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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Former SEC-registered adviser
I•••••••• P•••••••• L•
Latest filing Apr 28, 2025
First filing on the tape Jun 15, 2021 · 14 filings
SEC status approved since Jun 29, 2021
RAUM
$13B
reported, Item 5.F
Discretionary
99%
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
45
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
46
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$13B as of Apr 28, 2025
Mar 28, 2022$7.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2025
Mar 28, 20220 then
Employees (5.A)45 as of Apr 28, 2025
Mar 28, 202231 then
Private funds46 as of Apr 28, 2025
Mar 28, 202222 then
RAUM +14% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2025; 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
- $225MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.0%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
- +14%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 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B95%
- Pension and profit-sharing plans$550M4.2%
- Insurance companies$107M0.8%
- State and municipal entities$277,0000.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 58reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
43 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• C•• 7• L••• | Securitized Asset Fund | $602M | 0 | Mar 31, 2021 |
| I••• E••••• A••••••••• L••• | Private Equity Fund | $571M | 150 | Mar 27, 2020 |
| R•• C•• 2•• L••• | Securitized Asset Fund | $508M | 0 | Mar 27, 2024 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $503M | 0 | Mar 30, 2023 |
| R•• C•• 1•• L•• | Securitized Asset Fund | $500M | 0 | Mar 28, 2022 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $497M | 0 | Mar 31, 2021 |
| R•• C•• 9• L••• | Securitized Asset Fund | $449M | 0 | Mar 31, 2021 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $445M | 0 | Mar 28, 2022 |
| R•• C•• 3• L••• | Securitized Asset Fund | $440M | 0 | Mar 27, 2020 |
| R•• C•• 5• L••• | Securitized Asset Fund | $435M | 0 | Mar 27, 2020 |
| I•••••••• S•••••••• F••• I•• L••• | Private Equity Fund | $415M | 25 | Mar 30, 2023 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $402M | 0 | Mar 27, 2024 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $402M | 0 | Oct 26, 2021 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $400M | 0 | Mar 28, 2022 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $400M | 0 | Mar 27, 2024 |
| R•• C•• 6• L••• | Securitized Asset Fund | $396M | 0 | Mar 27, 2020 |
| R•• C•• 2•• L••• | Securitized Asset Fund | $396M | 0 | Mar 27, 2024 |
| R•• C•• 2• L••• | Securitized Asset Fund | $392M | 0 | Mar 27, 2020 |
| R•• C•• 2•• L••• | Securitized Asset Fund | $374M | 0 | Mar 27, 2024 |
| R•• C•• 1• L••• | Securitized Asset Fund | $372M | 0 | Mar 27, 2020 |
| R•• C•• 1•• L••• | Securitized Asset Fund | $346M | 0 | Mar 30, 2023 |
| I•••••••• C•• P••••••• F••• I•• L••• | Hedge Fund | $332M | 136 | Feb 27, 2020 |
| R•• C•• 4• L••• | Securitized Asset Fund | $295M | 0 | Mar 27, 2020 |
| I•••••••• S•••••••• F•••• L••• | Private Equity Fund | $244M | 114 | Mar 29, 2018 |
| I•••••••• C•• P••••••• F••• I••• L••• | Hedge Fund | $223M | 56 | Mar 30, 2023 |
| R•• C•• 2•••••• L••• | Securitized Asset Fund | $215M | 0 | Mar 30, 2023 |
| R•• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $201M | 0 | Oct 26, 2021 |
| R•• C•• 2•••••• L••no longer reported | Securitized Asset Fund | $179M | 0 | Oct 26, 2021 |
| I•••••••• S•••••••• M••••••••• F••• I•• S••• | Private Equity Fund | $156M | 1 | Mar 27, 2024 |
| I•••••••• S•••••• S••• L••• | Private Equity Fund | $120M | 1 | Mar 30, 2023 |
| I••• I•••••••• I••• L••• | Private Equity Fund | $117M | 13 | Mar 27, 2024 |
| R•• C•• 2•••••• L••• | Securitized Asset Fund | $114M | 0 | Mar 30, 2023 |
