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•••••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 121326SEC 801-63098website IAPD

Legal name A••••• U• L••

Latest filing Mar 30, 2026

First filing on the tape Mar 28, 2012 · 21 filings

SEC status approved since Apr 28, 2004

RAUM

$2.8B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

128

88 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$2.8B as of Mar 30, 2026

Mar 28, 2012$965M then

HNW client RAUM: no history

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

Mar 28, 20120 then

Employees (5.A)128 as of Mar 30, 2026

Mar 28, 201317 then

Private funds9 as of Mar 30, 2026

Mar 28, 20126 then

RAUM +54% over the last fiscal year+20% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $277MderivedRAUM 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: +54%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody: yesreportedItem 9.A
Ownership: controlled by a public reporting companyderived
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)
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)
controlled by a public reporting company (10.A)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.8B65%
Investment companies$976M35%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 10reported
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=false related_bank=false bd_reps=7.0derived

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

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

Fund	Type	Gross assets	Owners	First reported
A••••• N•••• A•••••• F••• I• L•	Private Equity Fund	$481M	55	Mar 27, 2017
A••••• A••••••• I••••••••• F••• V• L•	Private Equity Fund	$409M	14	Mar 30, 2022
A•• E•••• S•••••••• F••• I• L•no longer reported	Private Equity Fund	$397M	24	Mar 28, 2012
M••• A•••••••• C•••••••• L•	Private Equity Fund	$181M	1	Mar 30, 2021
A••••• I••••••••• T• C•••••••• L•	Private Equity Fund	$122M	1	Mar 29, 2019
L•••••• P•••••• I••••••••• P••• L•	Private Equity Fund	$109M	1	Mar 31, 2020
G••••• C•••••• C••••••••• L•	Private Equity Fund	$105M	1	Mar 29, 2023
A••••• A••••••• I••••••••• F••• I• L•	Private Equity Fund	$86.6M	2	Mar 29, 2019
A••••• A••••••• C••••••••• L•	Private Equity Fund	$54.4M	1	Mar 29, 2023
A•• V••••• F••••••••• L•	Private Equity Fund	$39.1M	13	Mar 30, 2021
E••••• S••••• P•••••• E••••• P••••••• I• L•no longer reported	Private Equity Fund	$37.7M	37	Mar 28, 2012
A••••••• S••••• P•••••• E••••• P••••••• I• L••no longer reported	Private Equity Fund	$29.6M	11	Mar 28, 2012
A•• S•••••••• F••• I•••• L•no longer reported	Private Equity Fund	$28.0M	5	Mar 28, 2012
A•• E•••• S•••••••• F••• I•••• L•no longer reported	Private Equity Fund	$13.9M	4	Mar 28, 2012
A••••• S•• D••• L••no longer reported	Private Equity Fund	$5.0M	1	Mar 30, 2022
A••••• N• F••• I• C••••••• 1• L•no longer reported	Private Equity Fund	$3.7M	2	Mar 29, 2018
E••••• S••••• P•••••• E••••• P••••••• •• I•• L•no longer reported	Private Equity Fund	$2.8M	5	Mar 28, 2012

Owners and control persons

Schedule A and B, latest filing

B•••• M•••••• · Executive Board Membercontrol
since 06/2020 · owns less than 5%
B••••••• T••••••• · Executive Board Membercontrol
since 06/2020 · owns less than 5%
B••••••••• M••• · Executive Board Membercontrol
since 11/2013 · owns less than 5%
C••••• V••••••• · Executive Board Membercontrol
since 07/2010 · owns less than 5%
F•••••••• V••••••• P••••••• · Executive Board Membercontrol
since 10/2017 · owns less than 5%
H•••••• E•••••• T••••• · Executive Board Member / Chief Compliance Officercontrol
since 03/2023 · owns less than 5%
L••••• A••••••• J••• · Executive Board Membercontrol
since 07/2010 · owns less than 5%
M•••• S••••••• A•••••• · Executive Board Membercontrol
since 06/2020 · owns less than 5%
M••••••• A••••• · Executive Board Membercontrol
since 02/2022 · owns less than 5%
F••••••••• M••••••• P•••••• · Head Of Global Compliance
since 12/2004 · owns less than 5%

Entity owners

A••••• · Sole Member Of L•••••• Liability Company
direct · owns 75% or more
A••••• H•••••• · Shareholder
indirect · owns 75% or more of A•••••

Related persons

Schedule D 7.A

A••••• A••••••• C••••••••• G• L••
pooled vehicle sponsorn
A••••• A••••••• I••••••••• I• G• L••
pooled vehicle sponsorn
A••••• A••••••• I••••••••• V• G• L••
pooled vehicle sponsorn
A••••• B•••••• C••••••••• L•••••• C••••••
investment advisern
A••••• C••••• I•••
investment advisern
A••••• C•••• S•••••
investment advisern
A••••• F•••••
investment advisern
A••••• G•••••• G•••
investment advisern
A••••• I••••••••• S•••••••• P•• L••
investment advisern
A••••• I••••••••• S••••••••• A•
investment advisern
A••••• I••••••••• U• L••••••
investment advisern
A••••• I•••• S••
investment advisern
A••••• J•••• C•• L••
investment advisern
A••••• J••••• L••••••
investment advisern
A••••• K••••
investment advisern
A••••• L••••••
investment advisern
A••••• L••••••••• S••••••
investment advisern
A••••• N•••• A•••••• F••• I• G• L••
pooled vehicle sponsorn
A••••• S•••• S•••••
investment advisern
A••••• T• C•••••••• G• L••
pooled vehicle sponsorn
A•• V••••• F• G• L••
pooled vehicle sponsorn
G••••• C•••••• C••••••••• G• L••
pooled vehicle sponsorn
H••• S••
investment advisern
L••• G• L••
pooled vehicle sponsorn
M••• A•••••••• G• L••
pooled vehicle sponsorn

