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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•• A••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Nov 5, 2001
RAUM
$4.4B
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
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$4.4B as of Mar 31, 2026
Mar 30, 2012$6.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)18 as of Mar 31, 2026
Mar 28, 201312 then
Private funds2 as of Mar 31, 2026
Mar 30, 20125 then
RAUM +27% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $292MderivedRAUM 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
- +27%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.3B52%
- Investment companies$2.1B48%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 8•••••••••no longer reported | Hedge Fund | $92.4M | 1 | Mar 30, 2012 |
| C•• C• M••••• A••••••• L••• | Hedge Fund | $44.9M | 3 | Mar 30, 2012 |
| A•• L•••••••• F•••• L•••no longer reported | Hedge Fund | $29.5M | 15 | Mar 30, 2012 |
| A•• A•••••••• M• O••••••• F•••• L••• | Hedge Fund | $28.6M | 1 | Mar 30, 2012 |
| C•• D••••••••• O••••••••• M••••• A••••••• L••• | Hedge Fund | $1.1M | 4 | Mar 30, 2012 |
| C•• O••••••••• P•••••• O••••••• F•••• L••• | Hedge Fund | $32,395 | 3 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C•••••••• S•••• · P••••••••controlsince 05/2001 · owns less than 5%
- B•••••• R•••••• F••• · P••••••••controlsince 01/2012 · owns less than 5%
- K•••••••• D••••• G••• · P••••••••controlsince 05/2001 · owns less than 5%
- L•••• J•••• M••• S•• · P••••••••controlsince 05/2001 · owns less than 5%
- M•••••••• M•••• L• · P••••••••controlsince 05/2001 · owns less than 5%
- P••••••• T••• · P••••••••controlsince 05/2001 · owns less than 5%
- W••••••• H••••••• J•••• · Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- A•••••• C•••••••• S•••• · Membercontrolsince 01/2014 · owns 25% to 50% of A•• C•••••• M••••••••• G••••• L•••
- M•••••••• M•••• L• · Membercontrolsince 05/2001 · owns 50% to 75% of R••• C•••
- P••••••• T••• · P••••••••controlsince 05/2001 · owns 50% to 75% of R••• C•••
Entity owners
- A•• C•••••• M••••••••• L•• · Memberdirect · owns 50% to 75%
- C•• C•••••• M••••••••• L•• · Memberdirect · owns 50% to 75%
- A••••••••• M••••••• G••••• I••• · Memberindirect · owns 75% or more of T•••••• A••••••••• L•• · public reporting company
- A•• C•••••• M••••••••• G••••• L••• · Memberindirect · owns 75% or more of A•• C•••••• M••••••••• H•••••••• L••
- A•• C•••••• M••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of A•• C•••••• M••••••••• L••
- R••• C••• · Memberindirect · owns 75% or more of C•• C•••••• M••••••••• L••
- T•••••• A••••••••• L•• · Memberindirect · owns 25% to 50% of A•• C•••••• M••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- A•• C•••••• M••••••••• L••investment adviserbankyRAUM $312B
- C•• P•••••••• P••••••• I• L••pooled vehicle sponsorn
Advisers that list A•• A••••••••• L•• as a related person
- 111883 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 15Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 15 to 18Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 14Mar 28, 2025 to Mar 31, 2026
- Employees · 15 to 18Mar 28, 2025 to Mar 31, 2026
- Private funds · 3 to 2Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.5B to $4.4BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.4B to $2.3BMar 28, 2025 to Mar 31, 2026
- RAUM · $3.5B to $4.4BMar 28, 2025 to Mar 31, 2026
- Accounts · 15 to 16Mar 28, 2024 to Mar 28, 2025
- Advisory activities · 2 to 3Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 14 to 15Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.8B to $3.5BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.0B to $1.4BMar 28, 2024 to Mar 28, 2025
- RAUM · $2.8B to $3.5BMar 28, 2024 to Mar 28, 2025
- Accounts · 18 to 15Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 13 to 15Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 17 to 14Mar 30, 2023 to Mar 28, 2024
- Employees · 13 to 15Mar 30, 2023 to Mar 28, 2024
- Private funds · 4 to 3Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.0B to $2.8BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.5B to $1.0BMar 30, 2023 to Mar 28, 2024
- RAUM · $3.0B to $2.8BMar 30, 2023 to Mar 28, 2024
- Accounts · 14 to 18Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 14 to 13Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 13 to 17Mar 30, 2022 to Mar 30, 2023
- Employees · 14 to 13Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.1B to $3.0BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.8B to $1.5BMar 30, 2022 to Mar 30, 2023
- RAUM · $3.1B to $3.0BMar 30, 2022 to Mar 30, 2023
- Accounts · 12 to 14Jan 3, 2022 to Mar 30, 2022
- Advisory employees · 15 to 14Jan 3, 2022 to Mar 30, 2022
- Business name · C•• P•••••••• L•• to A•• A••••••••• L••Jan 3, 2022 to Mar 30, 2022
- Pooled vehicle clients · 11 to 13Jan 3, 2022 to Mar 30, 2022
- Employees · 15 to 14Jan 3, 2022 to Mar 30, 2022
- Legal name · C•• P•••••••• L•• to A•• A••••••••• L••Jan 3, 2022 to Mar 30, 2022
- Discretionary RAUM · $3.1B to $3.1BJan 3, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $2.1B to $1.8BJan 3, 2022 to Mar 30, 2022
- RAUM · $3.1B to $3.1BJan 3, 2022 to Mar 30, 2022
- Related broker-dealer · false to trueJan 3, 2022 to Mar 30, 2022
Signals
2 dated events
- A•• A••••••••• L•• reported RAUM $4.4B, up 27% from $3.5B (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Joseph William Fenrich (Chief Legal Officer) no longer on Schedule A of A•• A••••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
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
- 203-742-3600reportedpublic record, Form ADV, Mar 31, 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