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••••••• L•••
Latest filing Mar 19, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Jan 3, 2005
RAUM
$3.0B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
0.2%
$5.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.0B as of Mar 19, 2026
Mar 30, 2012$646M then
HNW client RAUM$5.5M as of Mar 19, 2026
Mar 29, 2018$28.0M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 30, 20120 then
Employees (5.A)22 as of Mar 19, 2026
Mar 26, 201313 then
Private funds3 as of Mar 19, 2026
Mar 30, 20127 then
RAUM +0.7% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- 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
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $423MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 68%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
- +0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$2.0B68%
- Pooled investment vehicles$930M31%
- High-net-worth individuals$5.5M0.2%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.31 institutional_share=0.68 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• M••••• F•••• L••• | Hedge Fund | $586M | 24 | Mar 21, 2017 |
| B•••• M•••••••• S••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $224M | 3 | Jun 13, 2018 |
| B•••• P•••••• C•••••• L••• | Other Private Fund | $73.4M | 6 | Mar 24, 2022 |
| B•••• C•••••• M••••• F••• S•• L•• S••••••••• P•••••••• M••••no longer reported | Hedge Fund | $69.6M | 6 | Mar 24, 2020 |
| A•••• E•• A••••••••• I••••• F••• L•• | Other Private Fund | $46.3M | 2 | Mar 19, 2024 |
| A•••• T••••••• T•••••• • L•••no longer reported | Hedge Fund | $14.0M | 6 | Mar 30, 2012 |
| B•••• C•••••• M••••• F••• S•• L•• S••••••••• P•••••••• M••• | Hedge Fund | $10.1M | 3 | Mar 24, 2020 |
| A•••• T••••••• T•••••• F•••• L•••no longer reported | Hedge Fund | $7.9M | 5 | Mar 30, 2012 |
| R••••••••• • C••••••no longer reported | Other Private Fund | $5.5M | 8 | Mar 30, 2012 |
| A•••• O••••••• L••••••no longer reported | Other Private Fund | $804,338 | 80 | Mar 30, 2012 |
| A•••• P•••••••• L•••no longer reported | Other Private Fund | $772,241 | 139 | Mar 26, 2013 |
| A•••• I••••• P•••••••• L•••no longer reported | Other Private Fund | $479,479 | 5 | Mar 30, 2012 |
| A•••• C••••• S••••••••• L•••no longer reported | Other Private Fund | $0 | 0 | Mar 30, 2012 |
| A•••• C••••• S••••••••• F••• L•••no longer reported | Other Private Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• C•••• W•••••• · General Counselcontrolsince 01/2021 · owns less than 5%
- F••••••• C••••••••• M•••• · Chief Operating Officer And Chief Compliance Officercontrolsince 07/1995 · owns less than 5%
- S••••••• D•••••• A••• · President And Ceo, Investment Committee Membercontrolsince 01/2021 · owns less than 5%
Entity owners
- A•••• A••••••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- B•••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- D••••• F•••••••• G••••• I••• · Ownerdirect · owns 75% or more
- D••••• F•••••••• G••••• I••• · Ownerindirect · owns 75% or more of A•••• A••••••• C•••••• M••••••••• L••
- D••••• F•••••••• G••••• I••• · Ownerindirect · owns 75% or more of B•••• C•••••• M••••••••• L••
- T•••• M••••• • N•••••• F••• I•••••••• C•••••• · Ownerindirect · owns 75% or more of D••••• F•••••••• G••••• I•••
- T•••• M••••• H••••••• I•• · Ownerindirect · owns 75% or more of T•••• M••••• • N•••••• F••• I•••••••• C••••••
Related persons
Schedule D 7.A
- A•••• C••••••• L•investment advisernRAUM $18B
- A•••• A••••••• C•••••• M••••••••• L••pooled vehicle sponsory
- B•••• C•••••• M••••••••• L••pooled vehicle sponsorn
- D••••• F•••••••• G••••• I•••real estatey
- T•••• M••••• • N•••••• F••• I•••••••• C••••••real estatey
Advisers that list A•••• A••••••• C••••••• L••• as a related person
- 133077 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · 5 to 4Mar 10, 2025 to Mar 19, 2026
- Discretionary RAUM · $2.1B to $1.9BMar 10, 2025 to Mar 19, 2026
