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••••••••• X• A•••••••
Legal name I••••••••• X• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 8, 2022 · 11 filings
SEC status approved since Jul 12, 2022
RAUM
$4.5B
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
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
20
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$4.5B as of Mar 31, 2026
Mar 29, 2023$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 29, 20232 then
Employees (5.A)4 as of Mar 31, 2026
Mar 29, 20234 then
Private funds20 as of Mar 31, 2026
Mar 29, 202312 then
RAUM +146% over the last fiscal year+57% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $2.3BderivedRAUM 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
- $238MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +146%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- 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=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
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
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• X• C•••••• P••••••• L•• | Private Equity Fund | $405M | 52 | Mar 31, 2022 |
| I••••••••• X• C•••••• P••••••• I• L•• | Private Equity Fund | $341M | 1,306 | Apr 17, 2024 |
| I••••••••• X• H••••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $229M | 1,245 | Aug 3, 2021 |
| I••••••••• X• V•••••• P••••••• L•• | Venture Capital Fund | $106M | 0 | May 21, 2024 |
| I••••••••• X• H••••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $98.9M | 83 | Aug 3, 2021 |
| I••••••••• X• H••••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $95.3M | 427 | Dec 26, 2020 |
| I••••••••• X• H••••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $74.2M | 293 | Dec 26, 2020 |
| I••••••••• X• H••••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $72.9M | 45 | Dec 26, 2020 |
| I••••••••• X• H••••••• S••••• 2••••• Q•• L•• | Private Equity Fund | $35.4M | 392 | Dec 26, 2020 |
| I••••••••• X• Q• L•• S••••• 2••••• ••••• X• | Private Equity Fund | $33.1M | 71 | Dec 27, 2018 |
| I••••••••• X• H••••••• Q•• L•• S••••• 2••••• | Private Equity Fund | $23.2M | 364 | Dec 24, 2019 |
| I••••••••• X• R••• T••• | Real Estate Fund | $21.4M | 166 | May 21, 2024 |
| I••••••••• X• H••••••• I•• L•• | Private Equity Fund | $8.4M | 62 | Dec 26, 2020 |
| I••••••••• X• S••••••• V• Q• L•• | Private Equity Fund | $6.1M | 71 | Apr 17, 2024 |
| I••••••••• X• S••••••• V• L•• | Private Equity Fund | $4.2M | 70 | Apr 17, 2024 |
| I••••••••• X• ••• L•• | Real Estate Fund | $3.5M | 35 | May 21, 2024 |
| A••••• I••••••••• A••••••••• I••••••••• F••• L•• | Venture Capital Fund | $2.9M | 0 | May 21, 2024 |
| I••••••••• X• H••••••• I•• L•• | Private Equity Fund | $2.0M | 52 | Dec 24, 2019 |
| I••••••••• X• R••• T••• ••••••• L• | Real Estate Fund | $460,200 | 2 | May 21, 2024 |
| I••••••••• X• Q• L•• S••••• I• M•••• L••• | Private Equity Fund | $0 | 168 | Dec 19, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• A•••••• L••••••• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- M••••••••• R••••• A•••••••• · Membercontrolsince 06/2022 · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• P•••••••• L••investment adviserbanknRAUM $1.7B
- A•••• P•••••••• L••investment advisernRAUM $196M
- B• R•••• I••••••••• X• C•••••• M••••••••• L••pooled vehicle sponsorn
- C•••• F•••••••• S•••••••• I•••broker-dealern
- I••••••••• X• C•••••• M••••••••• I•• L••pooled vehicle sponsorn
- I••••••••• X• C•••••• P••••••• I•• L••pooled vehicle sponsorn
- I••••••••• X• M••••••••• L••pooled vehicle sponsorn
- I••••••••• X• S••••••• V• M••••••• L••pooled vehicle sponsorn
Advisers that list I••••••••• X• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,832,798,432 to $4,516,478,450 (+146.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 96.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 96% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.8B to $4.5BMar 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $4.5BMar 25, 2025 to Mar 31, 2026
- RAUM · $1.8B to $4.5BMar 25, 2025 to Mar 31, 2026
- Accounts · 15 to 19May 21, 2024 to Mar 25, 2025
- Pooled vehicle clients · 15 to 19May 21, 2024 to Mar 25, 2025
- Financial planning clients · unset to May 21, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.4B to $1.8BMay 21, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $1.4B to $1.8BMay 21, 2024 to Mar 25, 2025
- RAUM · $1.4B to $1.8BMay 21, 2024 to Mar 25, 2025
- Private funds · 15 to 20Apr 24, 2024 to May 21, 2024
- Private funds · 12 to 15Apr 1, 2024 to Apr 17, 2024
- Discretionary RAUM · $1.3B to $1.4BApr 1, 2024 to Apr 17, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BApr 1, 2024 to Apr 17, 2024
- RAUM · $1.3B to $1.4BApr 1, 2024 to Apr 17, 2024
- Accounts · 13 to 15Feb 16, 2024 to Apr 1, 2024
- Pooled vehicle clients · 13 to 15Feb 16, 2024 to Apr 1, 2024
- Discretionary RAUM · $1.2B to $1.3BFeb 16, 2024 to Apr 1, 2024
- Pooled vehicle RAUM · $1.2B to $1.3BFeb 16, 2024 to Apr 1, 2024
- RAUM · $1.2B to $1.3BFeb 16, 2024 to Apr 1, 2024
- Accounts · 12 to 13Jan 11, 2023 to Mar 29, 2023
- Pooled vehicle clients · 12 to 13Jan 11, 2023 to Mar 29, 2023
- Discretionary RAUM · $1.1B to $1.2BJan 11, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $1.1B to $1.2BJan 11, 2023 to Mar 29, 2023
- RAUM · $1.1B to $1.2BJan 11, 2023 to Mar 29, 2023
- Accounts · unset to 12.0Jun 8, 2022 to Nov 3, 2022
- Pooled vehicle clients · 0 to 12Jun 8, 2022 to Nov 3, 2022
- Private funds · unset to 12Jun 8, 2022 to Nov 3, 2022
- Discretionary RAUM · unset to 1077046463.0Jun 8, 2022 to Nov 3, 2022
- Non-discretionary RAUM · unset to 0.0Jun 8, 2022 to Nov 3, 2022
- Pooled vehicle RAUM · $0 to $1.1BJun 8, 2022 to Nov 3, 2022
- RAUM · unset to 1077046463.0Jun 8, 2022 to Nov 3, 2022
Signals
4 dated events
- I••••••••• X• A••••••• reported RAUM $4.5B, up 146% from $1.8B (2025-03-25 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- I••••••••• X• A••••••• reported RAUM $1.8B, up 35% from $1.4B (2024-05-21 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Hyunwook Eugene Kim (Coo) no longer on Schedule A of I••••••••• X• A••••••• (listed 2023-03-29, absent 2024-02-16)Feb 16, 2024 · Control person left · inference
- I••••••••• X• A••••••• filed its initial SEC registration (Form ADV)Jun 8, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••••••••• X• A••••••• · Independent Sponsorsshared crd · capital_provider
- I••••••••• X• A••••••• · Private Equityshared crd · organization
- I••••••••• X• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 2402231988reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
I••••••••• X• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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