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••• C•••••• M••••••••• L•••
Latest filing May 5, 2026
First filing on the tape Mar 30, 2012 · 43 filings
SEC status approved since Jul 13, 2001
RAUM
$1.9B
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
183
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.9B as of May 5, 2026
Mar 30, 2012$1.8B then
HNW client RAUM$0 as of May 5, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of May 5, 2026
Apr 1, 20130 then
Employees (5.A)183 as of May 5, 2026
Apr 1, 201338 then
Private funds7 as of May 5, 2026
Mar 30, 20129 then
RAUM +5.1% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 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
- $135MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%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
- $1.9B, 7 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
- 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
- Pooled investment vehicles$1.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 7 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
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• A••• S•••••• S••••••••• F••• V•• L••• | Hedge Fund | $637M | 27 | Aug 14, 2020 |
| A••••• A••• S•••••• S••••••••• F••• V• L••• | Hedge Fund | $263M | 79 | Mar 31, 2017 |
| A••••• A••• C••••• O••••••••• F••• S••• | Hedge Fund | $213M | 3 | Aug 22, 2022 |
| A••••• A••• S•••••• S••••••••• F••• V••• L••• | Hedge Fund | $174M | 8 | Aug 28, 2023 |
| A••••• A••• I••••• C••••••• L••• | Hedge Fund | $165M | 2 | Nov 22, 2022 |
| A••••• A••• A•• C••••••••• S••• | Hedge Fund | $137M | 3 | Mar 31, 2022 |
| A••••• A••• A•• C••••••••• L•••no longer reported | Hedge Fund | $50.1M | 2 | Aug 20, 2021 |
| A••••• A••• P••••••••• P••• I•• L•• | Other Private Fund | $32.9M | 18 | Mar 31, 2022 |
| A••••• A••• S•••••• S••••••••• F••• I•• L•••no longer reported | Hedge Fund | $18.3M | 117 | Mar 30, 2012 |
| A••••• A••• E••••••• P••••••••• P•••• L••no longer reported | Other Private Fund | $11.6M | 12 | Mar 30, 2012 |
| A••••• A••• I••••••••• C••••• I•••••• T••••no longer reported | Other Private Fund | $5.2M | 53 | Mar 30, 2012 |
| A••••• A••• I••••••••• D••••••• S•••••••• T••••no longer reported | Other Private Fund | $3.3M | 54 | Mar 30, 2012 |
| A••••• A••• I••••••••• M•••••• L•••no longer reported | Hedge Fund | $1.3M | 30 | Mar 30, 2012 |
| A••••• A••• S•••••• S••••••••• F••• I••• L•••no longer reported | Hedge Fund | $1.1M | 31 | Mar 30, 2012 |
| A••••• A••• I••••••••• L•••no longer reported | Hedge Fund | $918,019 | 24 | Mar 30, 2012 |
| A••••• A••• S•••••• S••••••••• F••• I•• L•••no longer reported | Hedge Fund | $456,452 | 4 | Mar 30, 2012 |
| A••••• A••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $257,571 | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• S••••• E••••• · President, Managing Partner And General Counsel Of A••••• Capital Groupcontrolsince 03/2001 · owns 5% to 10%
- L•••••• T•••••• M••• · Chief Financial Officer Of A••••• Capital Groupcontrolsince 04/2011 · owns less than 5%
- L••••• M•••• N•• · Chairman And Chief Executive Officer Of A••••• Capital Groupcontrolsince 03/2001 · owns 25% to 50%
- S•••••••• A•••••• K•••• · Chief Compliance Officer Of A••••• Capital Groupcontrolsince 01/2019 · owns less than 5%
