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••••••• R••••• A•••••••

Asset manager (funds and pooled vehicles)Los Angeles, CaliforniaCRD 107965SEC 801-37721websiteIAPD
Legal name A••••••• R••••• A•••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 2, 2012 · 50 filings
SEC status approved since Nov 15, 1990
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
70
36 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
2
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$3.2B as of Apr 30, 2026
Mar 2, 2012$577M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 2, 20120 then
Employees (5.A)70 as of Apr 30, 2026
Mar 13, 201358 then
Private funds2 as of Apr 30, 2026
Mar 2, 20123 then
RAUM -1.4% over the last fiscal year-2.0% a year over threeIARs 0 to 0offices 5 to 4
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$3.2BderivedRAUM 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
$1.6BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
70.0derivedItem 5.A over advisors
Advisors per office
0.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-1.4%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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, publications, otherreportedItem 5.G
Custody
$584M, 10 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$584M for 10 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• R••••••• H••••Orlando, FlNov 30, 202524 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    A••••••• S•••••••• V•••• R••••• F•••• L•••Hedge Fund$3.4B106Mar 2, 2012
    B••••••• F•• A•••••• F••• I••• L••Hedge Fund$57.8M19Mar 2, 2012
    M••• G•••••• V•••• F••• L•no longer reportedHedge Fund$1.8M3Mar 27, 2012
    B••••••• F•• A•••••• H••• Y•••• U•••• I••••••••• F•••• L••no longer reportedHedge Fund$200,7767Mar 2, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••• K•••••• · Chief Legal Officer; Chief Compliance Officercontrol
      since 09/2006 · owns less than 5%
    • A•••••••• G••••• E•••• · Chief Accounting Officercontrol
      since 08/2011 · owns less than 5%
    • D••••••• S••••• W•••••• · Executive Vice Presidentcontrol
      since 03/2010 · owns less than 5%
    • H•••••••• K•••• V•• · Chief Investment Officer; Presidentcontrol
      since 03/2010 · owns less than 5%
    • I•••••• S••••••• L•••••• · Chairman & Ceocontrol
      since 08/1985 · owns less than 5%
    Entity owners
    • G••••••• H•••••••• L•• · Member
      direct · owns 75% or more
    • F••••• S••••• I••••••••• I••• · Member
      indirect · owns F of G••••••• H•••••••• L••
    • I••••• F••••• T•••• D•• J••• 1•• 2••• · Shareholder
      indirect · owns 75% or more of F••••• S••••• I••••••••• I•••
    • S•••••• L• I••••• · Co-Trustee; Special Voting Stock Trustee
      indirect · owns F of I••••• F••••• T•••• D•• J••• 1•• 2•••
    • N•••• E•••• S•••• · Co-Trustee
      indirect · owns F of I••••• F••••• T•••• D•• J••• 1•• 2•••
    Related persons
    Schedule D 7.A
    • A••• M••••••••• L••
      pooled vehicle sponsory
    • A•••• M••••••••• L••
      pooled vehicle sponsory
    • B••• M••••••••• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL13 employees
    • Boston, MA4 employees
    • New York, NY2 employees
    • Lake Mary, FL1 employees
    • Radnor, PA1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 44 to 36
      Apr 21, 2025 to Mar 24, 2026
    • Assets in custody · $389M to $584M
      Apr 21, 2025 to Mar 24, 2026
    • Employees · 74 to 70
      Apr 21, 2025 to Mar 24, 2026
    • Other offices · 5 to 4
      Apr 21, 2025 to Mar 24, 2026
    • Discretionary RAUM · $3.3B to $3.2B
      Apr 21, 2025 to Mar 24, 2026
    • Pooled vehicle RAUM · $3.3B to $3.2B
      Apr 21, 2025 to Mar 24, 2026
    • RAUM · $3.3B to $3.2B
      Apr 21, 2025 to Mar 24, 2026
    • Advisory employees · 46 to 44
      Mar 29, 2024 to Apr 21, 2025
    • Assets in custody · $126M to $389M
      Mar 29, 2024 to Apr 21, 2025
    • Employees · 80 to 74
      Mar 29, 2024 to Apr 21, 2025
