DFX Intelligence

A•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

A•••• L••

CRD 143422

NEW YORK, NY

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Search this name across graphsid dfx:ria:3715d2fa-9200-96a0-a8ae-49f7b127c1d7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 5
On other graphs: 6
Observed: Mar 27, 2012 to Sep 14, 2026
31 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

A•••• L••

Family office · shared crd

Independent Sponsorsidentity

A•••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

A•••• L••

Private equity manager · shared crd

Allocatorsidentity

A•••• L••

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.39 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $35B••• Locked
Discretionary RAUM: $26B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 177

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• P•••••• C••••• L•••	Other Private Fund	$796M	Jul 24, 2024	2	Mar 19, 2021	reported	n/a
H••• S••••• C••••• I•••••••• L•	Other Private Fund	$349M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••••• A•••••••••	Member	C	yes	10/2006	Mar 27, 2012	Jul 24, 2024
S•••• A•••	CHIEF FINANCIAL OFFICER	Na	yes	07/2022	Jul 24, 2024	Jul 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• C• L••	n/a	Former SEC adviser	$2.1B	Y	yes	n/a
A•••• A••• A••••••• L•••	n/a	n/a	n/a	Y	yes	n/a
A•••• B•••• A••••••• L•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	9	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$35B	$22B	57.8%	$18B	24.4%	177	131	1	1

Relationships

Affiliated with (4)

→ A•••• C• L••Registered adviserother investment adviser, LP sponsor, control, common control
factForm ADV
← A•••• C• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV
← A•••• CHICAGO LLCRegistered adviserother investment adviser, bank, LP sponsor, control, common control
factForm ADV
← CALAMOS A•••• ADVISORS LLCRegistered adviser

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
A•••• L•• reported RAUM $35.2B, up 58% from $22.3B (2025-07-03 to 2026-03-31)
Form ADVobserved 7 days ago
$12.9B
Occurred
Jul 24, 2024
Control person joined
A••• S••• (Chief Financial Officer) appeared on Schedule A of A•••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
A•••• L•• reported RAUM $16.5B, up 54% from $10.7B (2021-03-19 to 2022-03-31)
Form ADVobserved 7 days ago
$5.8B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3715d2fa-9200-96a0-a8ae-49f7b127c1d7
First observed: Mar 27, 2012
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.