| I•••••••• C•• P••••••• F••• I• L••• | Hedge Fund | $84.1M | 77 | Mar 29, 2018 |
| I•••••••• B•• I••••••••• L••• | Private Equity Fund | $62.3M | 5 | Mar 28, 2022 |
| I••• I•••••••• I•• L••• | Private Equity Fund | $46.7M | 38 | Oct 26, 2021 |
| I•••••••• M••••••• O••••••••• I•••••••• ••• L••• | Private Equity Fund | $18.2M | 3 | Mar 30, 2023 |
| R•• C•• 2•••••• L••• | Securitized Asset Fund | $17.4M | 0 | Mar 27, 2024 |
| K•••• C•• 8• L•••no longer reported | Securitized Asset Fund | $14.2M | 0 | Mar 31, 2021 |
| R•• C•• 2•••••• L••• | Securitized Asset Fund | $10.0M | 0 | Mar 30, 2023 |
| I•••••••• C•••• P••••••• F•••••• L••• | Other Private Fund | $9.5M | 4 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- E••••• J•••• Y•••••• · Co-Ceocontrolsince 06/2021 · owns less than 5%
- L•••••••• J•••••••• B•••• · Co-Ceocontrolsince 06/2021 · owns less than 5%
- L•••••• M••••••• J•••••• · Chairmancontrolsince 06/2021 · owns less than 5%
- E••••• J•••• Y•••••• · Member / Member Board Of M••••••Scontrolsince 09/2021 · owns 25% to 50% of I•••••••• P••••••• G•• L••
- E••••• J•••• Y•••••• · Limited Partnercontrolsince 12/2022 · owns 25% to 50% of I•••••••• T••••• L•
- L•••••••• J•••••••• B•••• · Limited Partnercontrolsince 12/2022 · owns 25% to 50% of I•••••••• T••••• L•
- L•••••••• J•••••••• B•••• · Co-Ceocontrolsince 12/2022 · owns 25% to 50% of I•••••••• P••••••• G•• L••
- L•••••• M••••••• J•••••• · M••••••controlsince 12/2022 · owns 50% to 75% of S•••••••• L••
- L•••••• M••••••• J•••••• · Chairmancontrolsince 12/2022 · owns 25% to 50% of I•••••••• P••••••• G•• L••
- G••••••••• E••••••••• A•••• · General Counsel And Chief Compliance Officersince 08/2021 · owns less than 5%
- H••••••••• J•••••• V•••••• · Vice Chairmansince 11/2021 · owns less than 5%
- S••••••• B••••• R•••••• · Chief Financial Officersince 08/2021 · owns less than 5%
Entity owners
- I•••••••• I••••••••• H•••••••• L• · Limited Partnerdirect · owns 75% or more
- I•••••••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
- I•••••••• M•••• H•••••••• L• · Limited Partnerindirect · owns 75% or more of I•••••••• I••••••••• H•••••••• L•
- I•••••••• P••••••• G•• L•• · General Partnerindirect · owns F of I•••••••• T••••• L•
- I•••••••• P••••••• G•• L•• · General Partnerindirect · owns F of I•••••••• I••••••••• H•••••••• L•
- I•••••••• P••••••• G•• L•• · General Partnerindirect · owns F of I•••••••• M•••• H•••••••• L•
- I•••••••• P••••••• G•• L•• · General Partnerindirect · owns F of I•••••••• T•••• P••••••••• P•••••••• L•
- I•••••••• T•••• P••••••••• P•••••••• L• · Limited Partnerindirect · owns 25% to 50% of I•••••••• T••••• L•
- I•••••••• T••••• L• · Limited Partnerindirect · owns 75% or more of I•••••••• M•••• H•••••••• L•
- S•••••••• L•• · Limited Partnerindirect · owns 25% to 50% of I•••••••• T••••• L•
- S•••••••• L•• · Memberindirect · owns 25% to 50% of I•••••••• P••••••• G•• L••
Related persons
Schedule D 7.A
- I••• I•••••••• G•• L••pooled vehicle sponsory
- I••• A••••••• L•investment adviseryRAUM $191M
- I••• G•• L••pooled vehicle sponsory
- I•••••••• B•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• B•• I•••••••• G•• L••pooled vehicle sponsory
- I•••••••• C•• P••••••• I• G•• L••pooled vehicle sponsory
- I•••••••• C•• P••••••• I• G•• L••pooled vehicle sponsory
- I•••••••• C•• P••••••• I•• G•• L••pooled vehicle sponsory
- I•••••••• C••• I•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• C••• P••• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• C••••• S•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• C•••• P••••••••• G•• L••pooled vehicle sponsory
- I•••••••• C•••• P••••••••• G•• L••pooled vehicle sponsory
- I•••••••• F•• I•• I•••••••• V••••••• L•••pooled vehicle sponsorn
- I•••••••• F•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• M••••••• A••••••••• G•• L••pooled vehicle sponsory
