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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Former SEC-registered adviser

A•••••• E••••••• I••••••••• M••••••••• ••• L••

Former SEC-registered adviserNew York, New YorkCRD 104776SEC 801-31852IAPD
Latest filing Sep 29, 2017
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$2.0B
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
12
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$331M gross assets
History
15 filings and snapshots on the tape
RAUM$2.0B as of Sep 29, 2017
Sep 28, 2012$7.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Sep 29, 2017
Sep 26, 20130 then
Employees (5.A)12 as of Sep 29, 2017
Sep 26, 201347 then
Private funds1 as of Sep 29, 2017
Sep 28, 20128 then
RAUM -9.9% over the last fiscal year-32% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 29, 2017; every figure names its basis
RAUM per advisor
$1.0BderivedRAUM 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
$223MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• G••••• S•••• C••••••••• F•••no longer reportedOther Private Fund$451M25Mar 30, 2012
      A••••••••• M••••• E••• F•••no longer reportedOther Private Fund$449M35Mar 30, 2012
      T•• A••••• E••••••• M•••••• F•••Other Private Fund$331M42Mar 30, 2012
      T•• E••••••• M•••••• I•••••••• F•••no longer reportedOther Private Fund$87.9M15Mar 30, 2012
      A••••••••• L•••• A••••••• S•••• C••••••••• F•••no longer reportedOther Private Fund$70.1M7Mar 30, 2012
      A••••••••• S•••• A•••• S•••• F•••no longer reportedHedge Fund$51.0M15Mar 30, 2012
      E•••••••••no longer reportedOther Private Fund$48.9M2Mar 30, 2012
      A••••••••• Q••••••••• F•••no longer reportedHedge Fund$24.6M7Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• G•••••• P•••• · Directorcontrol
        since 05/2011 · owns less than 5%
      • H•••••••• K••••• P•••••• · Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • M•••••• F••••••• W•••••• · Chief Executive Officer, Chief Investment Officer And Directorcontrol
        since 12/2006 · owns less than 5%
      • C•••••• M•••• L••••••• · Shareholdercontrol
        since 02/1999 · owns 25% to 50% of A•••••• G•••• P••
      Entity owners
      • A•••••• E••••••• H•••••• C••••••••• · Member
        direct · owns 75% or more
      • A•••••• G•••• P•• · Shareholder
        indirect · owns 75% or more of A•••••• I••••••••• ••• L••••••
      • A•••••• I••••••••• ••• L•••••• · Shareholder
        indirect · owns 75% or more of A•••••• E••••••• H•••••• C•••••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 9
        Feb 10, 2017 to Sep 29, 2017
      • Advisory employees · 12 to 5
        Feb 10, 2017 to Sep 29, 2017
      • Employees · 24 to 12
        Feb 10, 2017 to Sep 29, 2017
      • Discretionary RAUM · $2.2B to $2.0B
        Feb 10, 2017 to Sep 29, 2017
      • Non-discretionary RAUM · $7.8M to $0
        Feb 10, 2017 to Sep 29, 2017
      • RAUM · $2.2B to $2.0B
        Feb 10, 2017 to Sep 29, 2017
      • HQ city · ARLINGTON to NEW YORK
        Sep 30, 2016 to Feb 10, 2017
      • HQ state · VA to NY
        Sep 30, 2016 to Feb 10, 2017
      • Accounts · 24 to 19
        Dec 17, 2015 to Sep 30, 2016
      • Advisory employees · 15 to 12
        Dec 17, 2015 to Sep 30, 2016
      • Employees · 29 to 24
        Dec 17, 2015 to Sep 30, 2016
      • State-registered IARs · 3 to 2
        Dec 17, 2015 to Sep 30, 2016
      • Discretionary RAUM · $3.3B to $2.2B
        Dec 17, 2015 to Sep 30, 2016
      • Non-discretionary RAUM · $12.0M to $7.8M
        Dec 17, 2015 to Sep 30, 2016
      • RAUM · $3.3B to $2.2B
        Dec 17, 2015 to Sep 30, 2016
      • Accounts · 28 to 24
        Apr 1, 2015 to Sep 28, 2015
      • Advisory employees · 22 to 15
        Apr 1, 2015 to Sep 28, 2015
      • Employees · 43 to 29
        Apr 1, 2015 to Sep 28, 2015
      • State-registered IARs · 0 to 3
        Apr 1, 2015 to Sep 28, 2015
      • Private funds · 2 to 1
        Apr 1, 2015 to Sep 28, 2015
      • Discretionary RAUM · $6.5B to $3.3B
        Apr 1, 2015 to Sep 28, 2015
      • Non-discretionary RAUM · $32.6M to $12.0M
        Apr 1, 2015 to Sep 28, 2015
      • RAUM · $6.5B to $3.3B
        Apr 1, 2015 to Sep 28, 2015
      • Advisory employees · 23 to 22
        Dec 12, 2013 to Sep 19, 2014
      • Employees · 47 to 43
        Dec 12, 2013 to Sep 19, 2014
      • Private funds · 7 to 2
        Dec 12, 2013 to Sep 19, 2014
      • Discretionary RAUM · $6.0B to $6.5B
        Dec 12, 2013 to Sep 19, 2014
      • Non-discretionary RAUM · $14.8M to $32.6M
        Dec 12, 2013 to Sep 19, 2014
      • RAUM · $6.0B to $6.5B
        Dec 12, 2013 to Sep 19, 2014
      • Business name · A•••••• E••• L••••• to A•••••• E••••••• I••••••••• M••••••••• ••• L••
        Sep 26, 2013 to Dec 12, 2013
      • Accounts · 30 to 28
        Jul 2, 2013 to Sep 26, 2013
      • Advisory employees · 27 to 23
        Jul 2, 2013 to Sep 26, 2013
      • Employees · 57 to 47
        Jul 2, 2013 to Sep 26, 2013
      • Legal name · A•••••• E••• L••••• to A•••••• E••••••• I••••••••• M••••••••• ••• L••
        Jul 2, 2013 to Sep 26, 2013
      • Discretionary RAUM · $7.2B to $6.0B
        Jul 2, 2013 to Sep 26, 2013
      • Non-discretionary RAUM · $0 to $14.8M
        Jul 2, 2013 to Sep 26, 2013
      • RAUM · $7.2B to $6.0B
        Jul 2, 2013 to Sep 26, 2013
      • Advisory employees · unset to 27.0
        Sep 28, 2012 to Jan 16, 2013
      • Employees · unset to 57.0
        Sep 28, 2012 to Jan 16, 2013
      • State-registered IARs · unset to 0.0
        Sep 28, 2012 to Jan 16, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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