- G••••••• S••••• E••••• · Managing Member Of A••••• A••• C•••••• M••••••••• G•••••• L••controlsince 06/2005 · owns F of A••••• A••• C•••••• M••••••••• G•••••• L••
- G••••••• S••••• E••••• · Managing Member Of A••••• M••••••••• H••••• G•••••• L••controlsince 10/2006 · owns F of A••••• M••••••••• H••••• G•••••• L••
- G••••••• S••••• E••••• · Managing Member Of G• M••••••••• L••controlsince 10/2006 · owns F of G• M••••••••• L••
- L••••• M•••• N•• · Managing Member Of A••••• A••• C•••••• M••••••••• G•••••• L••controlsince 06/2005 · owns 75% or more of A••••• A••• C•••••• M••••••••• G•••••• L••
- L••••• M•••• N•• · Managing Member Of A••••• M••••••••• H••••• G•••••• L••controlsince 10/2006 · owns 75% or more of A••••• M••••••••• H••••• G•••••• L••
- L••••• M•••• N•• · Managing Member Of G• I••••••••• L••controlsince 10/2006 · owns 75% or more of G• I••••••••• L••
- L••••• M•••• N•• · Managing Member Of G• M••••••••• L••controlsince 10/2006 · owns 75% or more of G• M••••••••• L••
- K••••••• N•••• N•• · Chief Technology Officer Of A••••• Capital Groupsince 02/2009 · owns less than 5%
Entity owners
- A••••• A••• C•••••• M••••••••• G•••••• L•• · General Partner Of A••••• A••• C•••••• M••••••••• L•••direct · owns less than 5%
- A••••• M••••••••• H••••• G•••••• L•• · General Partner Of A••••• M••••••••• H•••••• L•••indirect · owns F of A••••• M••••••••• H•••••• L•••
- G• I••••••••• L•• · Member Of Msm Investment, LLCindirect · owns 75% or more of Msm Investment, LLC
- G• M••••••••• L•• · Managing Member Of M•• M••••••••• L••indirect · owns 75% or more of M•• M••••••••• L••
- M•• M••••••••• L•• · Limited Partner Of A••••• M••••••••• H•••••• L•••indirect · owns 75% or more of A••••• M••••••••• H•••••• L•••
- A••••• M••••••••• H•••••• L••• · Limited Partner Of Of A••••• A••• C•••••• M••••••••• L•••direct · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••• I••••••••• L••broker-dealern
- A••••• A••• A•• C••••••••• P•••••••• S•••investment adviserbankpooled vehicle sponsorn
- A••••• A••• C•••••• P••••••• V• L••investment adviserbankpooled vehicle sponsorn
- A••••• A••• C•••••• P••••••• V•• L••investment adviserbankpooled vehicle sponsorn
- A••••• A••• C•••••• P••••••• V••• L••investment adviserbankpooled vehicle sponsorn
- A••••• A••• C••••• O••••••••• G•••••• S•••investment adviserpooled vehicle sponsorn
- A••••• A••• I••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsorn
- A••••• C•••••• M••••••••• I•• L•••investment adviserbanknRAUM $5.0B
- A••••• E••••• I••••••••• M••••••••• L•••investment adviserbanknRAUM $3.9B
- G• A••••• E••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
Advisers that list A••••• A••• C•••••• M••••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Luxembourg, Luxembourg
What changed
consecutive filings, newest first
- Accounts · 13 to 14Apr 7, 2025 to Mar 31, 2026
- Assets in custody · $1.8B to $1.9BApr 7, 2025 to Mar 31, 2026
- Employees · 179 to 183Apr 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.8B to $1.9BApr 7, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $1.9BApr 7, 2025 to Mar 31, 2026
- RAUM · $1.8B to $1.9BApr 7, 2025 to Mar 31, 2026
- Accounts · 14 to 13Aug 12, 2024 to Apr 7, 2025
- Advisory employees · 18 to 15Aug 12, 2024 to Apr 7, 2025
- Pooled vehicle clients · 14 to 13Aug 12, 2024 to Apr 7, 2025
