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••••• C•••••• M••••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Sep 22, 1986
RAUM
$16B
reported, Item 5.F
Discretionary
95%
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
60
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
41
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$16B as of Jul 16, 2026
Mar 30, 2012$7.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Mar 28, 20130 then
Employees (5.A)60 as of Jul 16, 2026
Mar 28, 201346 then
Private funds41 as of Jul 16, 2026
Mar 30, 201220 then
RAUM +3.3% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 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
- $243MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $6.7B, 41 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)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.9B51%
- State and municipal entities$7.5B48%
- Pension and profit-sharing plans$190M1.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 64reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7B for 41 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.51 institutional_share=0.49 related_bd=false related_bank=true 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
Private funds
51 reported on Schedule D 7.B.(1)
All funds of A••••• C•••••• M••••••••• L••
Owners and control persons
Schedule A and B, latest filing
- H•••••• M•••• T••••• · Chief Legal Officer/Member And Chief Compliance Officercontrolsince 01/2005 · owns 5% to 10%
- L••• Y••••• N•• · Membercontrolsince 01/2015 · owns 10% to 25%
- M••••••• T••••••• W•••••• · Membercontrolsince 01/2010 · owns 10% to 25%
- M•••••• L•••••• M•••• · Membercontrolsince 01/2000 · owns 5% to 10%
- P•••••••• L••••••• C•••••• · President/Membercontrolsince 01/2017 · owns 10% to 25%
- P•••••••• P••••• N•• · Chief Financial Officer/Membercontrolsince 01/2010 · owns 5% to 10%
- R•••••• M•••••••• L•••• · Membercontrolsince 01/2006 · owns 10% to 25%
- S••••• M••••••• M•••••• · Membercontrolsince 01/2006 · owns 10% to 25%
- T••••••• J•••••••• C•••••• M•••••• · Membercontrolsince 01/2024 · owns less than 5%
- W•••• W•••• N•• · Membercontrolsince 01/2023 · owns less than 5%
- K•••••• J••••• A••••••• · Ownercontrolsince 02/2021 · owns 75% or more of L•••••••• I•••
- H•••• R••••••• L•••••• · Membersince 07/1987 · owns 5% to 10%
Entity owners
- L•••••••• I••• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••••• C•••••• P•••••• E••••• P••••••• V• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• P••••••• V•• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• C••••••••• G•• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•pooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• I•••••••• G• 2•••• L•••bankpooled vehicle sponsory
- A••••• C•••••• P•••••• E••••• P••••••• V••• L•••pooled vehicle sponsory
- A••••• C•••••• S••••• B•••••• P••••••• I•• L•••bankpooled vehicle sponsory
- A••••• C•••••• S••••• B•••••• P••••••• I••• L•••pooled vehicle sponsory
- A••••• C•••••• S••••• B•••••• P•••••••• L•••bankpooled vehicle sponsory
- A••••• S•••••••• I•••••••• G• I•• L•••bankpooled vehicle sponsory
- A••••• S•••••••• I•••••••• G• I••• L•••bankpooled vehicle sponsory
- A••••• S•••••••• I•••••••• G•• L•••pooled vehicle sponsory
- A••••• S•••••••• O••••••••• S•• G•• L••pooled vehicle sponsory
- A••••• S••••• E• B•••••• G•• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom2 employees
What changed
consecutive filings, newest first
- Accounts · 63 to 64Mar 26, 2026 to Jul 16, 2026
- Pooled vehicle clients · 55 to 56Mar 26, 2026 to Jul 16, 2026
- Assets in custody · $6.7B to $6.7BMar 26, 2026 to Jul 16, 2026
