DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A••••• C•••••• M••••••••• L••

Institutional managerNew York, New YorkCRD 113013SEC 801-60263website IAPD

Latest filing Mar 30, 2026

First filing on the tape Apr 2, 2012 · 33 filings

SEC status approved since May 14, 2001

RAUM

$8.8B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

3.0%

$265M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

23 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM$8.8B as of Mar 30, 2026

Apr 2, 2012$5.8B then

HNW client RAUM$145M as of Mar 30, 2026

Mar 29, 2018$251M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Apr 1, 20130 then

Employees (5.A)58 as of Mar 30, 2026

Apr 1, 201360 then

Private funds1 as of Mar 30, 2026

Apr 2, 20125 then

RAUM +6.1% over the last fiscal year+0.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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

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: $2.9MderivedHNW RAUM over HNW clients
Average account: $20.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 75%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: +6.1%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +3.8%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Custody: $376M, 3 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)
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 hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Insurance companies$3.3B37%
State and municipal entities$2.8B32%
Investment companies$950M11%
Pooled investment vehicles$827M9.4%
Charitable organizations$196M2.2%
Sovereign wealth funds$171M1.9%
Pension and profit-sharing plans$160M1.8%
High-net-worth individuals$145M1.6%
Corporations and businesses$144M1.6%
Individuals$120M1.4%

Individual clients: 302reported
HNW clients: 50reported
Pension plan clients: n/areported
Charitable clients: 5reported
Accounts: 430reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $273M managedreported
Custody of client assets: $376M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.03 fund_share=0.2 institutional_share=0.75 related_bd=false related_bank=false 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

Every departure Every arrival

Private funds

7 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A••••• V••• M••••• F•••• L•	Hedge Fund	$225M	9	Mar 30, 2020
T•• A••••• G••••• O••••••••• M••••• F•••no longer reported	Hedge Fund	$80.3M	10	Apr 2, 2012
T•• A••••• C••••••••• A•••••••• ••••••• F••• I•no longer reported	Hedge Fund	$50.0M	1	Apr 2, 2012
A••••• G••••• P••••••• M••••• F•••• L•	Hedge Fund	$17.2M	9	Apr 2, 2012
T•• A•• F••••• L•••no longer reported	Other Private Fund	$12.2M	17	Apr 2, 2012
T•• A••••• E••••••• P•••••• M••••• F•••no longer reported	Other Private Fund	$0	2	Apr 2, 2012
T•• A•• P•••••• C••••••••• F•••no longer reported	Other Private Fund	$0	0	Apr 18, 2013

Owners and control persons

Schedule A and B, latest filing

E••••••• S••••••• C•••• · General Counsel And Chief Compliance Officercontrol
since 06/2023 · owns less than 5%
M•••••••• T••••• V•••••• · Managing Member/Chief Executive Officercontrol
since 04/2001 · owns less than 5%
W••••• R•••••• J••• · Chief Financial Officer & Chief Operating Officercontrol
since 08/2005 · owns less than 5%
M•••••••• T••••• V•••••• · Managing Membercontrol
since 01/2020 · owns 75% or more of A•• M••••••••• H•••••••• L•
U•••••••• J•••• O•••• · Membercontrol
since 11/2006 · owns 50% to 75% of B•••• H•••••••• L••

Entity owners

A•• M••••••••• H•••••••• L• · Holding Company
direct · owns 75% or more
A•• H••••••• G•• L•• · General Partner
indirect · owns F of A•• M••••••••• H•••••••• L•
B•••• H•••••••• L•• · Member
direct · owns 5% to 10%

