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 Mar 18, 2026
First filing on the tape Mar 7, 2012 · 21 filings
SEC status approved since Feb 25, 2002
RAUM
$3.9B
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
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.9B as of Mar 18, 2026
Mar 7, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 7, 20120 then
Employees (5.A)12 as of Mar 18, 2026
Mar 6, 201318 then
Private funds1 as of Mar 18, 2014
Mar 7, 20121 then
RAUM +14% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $214MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 90%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
- +14%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 businesses and institutions, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$3.0B86%
- Insurance companies$478M14%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 16reported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.9 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• D•••••••• F••• L••no longer reported | Hedge Fund | $5.0M | 1 | Mar 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• L•••••• F•• · Chief Executive Officercontrolsince 08/2001 · owns 50% to 75%
- L••••• V•••••• A•••• · Managing Directorcontrolsince 12/2016 · owns less than 5%
- T•••••• D••••• A•••••• · Chief Operating Officer/Chief Compliance Officersince 01/2020 · owns less than 5%
Entity owners
- L••••• F• B•••• J•• T••••• D•••• J••• 2•• 2••• · Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list A•••••• A•••• M••••••••• L•• as a related person
- 124171 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 18Mar 12, 2025 to Mar 18, 2026
- Advisory employees · 12 to 11Mar 12, 2025 to Mar 18, 2026
- Pension plan clients · 14 to 16Mar 12, 2025 to Mar 18, 2026
- Employees · 13 to 12Mar 12, 2025 to Mar 18, 2026
- Discretionary RAUM · $3.4B to $3.9BMar 12, 2025 to Mar 18, 2026
- Pension RAUM · $2.6B to $3.0BMar 12, 2025 to Mar 18, 2026
- RAUM · $3.4B to $3.9BMar 12, 2025 to Mar 18, 2026
- Accounts · 19 to 17Aug 27, 2024 to Mar 12, 2025
- Advisory employees · 9 to 12Aug 27, 2024 to Mar 12, 2025
- Pension plan clients · 16 to 14Aug 27, 2024 to Mar 12, 2025
- Employees · 10 to 13Aug 27, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Aug 27, 2024 to Mar 12, 2025
- Discretionary RAUM · $4.1B to $3.4BAug 27, 2024 to Mar 12, 2025
- Pension RAUM · $3.4B to $2.6BAug 27, 2024 to Mar 12, 2025
- RAUM · $4.1B to $3.4BAug 27, 2024 to Mar 12, 2025
- Accounts · 17 to 19Mar 8, 2023 to Mar 20, 2024
- Advisory employees · 12 to 9Mar 8, 2023 to Mar 20, 2024
- Pension plan clients · 15 to 16Mar 8, 2023 to Mar 20, 2024
- Employees · 13 to 10Mar 8, 2023 to Mar 20, 2024
- Discretionary RAUM · $3.7B to $4.1BMar 8, 2023 to Mar 20, 2024
- Pension RAUM · $3.1B to $3.4BMar 8, 2023 to Mar 20, 2024
- RAUM · $3.7B to $4.1BMar 8, 2023 to Mar 20, 2024
- Accounts · 18 to 17Jun 22, 2022 to Mar 6, 2023
- Advisory employees · 11 to 12Jun 22, 2022 to Mar 6, 2023
- Pension plan clients · 16 to 15Jun 22, 2022 to Mar 6, 2023
- Employees · 12 to 13Jun 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $4.3B to $3.7BJun 22, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $159M to $0Jun 22, 2022 to Mar 6, 2023
- Pension RAUM · $3.7B to $3.1BJun 22, 2022 to Mar 6, 2023
- RAUM · $4.5B to $3.7BJun 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $4.3B to $4.3BMar 24, 2022 to Jun 22, 2022
- Pension RAUM · $3.7B to $3.7BMar 24, 2022 to Jun 22, 2022
- RAUM · $4.5B to $4.5BMar 24, 2022 to Jun 22, 2022
- Accounts · 10 to 18Mar 22, 2021 to Mar 24, 2022
- Pension plan clients · 8 to 16Mar 22, 2021 to Mar 24, 2022
- Employees · 13 to 12Mar 22, 2021 to Mar 24, 2022
- Other offices · 1 to 0Mar 22, 2021 to Mar 24, 2022
- Discretionary RAUM · $2.0B to $4.3BMar 22, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $124M to $159MMar 22, 2021 to Mar 24, 2022
- Pension RAUM · $1.5B to $3.7BMar 22, 2021 to Mar 24, 2022
Signals
5 dated events
- W•••••• B•••• (President) no longer on Schedule A of A•••••• A•••• M••••••••• L•• (listed 2023-03-08, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- James Patrick Silvestri (Chief Investment Officer) no longer on Schedule A of A•••••• A•••• M••••••••• L•• (listed 2022-06-22, absent 2023-03-06)Mar 6, 2023 · Control person left · inference
- A•••••• A•••• M••••••••• L•• reported RAUM $4.5B, up 108% from $2.2B (2021-03-22 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- Gilchrist Catherine Sweeney (Managing Director) no longer on Schedule A of A•••••• A•••• M••••••••• L•• (listed 2021-03-22, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- W•••••• B•••• (President) appeared on Schedule A of A•••••• A•••• M••••••••• L••Mar 22, 2021 · 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
- Website
- A••••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-422-9200reportedpublic record, Form ADV, Mar 18, 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