    • Financial planning clients · unset to
      Mar 29, 2024 to Apr 21, 2025
    • Discretionary RAUM · $3.4B to $3.3B
      Mar 29, 2024 to Apr 21, 2025
    • Pooled vehicle RAUM · $3.4B to $3.3B
      Mar 29, 2024 to Apr 21, 2025
    • RAUM · $3.4B to $3.3B
      Mar 29, 2024 to Apr 21, 2025
    • Advisory employees · 55 to 46
      Apr 3, 2023 to Mar 20, 2024
    • Assets in custody · $179M to $126M
      Apr 3, 2023 to Mar 20, 2024
    • Employees · 92 to 80
      Apr 3, 2023 to Mar 20, 2024
    • Discretionary RAUM · $3.4B to $3.4B
      Apr 3, 2023 to Mar 20, 2024
    • Pooled vehicle RAUM · $3.4B to $3.4B
      Apr 3, 2023 to Mar 20, 2024
    • RAUM · $3.4B to $3.4B
      Apr 3, 2023 to Mar 20, 2024
    • Advisory employees · 51 to 55
      Apr 28, 2022 to Mar 22, 2023
    • Pension plan clients · unset to 11.0
      Apr 28, 2022 to Mar 22, 2023
    • Pooled vehicle clients · 2 to 3
      Apr 28, 2022 to Mar 22, 2023
    • Assets in custody · $434M to $179M
      Apr 28, 2022 to Mar 22, 2023
    • Employees · 89 to 92
      Apr 28, 2022 to Mar 22, 2023
    • Discretionary RAUM · $2.6B to $3.4B
      Apr 28, 2022 to Mar 22, 2023
    • Pooled vehicle RAUM · $2.6B to $3.4B
      Apr 28, 2022 to Mar 22, 2023
    • RAUM · $2.6B to $3.4B
      Apr 28, 2022 to Mar 22, 2023
    • Related insurance company · true to false
      Apr 28, 2022 to Mar 22, 2023
    • Advisory employees · 50 to 51
      Jan 10, 2022 to Mar 24, 2022
    • Assets in custody · $242M to $434M
      Jan 10, 2022 to Mar 24, 2022
    • Employees · 90 to 89
      Jan 10, 2022 to Mar 24, 2022
    • Other offices · 6 to 5
      Jan 10, 2022 to Mar 24, 2022
    • Discretionary RAUM · $2.1B to $2.6B
      Jan 10, 2022 to Mar 24, 2022
    • Pooled vehicle RAUM · $2.1B to $2.6B
      Jan 10, 2022 to Mar 24, 2022
    • RAUM · $2.1B to $2.6B
      Jan 10, 2022 to Mar 24, 2022
    • Other offices · 4 to 6
      Nov 17, 2021 to Jan 10, 2022
    • Other offices · 5 to 4
      Mar 31, 2021 to Nov 17, 2021
    • Advisory employees · 49 to 50
      Jan 4, 2021 to Mar 19, 2021
    • Assets in custody · $160M to $242M
      Jan 4, 2021 to Mar 19, 2021
    Signals
    9 dated events
    • P••• V••••••• (Managing Director, Asset Management; Vice President) no longer on Schedule A of A••••••• R••••• A••••••• (listed 2023-04-03, absent 2024-03-20)
      Mar 20, 2024 · Control person left · inference
    • A••••••• R••••• A••••••• reported RAUM $3.4B, up 30% from $2.6B (2022-04-28 to 2023-03-22)
      Mar 22, 2023 · RAUM change · derived
    • P••• V••••••• (Managing Director, Asset Management; Vice President) appeared on Schedule A of A••••••• R••••• A•••••••
      Nov 17, 2021 · Control person joined · fact
    • Jonas Sylvester (Chief Operating Officer) no longer on Schedule A of A••••••• R••••• A••••••• (listed 2021-03-31, absent 2021-11-17)
      Nov 17, 2021 · Control person left · inference
    • P••• V••••••• (Vice President) no longer on Schedule A of A••••••• R••••• A••••••• (listed 2021-01-04, absent 2021-03-19)
      Mar 19, 2021 · Control person left · inference
    • Ellen Nancy Stark (Vice President) no longer on Schedule A of A••••••• R••••• A••••••• (listed 2021-01-04, absent 2021-03-19)
      Mar 19, 2021 · Control person left · inference
    • Jonas Sylvester (Chief Operating Officer) appeared on Schedule A of A••••••• R••••• A•••••••
      Jan 4, 2021 · Control person joined · fact
    • A••••••• R••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 4, 2021 · Succession (Item 4) · fact
    • A••••••• R••••• A••••••• reported RAUM $1.7B, up 27% from $1.3B (2018-03-19 to 2019-03-20)
      Mar 20, 2019 · 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
    Firm profile
    H•••://WWW.LINKEDIN.COM/COMPANY/A••••••N-R•••••-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    213-233-5700reportedpublic record, Form ADV, Apr 30, 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
    $3.2Bderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026