Related persons

Schedule D 7.A

A•• F•••• M••••••••• L••
pooled vehicle sponsorn
A••••• C•••••• M••••••••• U• L••••••
investment advisern
A••••• C••••• L••••••
pooled vehicle sponsorn
A••••• V••• F••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 421 to 430
Mar 26, 2025 to Mar 30, 2026
Advisory employees · 21 to 23
Mar 26, 2025 to Mar 30, 2026
Charity clients · 7 to 5
Mar 26, 2025 to Mar 30, 2026
Corporate clients · 9.0 to unset
Mar 26, 2025 to Mar 30, 2026
HNW clients · 49 to 50
Mar 26, 2025 to Mar 30, 2026
Individual clients · 290 to 302
Mar 26, 2025 to Mar 30, 2026
Pension plan clients · 6.0 to unset
Mar 26, 2025 to Mar 30, 2026
Assets in custody · $223M to $376M
Mar 26, 2025 to Mar 30, 2026
Employees · 56 to 58
Mar 26, 2025 to Mar 30, 2026
Discretionary RAUM · $8.3B to $8.8B
Mar 26, 2025 to Mar 30, 2026
HNW RAUM · $147M to $145M
Mar 26, 2025 to Mar 30, 2026
Individual RAUM · $137M to $120M
Mar 26, 2025 to Mar 30, 2026
Pension RAUM · $248M to $160M
Mar 26, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $519M to $827M
Mar 26, 2025 to Mar 30, 2026
RAUM · $8.3B to $8.8B
Mar 26, 2025 to Mar 30, 2026
Wrap assets (manager) · $275M to $273M
Mar 26, 2025 to Mar 30, 2026
Accounts · 496 to 421
Nov 25, 2024 to Mar 26, 2025
Advisory employees · 23 to 21
Nov 25, 2024 to Mar 26, 2025
Charity clients · 8 to 7
Nov 25, 2024 to Mar 26, 2025
Corporate clients · 10 to 9
Nov 25, 2024 to Mar 26, 2025
HNW clients · 60 to 49
Nov 25, 2024 to Mar 26, 2025
Individual clients · 350 to 290
Nov 25, 2024 to Mar 26, 2025
Assets in custody · $136M to $223M
Nov 25, 2024 to Mar 26, 2025
Employees · 55 to 56
Nov 25, 2024 to Mar 26, 2025
Financial planning clients · unset to
Nov 25, 2024 to Mar 26, 2025
Private funds · 2 to 1
Nov 25, 2024 to Mar 26, 2025
Discretionary RAUM · $8.7B to $8.3B
Nov 25, 2024 to Mar 26, 2025
HNW RAUM · $161M to $147M
Nov 25, 2024 to Mar 26, 2025
Individual RAUM · $159M to $137M
Nov 25, 2024 to Mar 26, 2025
Pension RAUM · $220M to $248M
Nov 25, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $571M to $519M
Nov 25, 2024 to Mar 26, 2025
RAUM · $8.7B to $8.3B
Nov 25, 2024 to Mar 26, 2025
Related broker-dealer · true to false
Nov 25, 2024 to Mar 26, 2025
Wrap assets (manager) · $311M to $275M
Nov 25, 2024 to Mar 26, 2025
Accounts · 575 to 496
Jun 12, 2023 to Mar 28, 2024
Advisory employees · 19 to 23
Jun 12, 2023 to Mar 28, 2024
BD registered reps · 3 to 0
Jun 12, 2023 to Mar 28, 2024
Charity clients · 9 to 8
Jun 12, 2023 to Mar 28, 2024
HNW clients · 74 to 60
Jun 12, 2023 to Mar 28, 2024
Individual clients · 414 to 350
Jun 12, 2023 to Mar 28, 2024

Signals

4 dated events

Scott Buford Reid (Chief Operating Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2023-06-12, absent 2024-03-28)
Mar 28, 2024 · Control person left · inference
Caldwell Edward Delk (General Counsel & Chief Compliance Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2021-03-30, absent 2021-10-25)
Oct 25, 2021 · Control person left · inference
Tate Kris Haber (Chief Operating Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2018-03-29, absent 2019-03-28)
Mar 28, 2019 · Control person left · inference
Scott Buford Reid (Chief Operating Officer) appeared on Schedule A of A••••• C•••••• M••••••••• L••
Mar 28, 2019 · 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: linkedin.com/company/advent-capital-managementreportedpublic record, Form ADV, Sep 21, 2026
Website: A•••••CAP.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-482-1600reportedpublic record, Form ADV, Mar 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: Institutional managerderiveda 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