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••••••• G••••• A••••••••• L••
Latest filing Jul 24, 2025
First filing on the tape Mar 10, 2023 · 18 filings
SEC status approved since Jun 30, 2010
RAUM
$24B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.9%
$217M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
91
54 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
180
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$24B as of Jul 24, 2025
Jun 20, 2023$19B then
HNW client RAUM$53.2M as of Jul 24, 2025
Jun 20, 2023$30.9M then
State-registered IARs (5.B.3)35 as of Jul 24, 2025
Jun 20, 202328 then
Employees (5.A)91 as of Jul 24, 2025
Jun 20, 202395 then
Private funds180 as of Jul 24, 2025
Jun 20, 2023163 then
RAUM +18% over the last fiscal yearIARs 31 to 35
Practice profile
derived from the filing of Jul 24, 2025; every figure names its basis
- RAUM per advisor
- $697MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 0derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.9MderivedHNW RAUM over HNW clients
- Average account
- $125MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 4.4derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -39%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $24B, 171 clientsreportedItem 9.A
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$24B98%
- Individuals$164M0.7%
- Corporations and businesses$118M0.5%
- Pension and profit-sharing plans$59.8M0.2%
- High-net-worth individuals$53.2M0.2%
- Charitable organizations$4.6M0.0%
- Individual clients
- 5reported
- HNW clients
- 6reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 195reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24B for 171 clientsreported
- Compensation
- % of AUM, fixed, 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
188 reported on Schedule D 7.B.(1)
All funds of I••••••• G••••• A••••••••• L••
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••••• M•••• · Aml Compliance Officercontrolsince 09/2022 · owns less than 5%
- E•••••• M•••• · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
- G•••••••• T•••• · Chief Legal Officercontrolsince 09/2022 · owns less than 5%
- O•••••••• D•••••• G•••• · Chief Executive Officercontrolsince 09/2022 · owns less than 5%
- R•••••• S•••• · Directorcontrolsince 04/2023 · owns less than 5%
- S••••••••• S••••• P•••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
Entity owners
- C•••••••• I••••••••• P••••••• · M•••••direct · owns 75% or more
- C••••••• B•••••• C••••••••• · Shindirect · owns 75% or more of C•••••••• I••••••••• P•••••••
- C••••••••• I•• · Shindirect · owns 75% or more of C••••••• B•••••• C••••••••• · public reporting company
Related persons
Schedule D 7.A
- C••• P•••••• Advisory, LLCbroker-dealerbanknRAUM $18B
- C••••••• •••• K•••• L••••••broker-dealerinvestment advisern
- C••••••• ••••••••• A•broker-dealerinvestment advisern
- C••••••• C••••• I••••••••• F•••• L••••••broker-dealerinvestment advisern
- C••••••• E••••• P••n
- C•••••••• N•••broker-dealerinvestment advisercustodiann
- C•••••••• N•••• S•••••••• B•••••n
- C•••••••• G••••• M•••••• I•••broker-dealerinvestment advisertrust companyCPO or CTAnRAUM $56B
- C•••••••• B•••••• L•••investment advisern
Advisers that list I••••••• G••••• A••••••••• L•• as a related person
- 7059 n
Offices
Schedule D 1.F, the 25 largest
- Jersey City, NJ14 employees
- Boston, MA9 employees
- Miami, FL3 employees
- Beverly Hills, CA1 employees
- Denver, CO1 employees
- Tampa, FL
- New York, NY
What changed