- HNW RAUM · $6.5M to $5.5MMar 10, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $882M to $1.1BMar 10, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $704M to $930MMar 10, 2025 to Mar 19, 2026
- RAUM · $2.9B to $3.0BMar 10, 2025 to Mar 19, 2026
- Accounts · 8 to 7Mar 19, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 10, 2025
- Discretionary RAUM · $1.6B to $2.1BMar 19, 2024 to Mar 10, 2025
- HNW RAUM · $7.3M to $6.5MMar 19, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $804M to $882MMar 19, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $705M to $704MMar 19, 2024 to Mar 10, 2025
- RAUM · $2.4B to $2.9BMar 19, 2024 to Mar 10, 2025
- Accounts · 9 to 8Mar 22, 2023 to Mar 19, 2024
- Advisory employees · 10 to 11Mar 22, 2023 to Mar 19, 2024
- Pooled vehicle clients · 6 to 5Mar 22, 2023 to Mar 19, 2024
- Custody of client assets · true to falseMar 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.6B to $1.6BMar 22, 2023 to Mar 19, 2024
- HNW RAUM · $6.3M to $7.3MMar 22, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $754M to $804MMar 22, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $627M to $705MMar 22, 2023 to Mar 19, 2024
- RAUM · $2.4B to $2.4BMar 22, 2023 to Mar 19, 2024
- Accounts · 10 to 9Mar 24, 2022 to Mar 22, 2023
- Advisory employees · 13 to 10Mar 24, 2022 to Mar 22, 2023
- Employees · 25 to 22Mar 24, 2022 to Mar 22, 2023
- Discretionary RAUM · $2.6B to $1.6BMar 24, 2022 to Mar 22, 2023
- HNW RAUM · $8.6M to $6.3MMar 24, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $720M to $754MMar 24, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $734M to $627MMar 24, 2022 to Mar 22, 2023
- RAUM · $3.3B to $2.4BMar 24, 2022 to Mar 22, 2023
- Advisory employees · 11 to 13Jul 21, 2021 to Mar 24, 2022
- Employees · 21 to 25Jul 21, 2021 to Mar 24, 2022
- Private funds · 2 to 3Jul 21, 2021 to Mar 24, 2022
- Discretionary RAUM · $2.6B to $2.6BJul 21, 2021 to Mar 24, 2022
- HNW RAUM · $6.3M to $8.6MJul 21, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $465M to $720MJul 21, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $525M to $734MJul 21, 2021 to Mar 24, 2022
- RAUM · $3.1B to $3.3BJul 21, 2021 to Mar 24, 2022
- Accounts · 12 to 10Jan 14, 2021 to Mar 25, 2021
- Advisory employees · 14 to 11Jan 14, 2021 to Mar 25, 2021
Signals
9 dated events
- A•••• A••••••• C••••••• L••• reported RAUM $2.4B, down 29% from $3.3B (2022-03-24 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- William Chad Coulter (General Counsel) appeared on Schedule A of A•••• A••••••• C••••••• L•••Mar 25, 2021 · Control person joined · fact
- Arthur Stephan Kiratsous (Partner Of Investment Advisor) no longer on Schedule A of A•••• A••••••• C••••••• L••• (listed 2020-06-18, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- Robert Rosenkranz (Chairman Of Investment Committee) no longer on Schedule A of A•••• A••••••• C••••••• L••• (listed 2020-06-18, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- Wayne Gary Sabot (Director - Risk Management) no longer on Schedule A of A•••• A••••••• C••••••• L••• (listed 2020-06-18, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- Ezra David Gerstenhaber (Chief Investment Officer) no longer on Schedule A of A•••• A••••••• C••••••• L••• (listed 2020-06-18, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- A•••• A••••••• C••••••• L••• reported RAUM $2.8B, up 128% from $1.2B (2019-03-19 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- Arthur Stephan Kiratsous (Partner Of Investment Advisor) appeared on Schedule A of A•••• A••••••• C••••••• L•••Mar 19, 2019 · Control person joined · fact
- A•••• A••••••• C••••••• L••• reported RAUM $1.2B, up 27% from $966.2M (2018-06-13 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
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
- 212-303-4344reportedpublic record, Form ADV, Mar 19, 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
- Other 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