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

A•••• R•••••••• I••••••••• L•••••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 334812SEC 801-132127IAPD
Latest filing Apr 15, 2026
First filing on the tape Feb 6, 2025 · 4 filings
SEC status approved since Mar 7, 2025
RAUM
$868M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$868M as of Apr 15, 2026
Feb 6, 2025$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Feb 6, 20250 then
Employees (5.A)6 as of Apr 15, 2026
Feb 6, 20256 then
Private funds10 as of Apr 15, 2026
Feb 6, 202510 then
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 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
$86.8MderivedRAUM 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
-15%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$187M, 4 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$868M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$187M for 4 clientsreported
Compensation
% of AUM, fixed, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Z••••••••• D••••• M•••••• · Chief Executive Officercontrol
        since 01/2025 · owns less than 5%
      • K••••••••• S••••••••• N•• · Chief Financial Officer
        since 01/2025 · owns less than 5%
      • P••••••• J••• R••••••• C••••• · Chief Compliance Officer
        since 01/2025 · owns less than 5%
      Entity owners
      • A•••• R•••••••• I••••••••• · Managing
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $198M to $187M
        Feb 11, 2026 to Mar 31, 2026
      • Discretionary RAUM · $1.0B to $868M
        Feb 11, 2026 to Mar 31, 2026
      • Pooled vehicle RAUM · $1.0B to $868M
        Feb 11, 2026 to Mar 31, 2026
      • RAUM · $1.0B to $868M
        Feb 11, 2026 to Mar 31, 2026
      • Succession · true to false
        Feb 6, 2025 to Feb 11, 2026
      Signals
      1 dated events
      • A•••• R•••••••• I••••••••• L••••• reported succeeding to the business of D. E. Shaw Renewable Investments, L.L.C. (Form ADV Item 4)
        Feb 6, 2025 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      929.263.0004reportedpublic record, Form ADV, Apr 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