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
U•••• A•••• M••••••••• L•
Latest filing Sep 15, 2026
First filing on the tape Jul 22, 2024 · 9 filings
SEC status approved since Aug 21, 2024
RAUM
$2.5B
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
16
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.5B as of Jul 13, 2026
Mar 25, 2025$120M then
HNW client RAUM$0 as of Jul 13, 2026
Mar 25, 2025$0 then
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 25, 20250 then
Employees (5.A)16 as of Jul 13, 2026
Mar 25, 202512 then
Private funds1 as of Jul 13, 2026
Mar 31, 20261 then
RAUM +2018% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 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
- $424MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3481%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.6B, 3 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B62%
- Other investment advisers$978M38%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• O•••• A••••• · Chief Executive Officer & Chief Investment Officercontrolsince 07/2024 · owns 75% or more
- M••••••• M••••••• H••••• · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- S•••• F••••••••• W••• C••••••• · Chief Compliance Officer & Chief Operating Officercontrolsince 07/2024 · owns less than 5%
- G•••••••• O•••• A••••• · Ownercontrolsince 04/2024 · owns 75% or more of U•••• A••••••• L••
Entity owners
- U•••• A••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 100.0% to 40.0% between the annual amendments of 2025-03-25 and 2026-03-31peers: asset managers, $1B to $5B (1,506)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $120,007,594 to $4,297,926,917 (+3481.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 100.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 100% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 13, 2026 to Sep 15, 2026
- Private funds · 1 to unsetJul 13, 2026 to Sep 15, 2026
- Succession · false to unsetJul 13, 2026 to Sep 15, 2026
- Discretionary RAUM · $4.3B to $2.5BMar 31, 2026 to Jun 29, 2026
- Pooled vehicle RAUM · $2.6B to $1.6BMar 31, 2026 to Jun 29, 2026
- RAUM · $4.3B to $2.5BMar 31, 2026 to Jun 29, 2026
- Accounts · 1 to 6Mar 25, 2025 to Mar 31, 2026
- Advisory employees · 4 to 6Mar 25, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0 to 3Mar 25, 2025 to Mar 31, 2026
- Assets in custody · unset to 1563746629.0Mar 25, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 25, 2025 to Mar 31, 2026
- Employees · 12 to 16Mar 25, 2025 to Mar 31, 2026
- Private funds · unset to 1Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $120M to $4.3BMar 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $2.6BMar 25, 2025 to Mar 31, 2026
- RAUM · $120M to $4.3BMar 25, 2025 to Mar 31, 2026
- Financial planning clients · unset to Dec 13, 2024 to Mar 25, 2025
- Discretionary RAUM · $120M to $120MDec 13, 2024 to Mar 25, 2025
- RAUM · $120M to $120MDec 13, 2024 to Mar 25, 2025
- Accounts · 0 to 1Sep 24, 2024 to Dec 13, 2024
- Employees · 10 to 12Sep 24, 2024 to Dec 13, 2024
- Discretionary RAUM · $0 to $120MSep 24, 2024 to Dec 13, 2024
- RAUM · $0 to $120MSep 24, 2024 to Dec 13, 2024
Signals
3 dated events
- U•••• A•••• M••••••••• L• reported RAUM $2.5B, down 41% from $4.3B (2026-03-31 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- U•••• A•••• M••••••••• L• reported RAUM $4.3B, up 3481% from $120.0M (2025-03-25 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- U•••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)Jul 22, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- unifiam.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-351-5601reportedpublic record, Form ADV, Sep 15, 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