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•••••• G••••• I•••••••• F••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 108049SEC 801-57798IAPD
Latest filing May 31, 2016
First filing on the tape Dec 23, 2011 · 23 filings
RAUM
$30B
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
36
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$30B as of Mar 30, 2016
Mar 29, 2012$48B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 29, 20120 then
Employees (5.A)36 as of Mar 30, 2016
Mar 27, 201334 then
Private funds: no history
RAUM -19% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 31, 2016; 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
$450MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-19%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
66reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• E••• · Member Of Management Boardcontrol
        since 06/2014 · owns less than 5%
      • C••••••• J•••• C•••••• · Member Of Management Boardcontrol
        since 02/2012 · owns less than 5%
      • C•••••••• B••••••• R••• · Member Of Management Boardcontrol
        since 10/2015 · owns less than 5%
      • F•••••••• T•••••• J••••• · Chief Legal Officercontrol
        since 09/2008 · owns less than 5%
      • H•••••• T•••••• L••••• · Chief Compliance Officercontrol
        since 09/2014 · owns less than 5%
      • J•••••• D••••• B••• · Member Of Management Boardcontrol
        since 02/2012 · owns less than 5%
      Entity owners
      • A•••••• G••••• I•••••••• U••• H••••••• L•• · Member
        direct · owns 75% or more
      • A•••••• A•••• M••••••••• O• A•••••• L••• · Member
        indirect · owns 75% or more of A•••••• G••••• I•••••••• U••• H••••••• L••
      • A•••••• A•••• M••••••••• O• A•••••• L•• · Partner
        indirect · owns 75% or more of A•••••• A•••• M••••••••• O• A•••••• L•••
      • A•••••• S• · Sole Stockholder
        indirect · owns 75% or more of A•••••• E••••• B•••
      • A•••••• E••••• B••• · Sole Stockholder
        indirect · owns 75% or more of A•••••• O• A••••••• I•••
      • A•••••• O• A••••••• I••• · Member
        indirect · owns 75% or more of A•••••• Asset Management Of A•••••• LLC
      Related persons
      Schedule D 7.A
      Advisers that list A•••••• G••••• I•••••••• F••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 64 to 66
        Nov 18, 2015 to Mar 30, 2016
      • BD registered reps · 16 to 15
        Nov 18, 2015 to Mar 30, 2016
      • Employees · 37 to 36
        Nov 18, 2015 to Mar 30, 2016
      • Discretionary RAUM · $37B to $30B
        Nov 18, 2015 to Mar 30, 2016
      • RAUM · $37B to $30B
        Nov 18, 2015 to Mar 30, 2016
      • Accounts · 58 to 64
        Jan 9, 2015 to Mar 31, 2015
      • BD registered reps · 14 to 16
        Jan 9, 2015 to Mar 31, 2015
      • Employees · 35 to 37
        Jan 9, 2015 to Mar 31, 2015
      • Discretionary RAUM · $37B to $37B
        Jan 9, 2015 to Mar 31, 2015
      • RAUM · $37B to $37B
        Jan 9, 2015 to Mar 31, 2015
      • Accounts · 87 to 58
        Jul 8, 2014 to Oct 1, 2014
      • Discretionary RAUM · $65B to $37B
        Jul 8, 2014 to Oct 1, 2014
      • RAUM · $65B to $37B
        Jul 8, 2014 to Oct 1, 2014
      • Accounts · 84 to 87
        Feb 20, 2014 to Mar 28, 2014
      • BD registered reps · 11 to 14
        Feb 20, 2014 to Mar 28, 2014
      • Employees · 34 to 35
        Feb 20, 2014 to Mar 28, 2014
      • Discretionary RAUM · $55B to $65B
        Feb 20, 2014 to Mar 28, 2014
      • RAUM · $55B to $65B
        Feb 20, 2014 to Mar 28, 2014
      • BD registered reps · 9 to 11
        Jan 16, 2013 to Mar 27, 2013
      • Accounts · 81 to 84
        Jan 16, 2013 to Mar 27, 2013
      • Employees · 27 to 34
        Jan 16, 2013 to Mar 27, 2013
      • Discretionary RAUM · $48B to $55B
        Jan 16, 2013 to Mar 27, 2013
      • RAUM · $48B to $55B
        Jan 16, 2013 to Mar 27, 2013
      • BD registered reps · 2 to 9
        Nov 21, 2012 to Jan 4, 2013
      • Employees · 28 to 27
        Nov 21, 2012 to Jan 4, 2013
      • BD registered reps · unset to 2.0
        Mar 29, 2012 to Nov 21, 2012
      • Employees · unset to 28.0
        Mar 29, 2012 to Nov 21, 2012
      • Accounts · 80 to 81
        Dec 23, 2011 to Mar 29, 2012
      • Advisory activities · 1 to 2
        Dec 23, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 29, 2012
      • Discretionary RAUM · $45B to $48B
        Dec 23, 2011 to Mar 29, 2012
      • RAUM · $45B to $48B
        Dec 23, 2011 to Mar 29, 2012
      • Related bank · false to true
        Dec 23, 2011 to Mar 29, 2012
      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