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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Former SEC-registered adviser

A•• I••••••••• G••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 127443SEC 801-113381IAPD
Latest filing Feb 17, 2021
First filing on the tape Oct 10, 2014 · 12 filings
RAUM
$24.4M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$23.9M gross assets
History
12 filings and snapshots on the tape
RAUM$24.4M as of Feb 17, 2021
May 14, 2019$19.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 17, 2021
May 14, 20191 then
Employees (5.A)5 as of Feb 17, 2021
May 14, 20198 then
Private funds4 as of Feb 17, 2021
May 14, 20194 then
RAUM +6.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 2021; every figure names its basis
RAUM per advisor
$24.4MderivedRAUM 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
$6.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$24.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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 departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• X• L•Private Equity Fund$22.1M80Oct 10, 2014
      A•• P••••••• F•••• L•Private Equity Fund$1.1M5Oct 10, 2014
      A•• H••••••••• T••••• L•Private Equity Fund$375,00011Oct 10, 2014
      A•• I•• L••Private Equity Fund$297,61435Oct 10, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• L•••••••• G••••••• · Managing Principalcontrol
        since 01/2000 · owns 75% or more
      • B••••• C••••• K•••• · Managing Directorcontrol
        since 12/2010 · owns less than 5%
      • S•••••• M••••••• J••••• · Chief Compliance Officercontrol
        since 12/2012 · owns less than 5%
      Entity owners
      • A•• M••••••••• L•• · Managing Member
        direct · owns less than 5%
      • N••••• H•••••••• L•• · Owner
        direct · owns 75% or more
      • I••••••••• I••••••• V•••••••• L•• · Majority Shareholder
        indirect · owns 50% to 75% of N••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      • A•• A••••••••• I••••••••• L••
        pooled vehicle sponsory
      • A•• M••••••••• L••
        pooled vehicle sponsory
      • A•• P••••••• G•• L••
        pooled vehicle sponsory
      • A•• P••••••• X• L••
        pooled vehicle sponsory
      • N•••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Feb 2, 2021 to Feb 17, 2021
      • Employees · 6 to 5
        Feb 2, 2021 to Feb 17, 2021
      • HQ city · GREENWICH to BETHESDA
        Feb 2, 2021 to Feb 17, 2021
      • HQ state · CT to MD
        Feb 2, 2021 to Feb 17, 2021
      • Discretionary RAUM · $22.9M to $24.4M
        Feb 2, 2021 to Feb 17, 2021
      • Pooled vehicle RAUM · $22.9M to $24.4M
        Feb 2, 2021 to Feb 17, 2021
      • RAUM · $22.9M to $24.4M
        Feb 2, 2021 to Feb 17, 2021
      • HQ city · RYE BROOK to GREENWICH
        Aug 31, 2020 to Sep 28, 2020
      • HQ state · NY to CT
        Aug 31, 2020 to Sep 28, 2020
      • BD registered reps · 7 to 4
        May 30, 2019 to Jun 8, 2020
      • Employees · 8 to 6
        May 30, 2019 to Jun 8, 2020
      • Discretionary RAUM · $19.6M to $22.9M
        May 30, 2019 to Jun 8, 2020
      • Pooled vehicle RAUM · $19.6M to $22.9M
        May 30, 2019 to Jun 8, 2020
      • RAUM · $19.6M to $22.9M
        May 30, 2019 to Jun 8, 2020
      • Wrap assets (manager) · 0.0 to unset
        May 30, 2019 to Jun 8, 2020
      • Wrap assets (sponsor) · 0.0 to unset
        May 30, 2019 to Jun 8, 2020
      • BD registered reps · 6 to 7
        May 16, 2018 to May 14, 2019
      • State-registered IARs · 0 to 1
        May 16, 2018 to May 14, 2019
      • Discretionary RAUM · $25.0M to $19.6M
        May 16, 2018 to May 14, 2019
      • Pooled vehicle RAUM · $25.0M to $19.6M
        May 16, 2018 to May 14, 2019
      • RAUM · $25.0M to $19.6M
        May 16, 2018 to May 14, 2019
      • Advisory activities · 1 to 3
        Oct 10, 2014 to May 4, 2018
      • BD registered reps · 8 to 6
        Oct 10, 2014 to May 4, 2018
      • Pooled vehicle clients · unset to 4.0
        Oct 10, 2014 to May 4, 2018
      • Employees · 12 to 8
        Oct 10, 2014 to May 4, 2018
      • State-registered IARs · 3 to 0
        Oct 10, 2014 to May 4, 2018
      • Other offices · unset to 0.0
        Oct 10, 2014 to May 4, 2018
      • Discretionary RAUM · $26.9M to $25.0M
        Oct 10, 2014 to May 4, 2018
      • Pooled vehicle RAUM · unset to 25000000.0
        Oct 10, 2014 to May 4, 2018
      • RAUM · $26.9M to $25.0M
        Oct 10, 2014 to May 4, 2018
      • Wrap assets (manager) · unset to 0.0
        Oct 10, 2014 to May 4, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Oct 10, 2014 to May 4, 2018
      Signals
      2 dated events
      • Keith Craig Blitz (Managing Director) appeared on Schedule A of A•• I••••••••• G••••• L••
        Aug 31, 2020 · Control person joined · fact
      • A•• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Oct 10, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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