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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••••• A•••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Jun 30, 2026 · 2 filings
SEC status approved since Aug 6, 2026
RAUM
$207M
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
18
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$207M as of Sep 10, 2026
Jun 30, 2026$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 10, 2026
Jun 30, 20260 then
Employees (5.A)18 as of Sep 10, 2026
Jun 30, 202618 then
Private funds: 17
Practice profile
derived from the filing of Sep 10, 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
- $12.2MderivedRAUM 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
- unknownderivedbetween 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, fixed fees, performance-basedreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$207M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0derived
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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• S••••• S•••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $7.8M | 81 | Mar 28, 2024 |
| I•••••• S••••• 2••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $6.0M | 26 | Mar 31, 2021 |
| I•••••• S••••• D••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $5.3M | 28 | Mar 31, 2021 |
| I•••••• S••••• L••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $3.9M | 11 | Mar 31, 2021 |
| I•••••• S••••• T••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $2.5M | 19 | Mar 28, 2024 |
| I•••••• G••••• E••••• I•••• L• | Private Equity Fund | $2.3M | 37 | May 18, 2022 |
| I•••••• S••••• O•••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $1.8M | 12 | Mar 28, 2024 |
| I•••••• G••••• E••••• I•••• ••• L• | Private Equity Fund | $1.4M | 11 | Mar 28, 2024 |
| I•••••• S••••• S••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $576,727 | 6 | Feb 24, 2023 |
| I•••••• S••••• D•••••• A• S••••• O• I•••••• M••••• L•• | Private Equity Fund | $92,357 | 2 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- N••• M•••••• A• · Presidentcontrolsince 02/2023 · owns less than 5%
- S••••• J•••• C•••• · Chief Compliance Officercontrolsince 12/2025 · owns less than 5%
Entity owners
- I•••••• F•••••••• •••••• S•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 30, 2026 to Sep 10, 2026
- Private funds · 17 to unsetJun 30, 2026 to Sep 10, 2026
- Succession · false to unsetJun 30, 2026 to Sep 10, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- I•••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- I•••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/investx-capital-ltdreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-390-9270reportedpublic record, Form ADV, Sep 10, 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