
        Jun 18, 2024 to Sep 27, 2024
      • Advisory employees · 2 to 3
        Apr 29, 2024 to Jun 18, 2024
      • Employees · 3 to 4
        Apr 29, 2024 to Jun 18, 2024
      • Discretionary RAUM · $99.2M to $356M
        Jul 28, 2023 to Sep 29, 2023
      • RAUM · $99.2M to $356M
        Jul 28, 2023 to Sep 29, 2023
      • Accounts · unset to 1.0
        Sep 24, 2021 to Sep 27, 2022
      • Advisory employees · 1 to 2
        Sep 24, 2021 to Sep 27, 2022
      • Employees · 2 to 3
        Sep 24, 2021 to Sep 27, 2022
      • Discretionary RAUM · unset to 99153133.0
        Sep 24, 2021 to Sep 27, 2022
      • Non-discretionary RAUM · unset to 0.0
        Sep 24, 2021 to Sep 27, 2022
      • RAUM · unset to 99153133.0
        Sep 24, 2021 to Sep 27, 2022
      Signals
      8 dated events
      • I••••••••• I••••••••• S•••••••• L•• reported RAUM $2.8B, up 152% from $1.1B (2024-12-11 to 2025-09-29)
        Sep 29, 2025 · RAUM change · derived
      • I••••••••• I••••••••• S•••••••• L•• reported RAUM $1.1B, up 211% from $356.0M (2024-06-18 to 2024-09-27)
        Sep 27, 2024 · RAUM change · derived
      • Sami Qasimi (Chief Compliance Officer) appeared on Schedule A of I••••••••• I••••••••• S•••••••• L••
        Apr 29, 2024 · Control person joined · fact
      • Joseph Brian Murphy (Chief Compliance Officer) no longer on Schedule A of I••••••••• I••••••••• S•••••••• L•• (listed 2024-02-06, absent 2024-04-29)
        Apr 29, 2024 · Control person left · inference
      • I••••••••• I••••••••• S•••••••• L•• reported RAUM $356.0M, up 259% from $99.2M (2023-07-28 to 2023-09-29)
        Sep 29, 2023 · RAUM change · derived
      • Todd Fonner (Chief Investment Officer) appeared on Schedule A of I••••••••• I••••••••• S•••••••• L••
        Sep 24, 2021 · Control person joined · fact
      • Sunil Gaglani (Chief Investment Officer) no longer on Schedule A of I••••••••• I••••••••• S•••••••• L•• (listed 2021-05-21, absent 2021-09-24)
        Sep 24, 2021 · Control person left · inference
      • I••••••••• I••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
        May 21, 2021 · 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, Sep 29, 2025
      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
      Institutional managerderiveda 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