consecutive filings, newest first
- Business name · C••• G••••• A••••••••• L•• to I••••••• G••••• A••••••••• L••Jun 30, 2025 to Jul 24, 2025
- Legal name · C••• G••••• A••••••••• L•• to I••••••• G••••• A••••••••• L••Jun 30, 2025 to Jul 24, 2025
- Assets in custody · $23B to $24BMar 28, 2025 to Jun 30, 2025
- Discretionary RAUM · $24B to $24BMar 28, 2025 to Jun 30, 2025
- Pooled vehicle RAUM · $23B to $24BMar 28, 2025 to Jun 30, 2025
- RAUM · $24B to $24BMar 28, 2025 to Jun 30, 2025
- Accounts · 196 to 195Aug 9, 2024 to Mar 28, 2025
- Advisory employees · 75 to 54Aug 9, 2024 to Mar 28, 2025
- BD registered reps · 47 to 43Aug 9, 2024 to Mar 28, 2025
- Corporate clients · 17 to 8Aug 9, 2024 to Mar 28, 2025
- HNW clients · 13 to 6Aug 9, 2024 to Mar 28, 2025
- Pension plan clients · 0 to 2Aug 9, 2024 to Mar 28, 2025
- Pooled vehicle clients · 160 to 171Aug 9, 2024 to Mar 28, 2025
- Assets in custody · $22B to $23BAug 9, 2024 to Mar 28, 2025
- Employees · 98 to 91Aug 9, 2024 to Mar 28, 2025
- State-registered IARs · 31 to 35Aug 9, 2024 to Mar 28, 2025
- Private funds · 169 to 180Aug 9, 2024 to Mar 28, 2025
- Discretionary RAUM · $22B to $24BAug 9, 2024 to Mar 28, 2025
- HNW RAUM · $33.1M to $53.2MAug 9, 2024 to Mar 28, 2025
- Individual RAUM · $150M to $164MAug 9, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $24.1M to $26.9MAug 9, 2024 to Mar 28, 2025
- Pension RAUM · $0 to $59.8MAug 9, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $22B to $23BAug 9, 2024 to Mar 28, 2025
- RAUM · $22B to $24BAug 9, 2024 to Mar 28, 2025
- Assets in custody · $20B to $22BApr 29, 2024 to Aug 9, 2024
- Discretionary RAUM · $21B to $22BApr 29, 2024 to Aug 9, 2024
- Pooled vehicle RAUM · $20B to $22BApr 29, 2024 to Aug 9, 2024
- RAUM · $21B to $22BApr 29, 2024 to Aug 9, 2024
- Accounts · 190 to 196Dec 19, 2023 to Mar 29, 2024
- Advisory employees · 55 to 75Dec 19, 2023 to Mar 29, 2024
- Advisory activities · 3 to 4Dec 19, 2023 to Mar 29, 2024
- BD registered reps · 36 to 47Dec 19, 2023 to Mar 29, 2024
- Corporate clients · 20 to 17Dec 19, 2023 to Mar 29, 2024
- Pooled vehicle clients · 163 to 160Dec 19, 2023 to Mar 29, 2024
- Assets in custody · $18B to $20BDec 19, 2023 to Mar 29, 2024
- Employees · 95 to 98Dec 19, 2023 to Mar 29, 2024
- Insurance-licensed employees · 8 to 0Dec 19, 2023 to Mar 29, 2024
- State-registered IARs · 28 to 31Dec 19, 2023 to Mar 29, 2024
- Other offices · 8 to 7Dec 19, 2023 to Mar 29, 2024
- Private funds · 163 to 169Dec 19, 2023 to Mar 29, 2024
Signals
5 dated events
- I••••••• G••••• A••••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $24.4B)Sep 2, 2025 · Left the SEC roster · derived
- Ramsey Saliba (Cfo/Finop/Pfo) no longer on Schedule A of I••••••• G••••• A••••••••• L•• (listed 2023-12-19, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Alan Jeffrey Sutton (Director) no longer on Schedule A of I••••••• G••••• A••••••••• L•• (listed 2023-12-19, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- S•••• R••••• (Director) appeared on Schedule A of I••••••• G••••• A••••••••• L••Apr 12, 2023 · Control person joined · fact
- Alan Jeffrey Sutton (Director) appeared on Schedule A of I••••••• G••••• A••••••••• L••Apr 12, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- C••• G••••• A••••••••• L•• · Private Equityshared crd · intermediary
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
Across the graphs
I••••••• G••••• A••••••••• L•• 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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