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
O••••••• A••••••••• I••••••••• L••
Latest filing May 19, 2026
First filing on the tape Jun 28, 2025 · 8 filings
SEC status approved since Jun 23, 2025
RAUM
$16B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$5.5B
derived; firm RAUM over IAPD count
Employees
65
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
13
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$16B as of May 19, 2026
Jun 28, 2025$0 then
HNW client RAUM$0 as of May 19, 2026
Jun 28, 2025$0 then
State-registered IARs (5.B.3)1 as of May 19, 2026
Jun 28, 20251 then
Employees (5.A)65 as of May 19, 2026
Jun 28, 20255 then
Private funds13 as of May 19, 2026
Jan 27, 20262 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
- RAUM per advisor
- $5.5BderivedRAUM 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
- $390MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 21.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehicles, 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B79%
- Investment companies$2.1B13%
- Sovereign wealth funds$1.3B7.8%
- Insurance companies$36.2M0.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 42reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.08 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••• D•••••• | Jacksonville, Fl | Jan 27, 2026 | 30 y | 2 |
| M•••• V•• F•••• | New York, Ny | Apr 7, 2026 | 20 y | 2 |
| E••• E•••••••• G••••••• | New York, Ny | May 27, 2026 | 10 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E••• E•••••••• G••••••• from U•• F•••••••• S••••••• I•••May 27, 2026 · Other
- M•••• V•• F•••• from U•• A•••• M••••••••• ••••••••• L••Apr 7, 2026 · Other
- R••••• J••• D•••••• from U•• A•••• M••••••••• ••••••••• L••Jan 27, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••• · General Counselcontrolsince 01/2026 · owns less than 5%
- F••••• W••••••• J••••• · Global Head Of Asset Managementcontrolsince 06/2022 · owns less than 5%
- G•••••• J•••••• T••••• · Chief Operating Officercontrolsince 05/2025 · owns less than 5%
- S••••••• D••••• H• · Chief Financial Officercontrolsince 04/2025 · owns less than 5%
- B•••••• A•••• M••• · Secretary Officersince 08/2025 · owns less than 5%
Entity owners
- C••• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing May 19, 2026RAUM per registered advisor of $5,456,203,828 against a peer median of $1,157,401,140 (55 comparable advisers, 98.0th percentile, 4.2 robust deviations)peers: asset managers, $5B to $20B (55) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 35 to 42Feb 23, 2026 to Mar 31, 2026
- Advisory employees · 12 to 17Feb 23, 2026 to Mar 31, 2026
- Advisory activities · 1 to 3Feb 23, 2026 to Mar 31, 2026
- Pooled vehicle clients · 34 to 36Feb 23, 2026 to Mar 31, 2026
- Employees · 49 to 65Feb 23, 2026 to Mar 31, 2026
- Private funds · 12 to 13Feb 23, 2026 to Mar 31, 2026
- Discretionary RAUM · $12B to $16BFeb 23, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $12B to $13BFeb 23, 2026 to Mar 31, 2026
- RAUM · $12B to $16BFeb 23, 2026 to Mar 31, 2026
- Accounts · 16 to 35Jan 27, 2026 to Feb 23, 2026
- Advisory employees · 4 to 12Jan 27, 2026 to Feb 23, 2026
- BD registered reps · 3 to 4Jan 27, 2026 to Feb 23, 2026
- Pooled vehicle clients · 16 to 34Jan 27, 2026 to Feb 23, 2026
- Employees · 19 to 49Jan 27, 2026 to Feb 23, 2026
- Private funds · 2 to 12Jan 27, 2026 to Feb 23, 2026
- Discretionary RAUM · $10B to $12BJan 27, 2026 to Feb 23, 2026
- Pooled vehicle RAUM · $10B to $12BJan 27, 2026 to Feb 23, 2026
- RAUM · $10B to $12BJan 27, 2026 to Feb 23, 2026
- Accounts · 0 to 16Oct 21, 2025 to Jan 27, 2026
- Advisory employees · 1 to 4Oct 21, 2025 to Jan 27, 2026
- Advisory activities · 2 to 1Oct 21, 2025 to Jan 27, 2026
- BD registered reps · 1 to 3Oct 21, 2025 to Jan 27, 2026
- Pooled vehicle clients · 0 to 16Oct 21, 2025 to Jan 27, 2026
- Employees · 5 to 19Oct 21, 2025 to Jan 27, 2026
- Other offices · 0 to 1Oct 21, 2025 to Jan 27, 2026
- Private funds · unset to 2Oct 21, 2025 to Jan 27, 2026
- Discretionary RAUM · $0 to $10BOct 21, 2025 to Jan 27, 2026
- Pooled vehicle RAUM · $0 to $10BOct 21, 2025 to Jan 27, 2026
- RAUM · $0 to $10BOct 21, 2025 to Jan 27, 2026
- Financial planning clients · 0 to 0Aug 1, 2025 to Oct 21, 2025
- Business name · C••••• O•• A•••• M••••••••• L•• to O••••••• A••••••••• I••••••••• L••Jun 28, 2025 to Jul 1, 2025
Signals
1 dated events
- O••••••• A••••••••• I••••••••• L•• reported RAUM $16.4B, up 32% from $12.4B (2026-02-23 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
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
- Principal office phone
- 212-915-1722reportedpublic record, Form ADV, May 19, 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
- $5.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026