- Discretionary RAUM · $15B to $15BMar 26, 2026 to Jul 16, 2026
- Non-discretionary RAUM · $742M to $828MMar 26, 2026 to Jul 16, 2026
- Pension RAUM · $196M to $190MMar 26, 2026 to Jul 16, 2026
- Pooled vehicle RAUM · $7.8B to $7.9BMar 26, 2026 to Jul 16, 2026
- RAUM · $15B to $16BMar 26, 2026 to Jul 16, 2026
- Accounts · 62 to 63Jan 22, 2026 to Mar 26, 2026
- Pooled vehicle clients · 54 to 55Jan 22, 2026 to Mar 26, 2026
- Assets in custody · $6.7B to $6.7BJan 22, 2026 to Mar 26, 2026
- Employees · 62 to 60Jan 22, 2026 to Mar 26, 2026
- Private funds · 40 to 41Jan 22, 2026 to Mar 26, 2026
- Discretionary RAUM · $14B to $15BJan 22, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $638M to $742MJan 22, 2026 to Mar 26, 2026
- Pension RAUM · $186M to $196MJan 22, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $7.7B to $7.8BJan 22, 2026 to Mar 26, 2026
- RAUM · $15B to $15BJan 22, 2026 to Mar 26, 2026
- Assets in custody · $6.8B to $6.7BMar 27, 2025 to Jul 29, 2025
- Financial planning clients · unset to Mar 27, 2025 to Jul 29, 2025
- Discretionary RAUM · $14B to $14BMar 27, 2025 to Jul 29, 2025
- Non-discretionary RAUM · $595M to $638MMar 27, 2025 to Jul 29, 2025
- Pension RAUM · $183M to $186MMar 27, 2025 to Jul 29, 2025
- Pooled vehicle RAUM · $7.8B to $7.7BMar 27, 2025 to Jul 29, 2025
- RAUM · $15B to $15BMar 27, 2025 to Jul 29, 2025
- Accounts · 58 to 62Jul 19, 2024 to Mar 27, 2025
- Pooled vehicle clients · 50 to 54Jul 19, 2024 to Mar 27, 2025
- Assets in custody · $6.6B to $6.8BJul 19, 2024 to Mar 27, 2025
- Private funds · 38 to 40Jul 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $14B to $14BJul 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $500M to $595MJul 19, 2024 to Mar 27, 2025
- Pension RAUM · $159M to $183MJul 19, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $7.4B to $7.8BJul 19, 2024 to Mar 27, 2025
- RAUM · $15B to $15BJul 19, 2024 to Mar 27, 2025
- Accounts · 57 to 58Mar 28, 2024 to Jul 19, 2024
- Pooled vehicle clients · 49 to 50Mar 28, 2024 to Jul 19, 2024
- Assets in custody · $6.5B to $6.6BMar 28, 2024 to Jul 19, 2024
- Discretionary RAUM · $14B to $14BMar 28, 2024 to Jul 19, 2024
- Non-discretionary RAUM · $475M to $500MMar 28, 2024 to Jul 19, 2024
- Pension RAUM · $153M to $159MMar 28, 2024 to Jul 19, 2024
Signals
8 dated events
- Clement Menahem Jonathan Tubiana (Member) appeared on Schedule A of A••••• C•••••• M••••••••• L••Jan 9, 2024 · Control person joined · fact
- Nmn Wolf Witt (Member) appeared on Schedule A of A••••• C•••••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- David Jonathan Roth (Co-President/Member) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2022-07-26, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- K••••••• M•••••• H••••• (Chief Compliance Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2022-03-25, absent 2022-07-26)Jul 26, 2022 · Control person left · inference
- Jobst Klemme (Owner) appeared on Schedule A of A••••• C•••••• M••••••••• L••Nov 24, 2021 · Control person joined · fact
- Jan Kathryn Stokel (Chief Operating Officer/Member) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2020-08-31, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- K••••••• M•••••• H••••• (Chief Compliance Officer) appeared on Schedule A of A••••• C•••••• M••••••••• L••Mar 26, 2020 · Control person joined · fact
- Susan Kimberly Berliner (Chief Compliance Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2018-07-25, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-757-2700reportedpublic record, Form ADV, Jul 16, 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
- Other 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