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••• A••••••• L•
Latest filing Mar 28, 2025
First filing on the tape Sep 23, 2022 · 7 filings
SEC status approved since Oct 26, 2022
RAUM
$191M
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
45
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$191M as of Mar 28, 2025
Mar 27, 2024$192M then
HNW client RAUM$0 as of Mar 28, 2025
Mar 30, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 30, 20230 then
Employees (5.A)45 as of Mar 28, 2025
Mar 30, 202343 then
Private funds1 as of Mar 28, 2025
Mar 27, 20241 then
RAUM -0.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $191MderivedRAUM 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
- -0.6%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 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$191M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••• F•••• L••• | Private Equity Fund | $192M | 16 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- E••••• J•••• Y•••••• · Co-Ceocontrolsince 09/2022 · owns less than 5%
- L•••••••• J•••••••• B•••• · Co-Ceocontrolsince 09/2022 · owns less than 5%
- L•••••• M••••••• J•••••• · Chairmancontrolsince 09/2022 · owns less than 5%
- E••••• J•••• Y•••••• · Limited Partnercontrolsince 12/2022 · owns 25% to 50% of I•••••••• T••••• L•
- E••••• J•••• Y•••••• · Co-Ceocontrolsince 12/2022 · owns 25% to 50% of I•••••••• P••••••• G•• L••
- L•••••••• J•••••••• B•••• · Member/ Member Board Of M••••••Scontrolsince 09/2021 · owns 25% to 50% of I•••••••• P••••••• G•• L••
- L•••••••• J•••••••• B•••• · Limited Partnercontrolsince 12/2022 · owns 25% to 50% of I•••••••• T••••• L•
- L•••••• M••••••• J•••••• · M••••••controlsince 12/2022 · owns 50% to 75% of S•••••••• L••
- L•••••• M••••••• J•••••• · Member Board Of M••••••Scontrolsince 09/2021 · owns 25% to 50% of I•••••••• P••••••• G•• L••
- G••••••••• E••••••••• A•••• · General Counsel And Chief Compliance Officersince 09/2022 · owns less than 5%
- H••••••••• J•••••• V•••••• · Vice Chairmansince 09/2022 · owns less than 5%
- S••••••• B••••• R•••••• · Chief Financial Officersince 09/2022 · owns less than 5%
Entity owners
- I•••••••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
- I•••••••• P•••••••• L• · Limited Partnerdirect · owns 75% or more
- I•••••••• I••••••••• H•••••••• L• · Limited Partnerindirect · owns 75% or more of I•••••••• P•••••••• L•
- 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•••••••• P•••••••• 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 sponsorn
- I••• G•• L••pooled vehicle sponsorn
- I•••••••• B•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• B•• I•••••••• G•• L••pooled vehicle sponsorn
- I•••••••• C•• P••••••• I• G•• L••pooled vehicle sponsorn
- I•••••••• C•• P••••••• I• G•• L••pooled vehicle sponsorn
- I•••••••• C•• P••••••• I•• G•• L••pooled vehicle sponsorn
- 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 sponsorn
- I•••••••• C•••• P••••••••• G•• L••pooled vehicle sponsorn
- I•••••••• F•• I•• I•••••••• V••••••• L•••pooled vehicle sponsorn
- I•••••••• F•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• M••••••• A••••••••• G•• L••pooled vehicle sponsorn
- I•••••••• P••••••• G•• L••pooled vehicle sponsory
- I•••••••• P•••••••• L•investment advisernRAUM $13B
- I•••••••• R•• F••• G•• L••pooled vehicle sponsorn
- I•••••••• R•• F••• M••••••• L•••investment advisern
- I•••••••• R•• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• S•••••••• F••• G•• L••pooled vehicle sponsorn
- I•••••••• S•••••••• F••• I• G•• L••pooled vehicle sponsorn
- I•••••••• S•••••••• I• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• S•••••••• I•••••••• V••••••• L•pooled vehicle sponsorn
- I•••••••• S•••••••• M••••••• L•••investment advisern
Advisers that list I••• A••••••• L• as a related person
- 315416 y
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT2 employees
What changed
consecutive filings, newest first
- Advisory employees · 30 to 28May 14, 2024 to Mar 28, 2025
- Assets in custody · 192441000.0 to unsetMay 14, 2024 to Mar 28, 2025
- Custody of client assets · true to falseMay 14, 2024 to Mar 28, 2025
- Employees · 46 to 45May 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $192M to $191MMay 14, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $192M to $191MMay 14, 2024 to Mar 28, 2025
- RAUM · $192M to $191MMay 14, 2024 to Mar 28, 2025
- Accounts · unset to 1.0Jan 3, 2024 to Mar 27, 2024
- Advisory employees · 29 to 30Jan 3, 2024 to Mar 27, 2024
- Advisory activities · 2 to 1Jan 3, 2024 to Mar 27, 2024
- Pooled vehicle clients · 0 to 1Jan 3, 2024 to Mar 27, 2024
- Assets in custody · unset to 192441000.0Jan 3, 2024 to Mar 27, 2024
- Custody of client assets · false to trueJan 3, 2024 to Mar 27, 2024
- Employees · 43 to 46Jan 3, 2024 to Mar 27, 2024
- Private funds · unset to 1Jan 3, 2024 to Mar 27, 2024
- Discretionary RAUM · unset to 192441000.0Jan 3, 2024 to Mar 27, 2024
- Non-discretionary RAUM · unset to 0.0Jan 3, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $0 to $192MJan 3, 2024 to Mar 27, 2024
- RAUM · unset to 192441000.0Jan 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
- Other offices · 0 to 1Mar 30, 2023 to Dec 26, 2023
- Advisory employees · 26 to 29Sep 23, 2022 to Mar 30, 2023
- Employees · 40 to 43Sep 23, 2022 to Mar 30, 2023
Signals
2 dated events
- I••• A••••••• L• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $191.3M)Jun 2, 2025 · Left the SEC roster · derived
- I••• A••••••• L• filed its initial SEC registration (Form ADV)Sep 23, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••• A••••••• 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