- Assets in custody · $1.6B to $1.8BAug 12, 2024 to Apr 7, 2025
- Employees · 186 to 179Aug 12, 2024 to Apr 7, 2025
- Financial planning clients · unset to Aug 12, 2024 to Apr 7, 2025
- Discretionary RAUM · $1.6B to $1.8BAug 12, 2024 to Apr 7, 2025
- Pooled vehicle RAUM · $1.6B to $1.8BAug 12, 2024 to Apr 7, 2025
- RAUM · $1.6B to $1.8BAug 12, 2024 to Apr 7, 2025
- Accounts · 11 to 14Aug 28, 2023 to Mar 28, 2024
- Advisory employees · 17 to 18Aug 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 11 to 14Aug 28, 2023 to Mar 28, 2024
- Assets in custody · $1.4B to $1.6BAug 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.6BAug 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.6BAug 28, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.6BAug 28, 2023 to Mar 28, 2024
- Private funds · 6 to 7Apr 25, 2023 to Aug 28, 2023
- Accounts · 9 to 11Mar 1, 2023 to Mar 30, 2023
- Advisory employees · 13 to 17Mar 1, 2023 to Mar 30, 2023
- Pooled vehicle clients · 9 to 11Mar 1, 2023 to Mar 30, 2023
- Assets in custody · $951M to $1.4BMar 1, 2023 to Mar 30, 2023
- Employees · 176 to 186Mar 1, 2023 to Mar 30, 2023
- Discretionary RAUM · $951M to $1.4BMar 1, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $951M to $1.4BMar 1, 2023 to Mar 30, 2023
- RAUM · $951M to $1.4BMar 1, 2023 to Mar 30, 2023
- Private funds · 5 to 6Aug 22, 2022 to Nov 22, 2022
- Private funds · 4 to 5Mar 31, 2022 to Aug 22, 2022
- Accounts · 8 to 9Nov 12, 2021 to Mar 31, 2022
- Advisory employees · 12 to 13Nov 12, 2021 to Mar 31, 2022
- Pooled vehicle clients · 8 to 9Nov 12, 2021 to Mar 31, 2022
- Assets in custody · $874M to $951MNov 12, 2021 to Mar 31, 2022
- Employees · 174 to 176Nov 12, 2021 to Mar 31, 2022
- Discretionary RAUM · $874M to $951MNov 12, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $874M to $951MNov 12, 2021 to Mar 31, 2022
Signals
7 dated events
- Anthony Richard Cocozza (Senior Managing Director, Chief Risk Officer Of Avenue Capital Group) no longer on Schedule A of A••••• A••• C•••••• M••••••••• L••• (listed 2024-05-21, absent 2024-08-12)Aug 12, 2024 · Control person left · inference
- A••••• A••• C•••••• M••••••••• L••• reported RAUM $1.4B, up 44% from $950.7M (2023-03-01 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••••• A••• C•••••• M••••••••• L••• reported RAUM $873.7M, up 72% from $507.1M (2020-12-01 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Philip Richard Furst (Chief Investment Officer Of Avenue Capital Group) no longer on Schedule A of A••••• A••• C•••••• M••••••••• L••• (listed 2020-03-30, absent 2020-07-08)Jul 8, 2020 · Control person left · inference
- A••••• A••• C•••••• M••••••••• L••• reported RAUM $521.8M, up 188% from $181.2M (2019-01-10 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Keith Andrew Schinder (Chief Compliance Officer Of Avenue Capital Group) appeared on Schedule A of A••••• A••• C•••••• M••••••••• L•••Jan 10, 2019 · Control person joined · fact
- Darren Ty Oyer (Chief Compliance Officer Of Avenue Capital Group) no longer on Schedule A of A••••• A••• C•••••• M••••••••• L••• (listed 2018-10-09, absent 2019-01-10)Jan 10, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A••••• 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
- 212-878-3500reportedpublic record, Form ADV, May 5, 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