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•••••• P•••••• C••••• A••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Nov 1, 2024 · 6 filings
SEC status approved since Dec 3, 2024
RAUM
$291M
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
158
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$291M as of Jun 30, 2026
Mar 20, 2025$12.9M then
HNW client RAUM$0 as of Jun 30, 2026
Mar 20, 2025$0 then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 20, 20250 then
Employees (5.A)158 as of Jun 30, 2026
Mar 20, 2025113 then
Private funds: no history
RAUM +2147% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 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
- 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
- $291MderivedRAUM 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
- +2147%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$291M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=56.0derived
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
- J•••••• S••••••• C•••• · General Counselcontrolsince 08/2024 · owns less than 5%
- S••••••••• B••••• E••• · Chief Financial Officercontrolsince 08/2024 · owns less than 5%
- T••••• C••••••••• W••••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- V••••••• N•••••••• O• M••••• · Chief Executive Officercontrolsince 08/2024 · owns less than 5%
Entity owners
- I•••••• P• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- I••••••• I•• · Ownerindirect · owns 75% or more of I••••••••• C•••••• N•••••• I•••
- I••••••••• C•••••• N•••••• I••• · Managing Memberindirect · owns F of I•••••• P• H•••••••• L••
Related persons
Schedule D 7.A
- A•••• C••••••• L••investment advisern
- UBS Fund A••••••, L.L.C.investment adviserbanknRAUM $7.0B
- A•••••••• S••••••••• L•••••pooled vehicle sponsorn
- D••••••••• S••••••••• A••••• G• I•••pooled vehicle sponsorn
- G•••••••• A••••• S•••••••• O••• G• L••pooled vehicle sponsorn
- I••••••• • P••••••• C•••••• G• S•••pooled vehicle sponsorn
- I••••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $150B
- I••••••• A• G• L••bankpooled vehicle sponsorn
- I••••••• A• M•••••• L••bankpooled vehicle sponsorn
- I••••••• A••••••••• I••••••••• L••pooled vehicle sponsorn
- I••••••• A•••••••• A•• I•••••••• S••••••• L••real estaten
- I••••••• D••••• G• L••pooled vehicle sponsorn
- I••••••• H• G•• L••pooled vehicle sponsorn
- I••••••• H••• K••• L•••investment advisern
- I••••••• I• G• L••pooled vehicle sponsorn
- I••••••• L••••••••• S••••••••• G••••••pooled vehicle sponsorn
- I••••••• M•••••• L••broker-dealern
- I••••••• M•• F••• G•• L••pooled vehicle sponsorn
- I••••••• N•••••• C••••• G• L•••pooled vehicle sponsorn
- I••••••• N•••••• C••••• L•••investment advisern
- I••••••• N•••••• T••••••••• S••••••••• L••pooled vehicle sponsorn
- I••••••• P• G•• L••pooled vehicle sponsorn
- I••••••• P•••••• E••••• O••••••• L•••pooled vehicle sponsorn
- I••••••• R••••••••• F••• A•••••• L••investment adviserbanknRAUM $1.2B
- I••••••• S• P•• L•••investment advisern
- I••••••• S••••••••• I• L••pooled vehicle sponsorn
- I••••••• S••••••••• L••pooled vehicle sponsorn
- I••••••• S••••••••• M•••••• L••pooled vehicle sponsorn
- I••••••••• I• G•• L••pooled vehicle sponsorn
- I•• O•• M••••••••• L••pooled vehicle sponsorn
Advisers that list I•••••• P•••••• C••••• A••••••• L•• as a related person
- 330352 n
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- large related person n••••••Static outlier · filing Jun 30, 2026related persons on Schedule D 7.A of 39.0 against a peer median of 5.0 (488 comparable advisers, 99.0th percentile, 11.5 robust deviations)peers: ASSET_M••••••, $100M to $500M (488) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 10 to 21Jul 16, 2025 to Mar 26, 2026
- BD registered reps · 36 to 56Jul 16, 2025 to Mar 26, 2026
- Employees · 113 to 158Jul 16, 2025 to Mar 26, 2026
- Discretionary RAUM · $12.9M to $291MJul 16, 2025 to Mar 26, 2026
- RAUM · $12.9M to $291MJul 16, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 20, 2025 to Jul 16, 2025
- Accounts · 0 to 1Nov 1, 2024 to Mar 20, 2025
- Employees · 111 to 113Nov 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $0 to $12.9MNov 1, 2024 to Mar 20, 2025
- RAUM · $0 to $12.9MNov 1, 2024 to Mar 20, 2025
Signals
1 dated events
- I•••••• P•••••• C••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 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
- Firm profile
- linkedin.com/company/icapital-network-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- idirectinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-994-7400reportedpublic record, Form ADV, Jun 30, 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