Advisers that list A••••• as a related person

107437 n

Offices

Schedule D 1.F, the 25 largest

San Francisco, CA4 employees

What changed

consecutive filings, newest first

Accounts · 9 to 10
Mar 28, 2025 to Mar 30, 2026
Advisory employees · 78 to 88
Mar 28, 2025 to Mar 30, 2026
Advisory activities · 1 to 2
Mar 28, 2025 to Mar 30, 2026
BD registered reps · 0 to 7
Mar 28, 2025 to Mar 30, 2026
Employees · 123 to 128
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $1.8B to $2.8B
Mar 28, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $1.8B to $1.8B
Mar 28, 2025 to Mar 30, 2026
RAUM · $1.8B to $2.8B
Mar 28, 2025 to Mar 30, 2026
Advisory employees · 76 to 78
Mar 28, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $1.6B to $1.8B
Mar 28, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $1.6B to $1.8B
Mar 28, 2024 to Mar 28, 2025
RAUM · $1.6B to $1.8B
Mar 28, 2024 to Mar 28, 2025
Accounts · 10 to 9
Mar 29, 2023 to Mar 28, 2024
Advisory employees · 69 to 76
Mar 29, 2023 to Mar 28, 2024
Assets in custody · $953M to $0
Mar 29, 2023 to Mar 28, 2024
Employees · 111 to 123
Mar 29, 2023 to Mar 28, 2024
Discretionary RAUM · $1.5B to $1.6B
Mar 29, 2023 to Mar 28, 2024
Non-discretionary RAUM · $98.6M to $0
Mar 29, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $1.5B to $1.6B
Mar 29, 2023 to Mar 28, 2024
RAUM · $1.6B to $1.6B
Mar 29, 2023 to Mar 28, 2024
Accounts · 9 to 10
Mar 30, 2022 to Mar 29, 2023
Advisory employees · 51 to 69
Mar 30, 2022 to Mar 29, 2023
Pooled vehicle clients · 8 to 9
Mar 30, 2022 to Mar 29, 2023
Assets in custody · $712M to $953M
Mar 30, 2022 to Mar 29, 2023
Employees · 89 to 111
Mar 30, 2022 to Mar 29, 2023
Private funds · 8 to 9
Mar 30, 2022 to Mar 29, 2023
Discretionary RAUM · $1.5B to $1.5B
Mar 30, 2022 to Mar 29, 2023
Non-discretionary RAUM · $0 to $98.6M
Mar 30, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $1.2B to $1.5B
Mar 30, 2022 to Mar 29, 2023
RAUM · $1.5B to $1.6B
Mar 30, 2022 to Mar 29, 2023
Accounts · 8 to 9
Nov 3, 2021 to Mar 30, 2022
Pooled vehicle clients · 7 to 8
Nov 3, 2021 to Mar 30, 2022
Assets in custody · $6.3M to $712M
Nov 3, 2021 to Mar 30, 2022
Employees · 74 to 89
Nov 3, 2021 to Mar 30, 2022
Private funds · 7 to 8
Nov 3, 2021 to Mar 30, 2022
Discretionary RAUM · $880M to $1.5B
Nov 3, 2021 to Mar 30, 2022
Non-discretionary RAUM · $122M to $0
Nov 3, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $880M to $1.2B
Nov 3, 2021 to Mar 30, 2022
RAUM · $1.0B to $1.5B
Nov 3, 2021 to Mar 30, 2022

Signals

10 dated events

Ardian reported RAUM $2.8B, up 54% from $1.8B (2025-03-28 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
Thomas Edward Hickes (Executive Board Member / Chief Compliance Officer) appeared on Schedule A of Ardian
Mar 28, 2024 · Control person joined · fact
Alfred Miranda (Executive Board Member) appeared on Schedule A of Ardian
Mar 29, 2023 · Control person joined · fact
Ardian reported RAUM $1.5B, up 52% from $1.0B (2021-11-03 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
Ardian reported RAUM $1.0B, up 45% from $691.6M (2020-06-19 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
Antonio Stefano Mion (Executive Board Member) appeared on Schedule A of Ardian
Mar 30, 2021 · Control person joined · fact
Thibault Basquin (Executive Board Member) appeared on Schedule A of Ardian
Mar 30, 2021 · Control person joined · fact
M•••••• B••• (Executive Board Member) appeared on Schedule A of Ardian
Mar 30, 2021 · Control person joined · fact
Ardian reported RAUM $505.9M, down 32% from $746.6M (2018-03-29 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived
Ardian reported RAUM $746.6M, up 44% from $518.9M (2017-03-27 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

Ardian · Independent Sponsors
shared crd · capital_provider
Ardian · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: H••••://WWW.A•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 212-506-5610reportedpublic 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: 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