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•••••••• A••••••• M••••••••• L••
Latest filing May 1, 2026
First filing on the tape Mar 19, 2012 · 34 filings
SEC status approved since Jul 31, 1998
RAUM
$469M
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
18
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$469M as of May 1, 2026
Mar 19, 2012$397M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 19, 20120 then
Employees (5.A)18 as of May 1, 2026
Mar 20, 20130 then
Private funds1 as of May 1, 2026
Mar 19, 20121 then
RAUM +69% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- $469MderivedRAUM 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
- +69%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $469M, 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)
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$469M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $469M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• A••••••• G••••• G•••••• L••••• | Hedge Fund | $197M | 42 | Mar 19, 2012 |
| A•••••••• A••••••• T•• E••••• H••• I••••• F••• I• L•• | Other Private Fund | $33.7M | 265 | Mar 23, 2015 |
| A•••••••• A••••••• T•• E••••• H••• I••••• F••• I•• L•• | Other Private Fund | $7.0M | 62 | Mar 23, 2015 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• D•••••• · Chief Legal Officercontrolsince 06/2003 · owns less than 5%
- M•••••••• B••••• E••••• · Coo, Presidentcontrolsince 06/2003 · owns less than 5%
- M•••••••• D•••••• P•••••• · Secretarycontrolsince 01/2003 · owns less than 5%
- S•••••• D••••••• T••••••• · Global Compliance Officercontrolsince 02/2016 · owns less than 5%
- S••••••••• P••••••••• D• · 100% Ownercontrolsince 12/2003 · owns 75% or more of A••••• C•••••• M••••••••• L•••
- M••••••••• M••••••••• D•••• · Chief Compliance Officersince 02/2020 · owns less than 5%
- W••••••• B•••• M•••••• · Senior Vice President - Cfosince 08/2022 · owns less than 5%
Entity owners
- O••••••••• A•••• M••••••••• · Managing Memberdirect · owns 75% or more
- E••• V•••• I••••••••• C•• · 100% Ownerindirect · owns 75% or more of O••••••••• A•••• M•••••••••
- O••••••••• H••••••• I••• · 100% Ownerindirect · owns 75% or more of E••• V•••• I••••••••• C•• · public reporting company
- A••••• C•••••• M••••••••• L••• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•••••••• A••••••• M••••••••• L•••••investment adviserbankpooled vehicle sponsornRAUM $4.9B
- F•••••• I••••••••• I•••broker-dealern
- O••• A••••••• L••bankpooled vehicle sponsorn
- O••••••••• • C•• I•••broker-dealerinvestment adviserpooled vehicle sponsorLP sponsorcustodiannRAUM $37B
- O••••••••• A••••••••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $178M
- O••••••••• A•••• M•••••••••investment adviseryRAUM $21B
- O••••••••• E••••• L••broker-dealern
- O••••••••• I••••••••• M••••••••• L••investment advisernRAUM $929M
- O••••••••• I••••••••• A••• L••••••broker-dealern
- O••••••••• I••••• ••••• L••broker-dealern
- O••••••••• L••• A•••••• L•••real estaten
- O••••••••• T•••• C•••••• I•••n
Advisers that list A•••••••• A••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $277,667,950 to $468,798,213 (+69.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +4.0% (1148 comparable advisers, 94.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 1Oct 17, 2025 to Mar 27, 2026
- Pooled vehicle clients · 3 to 1Oct 17, 2025 to Mar 27, 2026
- Assets in custody · $278M to $469MOct 17, 2025 to Mar 27, 2026
- Private funds · 3 to 1Oct 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $278M to $469MOct 17, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $278M to $469MOct 17, 2025 to Mar 27, 2026
- RAUM · $278M to $469MOct 17, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Jul 14, 2025 to Oct 17, 2025
- Assets in custody · $237M to $278MJun 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $237M to $278MJun 24, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $237M to $278MJun 24, 2024 to Mar 28, 2025
- RAUM · $237M to $278MJun 24, 2024 to Mar 28, 2025
- Assets in custody · $226M to $237MMay 5, 2023 to Mar 26, 2024
- Discretionary RAUM · $301M to $237MMay 5, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $301M to $237MMay 5, 2023 to Mar 26, 2024
- RAUM · $301M to $237MMay 5, 2023 to Mar 26, 2024
- BD registered reps · 2 to 0Sep 9, 2022 to Mar 27, 2023
- Assets in custody · $378M to $226MSep 9, 2022 to Mar 27, 2023
- Employees · 8 to 18Sep 9, 2022 to Mar 27, 2023
- Discretionary RAUM · $378M to $301MSep 9, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $378M to $301MSep 9, 2022 to Mar 27, 2023
- RAUM · $378M to $301MSep 9, 2022 to Mar 27, 2023
- Assets in custody · $666M to $378MMar 29, 2021 to Mar 14, 2022
- Discretionary RAUM · $666M to $378MMar 29, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $666M to $378MMar 29, 2021 to Mar 14, 2022
- RAUM · $666M to $378MMar 29, 2021 to Mar 14, 2022
- Assets in custody · $400M to $666MMar 2, 2020 to Mar 25, 2021
- Discretionary RAUM · $400M to $666MMar 2, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $400M to $666MMar 2, 2020 to Mar 25, 2021
- RAUM · $400M to $666MMar 2, 2020 to Mar 25, 2021
- Advisory employees · 5 to 4Mar 21, 2019 to Mar 2, 2020
- Assets in custody · $450M to $400MMar 21, 2019 to Mar 2, 2020
- Employees · 15 to 8Mar 21, 2019 to Mar 2, 2020
- Other offices · 1 to 0Mar 21, 2019 to Mar 2, 2020
- Discretionary RAUM · $450M to $400MMar 21, 2019 to Mar 2, 2020
- Pooled vehicle RAUM · $450M to $400MMar 21, 2019 to Mar 2, 2020
- RAUM · $450M to $400MMar 21, 2019 to Mar 2, 2020
- Assets in custody · $494M to $450MMar 15, 2019 to Mar 21, 2019
- Discretionary RAUM · $450M to $450MMar 15, 2019 to Mar 21, 2019
- Pooled vehicle RAUM · $450M to $450MMar 15, 2019 to Mar 21, 2019
Signals
6 dated events
- A•••••••• A••••••• M••••••••• L•• reported RAUM $468.8M, up 69% from $277.7M (2025-10-17 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Frank Salvatore Agosta (Acting Cfo) no longer on Schedule A of A•••••••• A••••••• M••••••••• L•• (listed 2022-03-14, absent 2022-09-07)Sep 7, 2022 · Control person left · inference
- A•••••••• A••••••• M••••••••• L•• reported RAUM $377.6M, down 43% from $665.6M (2021-03-29 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- Joseph Jeffrey Alfano (Cfo) no longer on Schedule A of A•••••••• A••••••• M••••••••• L•• (listed 2021-03-29, absent 2022-03-14)Mar 14, 2022 · Control person left · inference
- Frank Salvatore Agosta (Acting Cfo) appeared on Schedule A of A•••••••• A••••••• M••••••••• L••Mar 14, 2022 · Control person joined · fact
- A•••••••• A••••••• M••••••••• L•• reported RAUM $665.6M, up 66% from $399.7M (2020-03-02 to 2021-03-25)Mar 25, 2021 · 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
- Principal office phone
- 212-667-4225reportedpublic record, Form ADV, May 1, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026