- I•••••••• P••••••• G•• L••pooled vehicle sponsory
- I•••••••• R•• F••• G•• L••pooled vehicle sponsory
- I•••••••• R•• F••• M••••••• L•••investment advisery
- I•••••••• R•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• S•••••••• F••• G•• L••pooled vehicle sponsory
- I•••••••• S•••••••• F••• I• G•• L••pooled vehicle sponsory
- I•••••••• S•••••••• I• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• S•••••••• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• S•••••••• M••••••• L•••investment advisery
Advisers that list I•••••••• P•••••••• L• as a related person
- 323562 n
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT2 employees
What changed
consecutive filings, newest first
- Accounts · 48 to 58May 14, 2024 to Apr 28, 2025
- Advisory employees · 30 to 28May 14, 2024 to Apr 28, 2025
- Pension plan clients · 1 to 3May 14, 2024 to Apr 28, 2025
- Pooled vehicle clients · 43 to 52May 14, 2024 to Apr 28, 2025
- Assets in custody · 2251005000.0 to unsetMay 14, 2024 to Apr 28, 2025
- Custody of client assets · true to falseMay 14, 2024 to Apr 28, 2025
- Private funds · 37 to 46May 14, 2024 to Apr 28, 2025
- Discretionary RAUM · $11B to $13BMay 14, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $120M to $82.2MMay 14, 2024 to Apr 28, 2025
- Pension RAUM · $517M to $550MMay 14, 2024 to Apr 28, 2025
- Pooled vehicle RAUM · $11B to $12BMay 14, 2024 to Apr 28, 2025
- RAUM · $11B to $13BMay 14, 2024 to Apr 28, 2025
- Accounts · 36 to 48Jan 3, 2024 to Mar 27, 2024
- Advisory employees · 29 to 30Jan 3, 2024 to Mar 27, 2024
- Pension plan clients · unset to 1.0Jan 3, 2024 to Mar 27, 2024
- Pooled vehicle clients · 32 to 43Jan 3, 2024 to Mar 27, 2024
- Assets in custody · $2.0B to $2.3BJan 3, 2024 to Mar 27, 2024
- Employees · 43 to 45Jan 3, 2024 to Mar 27, 2024
- Private funds · 30 to 37Jan 3, 2024 to Mar 27, 2024
- Discretionary RAUM · $8.1B to $11BJan 3, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $150M to $120MJan 3, 2024 to Mar 27, 2024
- Pension RAUM · unset to 516891000.0Jan 3, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $8.1B to $11BJan 3, 2024 to Mar 27, 2024
- RAUM · $8.2B to $11BJan 3, 2024 to Mar 27, 2024
- HQ city · AUSTIN to SANTA MONICAMar 30, 2023 to Dec 26, 2023
- HQ state · TX to CAMar 30, 2023 to Dec 26, 2023
- Accounts · 27 to 36Jan 9, 2023 to Mar 30, 2023
- Advisory employees · 24 to 29Jan 9, 2023 to Mar 30, 2023
- Pooled vehicle clients · 24 to 32Jan 9, 2023 to Mar 30, 2023
- Assets in custody · $1.9B to $2.0BJan 9, 2023 to Mar 30, 2023
- Employees · 31 to 43Jan 9, 2023 to Mar 30, 2023
- Private funds · 22 to 30Jan 9, 2023 to Mar 30, 2023
- Discretionary RAUM · $7.3B to $8.1BJan 9, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $0 to $150MJan 9, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $7.1B to $8.1BJan 9, 2023 to Mar 30, 2023
- RAUM · $7.3B to $8.2BJan 9, 2023 to Mar 30, 2023
- Related adviser · false to trueJan 9, 2023 to Mar 30, 2023
- Accounts · 26 to 27Nov 2, 2021 to Mar 28, 2022
- Advisory employees · 25 to 24Nov 2, 2021 to Mar 28, 2022
- Pooled vehicle clients · 23 to 24Nov 2, 2021 to Mar 28, 2022
Signals
5 dated events
- I•••••••• P•••••••• L• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $13.0B)Jun 2, 2025 · Left the SEC roster · derived
- I•••••••• P•••••••• L• reported RAUM $11.4B, up 39% from $8.2B (2024-01-03 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- I•••••••• P•••••••• L• reported RAUM $7.3B, up 25% from $5.8B (2021-11-02 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- I•••••••• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 26, 2021 · Succession (Item 4) · fact
- L••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I•••••••• P•••••••• L• · Private Equityshared crd · organization
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
- Former SEC-registered 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