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••••••• S•••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 8, 2012 · 21 filings
SEC status approved since Jan 20, 1982
RAUM
$5.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$830M
derived; firm RAUM over IAPD count
Employees
37
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$5.0B as of Mar 31, 2026
Mar 8, 2012$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 13, 20136 then
Employees (5.A)37 as of Mar 31, 2026
Mar 13, 201341 then
Private funds1 as of Mar 31, 2023
Mar 8, 20121 then
RAUM +11% over the last fiscal year+8.9% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $830MderivedRAUM 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
- $26.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $58.0M, 1 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$4.6B92%
- Corporations and businesses$186M3.7%
- Charitable organizations$154M3.1%
- State and municipal entities$73.5M1.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 129reported
- Charitable clients
- 5reported
- Accounts
- 186reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.96 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• V••••• S••••Chartered Financial Analyst | New York, Ny | Aug 8, 2022 | 29 y | 2 |
| J••• R•••••• C••••• | New York, Ny | Oct 28, 2022 | 39 y | 0 |
| R•••••• M•••••• | New York, Ny | Nov 14, 2022 | 22 y | 2 |
| T••• A••• R•••• | New York, Ny | Dec 23, 2022 | 13 y | 0 |
| K•••• J••• Q•••• | New York, Ny | Feb 6, 2023 | 28 y | 1 |
| G••••• E••••• T•••••••• | New York, Ny | Dec 4, 2025 | 37 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••• M•••••• G•••••• to A••••••• S•••••• M••••••••• L••Jan 25, 2022 · Other
Joined, latest
- K•••• J••• Q•••• from R••••••••• A•••• M••••••••• I•••Feb 6, 2023 · Other
- R•••••• M•••••• from A••••••• S•••••• M••••••••• L••Jul 23, 2008 · Other
- J••••• V••••• S•••• from A••••••• S•••••• M••••••••• L••Jul 11, 2008 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• V••••••• F•••• L• | Hedge Fund | $21.9M | 22 | Mar 8, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• M••••••• R•••••• · Chief Compliance Officer/ Chief Operating Officer/ Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- R•••••• R•••••• F••• · Member, Director Of Research, Portfolio Manager, Co-Cio Of Equitiescontrolsince 05/2010 · owns 10% to 25%
- S••••••••• C••••• B• · Member, President, Chief Investment Officer, Portfolio Managercontrolsince 05/2010 · owns 25% to 50%
- W•••• M••••••• W••••• · Portfolio Manager, Co-Cio Of Equitiescontrolsince 01/2021 · owns 5% to 10%
Entity owners
- E••••••• P••••••• S••••••• E•••• L•• · Memberdirect · owns 25% to 50%
- E••••••• G•••• H••••••• L•• · General Partnerindirect · owns F of E••••••• G•••• H••••••• L•
- E••••••• G•••• H••••••• L• · Managing Memberindirect · owns 75% or more of E••••••• P••••••• S••••••• E•••• L••
- E••••••• I••• · General Partnerindirect · owns F of E••••••• L• · public reporting company
- E••••••• L• · Managing Memberindirect · owns 75% or more of E••••••• G•••• H••••••• L••
- E••••••• L• · Limited Partnerindirect · owns 75% or more of E••••••• G•••• H••••••• L•
Related persons
Schedule D 7.A
- A••••••• S•••••• M••••••••• L••investment adviseryRAUM $3.9B
- E••••••• G•••• L•••••broker-dealern
- E••••••• T•••• C••••••• N•••n
- E••••••• W••••• M••••••••• L••investment advisernRAUM $16B
Advisers that list A••••••• S•••••• C••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 195 to 186Mar 26, 2025 to Mar 31, 2026
- Corporate clients · 50 to 47Mar 26, 2025 to Mar 31, 2026
- Pension plan clients · 135 to 129Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $52.2M to $58.0MMar 26, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.5B to $5.0BMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $4.1B to $4.6BMar 26, 2025 to Mar 31, 2026
- RAUM · $4.5B to $5.0BMar 26, 2025 to Mar 31, 2026
- Accounts · 192 to 195Mar 29, 2024 to Mar 26, 2025
- Pension plan clients · 133 to 135Mar 29, 2024 to Mar 26, 2025
- Assets in custody · $41.9M to $52.2MMar 29, 2024 to Mar 26, 2025
- Employees · 39 to 37Mar 29, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 26, 2025
- Other offices · 4 to 3Mar 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.2B to $4.5BMar 29, 2024 to Mar 26, 2025
- Pension RAUM · $3.8B to $4.1BMar 29, 2024 to Mar 26, 2025
- RAUM · $4.2B to $4.5BMar 29, 2024 to Mar 26, 2025
- Accounts · 206 to 192Mar 31, 2023 to Mar 29, 2024
- Charity clients · 6 to 5Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 49 to 50Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 145 to 133Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1.0 to unsetMar 31, 2023 to Mar 29, 2024
- Assets in custody · $37.0M to $41.9MMar 31, 2023 to Mar 29, 2024
- State-registered IARs · 4 to 5Mar 31, 2023 to Mar 29, 2024
- Private funds · 1 to unsetMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.9B to $4.2BMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $3.5B to $3.8BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · 21941000.0 to unsetMar 31, 2023 to Mar 29, 2024
- RAUM · $3.9B to $4.2BMar 31, 2023 to Mar 29, 2024
- Accounts · 200 to 206Sep 15, 2022 to Mar 31, 2023
- Advisory employees · 7 to 8Sep 15, 2022 to Mar 31, 2023
- Charity clients · 7 to 6Sep 15, 2022 to Mar 31, 2023
- Corporate clients · 44 to 49Sep 15, 2022 to Mar 31, 2023
- Pension plan clients · 142 to 145Sep 15, 2022 to Mar 31, 2023
- Assets in custody · $51.4M to $37.0MSep 15, 2022 to Mar 31, 2023
- State-registered IARs · 0 to 4Sep 15, 2022 to Mar 31, 2023
- Other offices · 3 to 4Sep 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.7B to $3.9BSep 15, 2022 to Mar 31, 2023
- Pension RAUM · $4.2B to $3.5BSep 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $29.5M to $21.9MSep 15, 2022 to Mar 31, 2023
Signals
7 dated events
- Ercole William Dipietro (Chief Compliance Officer, Senior Vice President - Director Of Client Services) no longer on Schedule A of A••••••• S•••••• C••••••• L•• (listed 2022-03-31, absent 2022-09-14)Sep 14, 2022 · Control person left · inference
- Richard Michael Kuchler (Chief Compliance Officer) appeared on Schedule A of A••••••• S•••••• C••••••• L••Sep 14, 2022 · Control person joined · fact
- Ercole William Dipietro (Chief Compliance Officer, Senior Vice President - Director Of Client Services) appeared on Schedule A of A••••••• S•••••• C••••••• L••Mar 1, 2022 · Control person joined · fact
- Sean Kevin Kelly (Member, Chief Operating Officer, Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of A••••••• S•••••• C••••••• L•• (listed 2021-03-23, absent 2022-03-01)Mar 1, 2022 · Control person left · inference
- D••• M•••••• G•••••• left A••••••• S•••••• C••••••• L•• for A••••••• S•••••• M••••••••• L•• (registered 2008-04-10)Jan 25, 2022 · Advisor changed firm · fact
- Patrick John Mcmullan (Member, Portfolio Mananger) no longer on Schedule A of A••••••• S•••••• C••••••• L•• (listed 2020-06-18, absent 2021-03-23)Mar 23, 2021 · Control person left · inference
- Waring Matthew Ward (Portfolio Manager) appeared on Schedule A of A••••••• S•••••• C••••••• L••Mar 23, 2021 · Control person joined · 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
- H•••S://WWW.LINKEDIN.COM/COMPANY/A•••••••••-CAPITAL-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-867-5000reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $830Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026