DFX Intelligence

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SEC-registered adviser

A••••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)Arlington, VirginiaCRD 133613SEC 801-67122website IAPD

Latest filing Mar 26, 2026

First filing on the tape Mar 29, 2012 · 24 filings

SEC status approved since Aug 31, 2006

RAUM

$49.8M

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

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$49.8M as of Mar 26, 2026

Mar 29, 2012$531M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Mar 19, 20130 then

Employees (5.A)7 as of Mar 26, 2026

Mar 19, 201320 then

Private funds2 as of Mar 26, 2026

Mar 29, 20121 then

RAUM -66% over the last fiscal year-48% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $24.9MderivedRAUM 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: -66%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 vehiclesreportedItem 5.G
Custody: $49.8M, 2 clientsreportedItem 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$49.8M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 2reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $49.8M for 2 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=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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A•• E••••••• M•••••• M••••• F••• I• L•	Private Equity Fund	$167M	8	Mar 29, 2012
A•• S•••••••• I••••••••• P••••••• I•• L•••	Private Equity Fund	$84.4M	5	Apr 3, 2017
A•• S•••• D•••••••• L•	Other Private Fund	$39.5M	5	Mar 29, 2019
A•• T•••• H••••••• I• L•••	Other Private Fund	$18.5M	12	Apr 3, 2017
A•• A•••• H••••••• I• L•	Other Private Fund	$9.1M	1	Apr 3, 2017

Owners and control persons

Schedule A and B, latest filing

B••••• G••••••• B•••••• · Chief Executive Officer; Board Member; Class A Limited Partnercontrol
since 02/2005 · owns 25% to 50%
D••••• R••••••• M•••••• · Board Member And Representative Of Class D Limited Partnercontrol
since 10/2019 · owns less than 5%
J••••• T••••••• B•••• · Board Member, Chief Operating Officer, Class C Limited Partnercontrol
since 01/2024 · owns 25% to 50%
Y•••••••• J•••• K•••• · Chief Investment Officer; Board Member; Class A Limited Partnercontrol
since 02/2005 · owns 10% to 25%
O•••••••• N•••••• R•• · Board Member, G•••••• Counsel, Chief Compliance Officer And Class C Limited Partner
since 12/2007 · owns less than 5%

Related persons

Schedule D 7.A

A•• G•••••• P•••••• I•• L••
pooled vehicle sponsory
A••••••• S••••••••• L••
broker-dealery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count dropChange between filings · filing Mar 26, 2026
employees (Item 5.A) moved from 11.0 to 7.0 (-36.0%) between the annual amendments of 2025-03-21 and 2026-03-26; the peer median change was -4.0% (51 comparable advisers, 10.0th percentile of changes)
peers: asset managers, under $100M (51) · 10% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 17 to 2
Feb 23, 2026 to Mar 26, 2026
Charity clients · unset to 0.0
Feb 23, 2026 to Mar 26, 2026
Corporate clients · unset to 0.0
Feb 23, 2026 to Mar 26, 2026
HNW clients · unset to 0.0
Feb 23, 2026 to Mar 26, 2026
Individual clients · unset to 0.0
Feb 23, 2026 to Mar 26, 2026
Pension plan clients · unset to 0.0
Feb 23, 2026 to Mar 26, 2026
Pooled vehicle clients · 4 to 2
Feb 23, 2026 to Mar 26, 2026
Assets in custody · $73.0M to $49.8M
Feb 23, 2026 to Mar 26, 2026
Financial planning clients · to 0
Feb 23, 2026 to Mar 26, 2026
Discretionary RAUM · $73.0M to $49.8M
Feb 23, 2026 to Mar 26, 2026
Pooled vehicle RAUM · $73.0M to $49.8M
Feb 23, 2026 to Mar 26, 2026
RAUM · $73.0M to $49.8M
Feb 23, 2026 to Mar 26, 2026
Accounts · 11 to 17
Mar 21, 2025 to Dec 4, 2025
Advisory employees · 9 to 6
Mar 21, 2025 to Dec 4, 2025
BD registered reps · 2 to 0
Mar 21, 2025 to Dec 4, 2025
Pooled vehicle clients · 6 to 4
Mar 21, 2025 to Dec 4, 2025
Assets in custody · $130M to $73.0M
Mar 21, 2025 to Dec 4, 2025
Employees · 11 to 7
Mar 21, 2025 to Dec 4, 2025
Private funds · 4 to 2
Mar 21, 2025 to Dec 4, 2025
Discretionary RAUM · $148M to $73.0M
Mar 21, 2025 to Dec 4, 2025
Pooled vehicle RAUM · $148M to $73.0M
Mar 21, 2025 to Dec 4, 2025
RAUM · $148M to $73.0M
Mar 21, 2025 to Dec 4, 2025
Related broker-dealer · true to false
Mar 21, 2025 to Dec 4, 2025
Accounts · 6 to 11
Mar 30, 2024 to Mar 21, 2025
Advisory employees · 8 to 9
Mar 30, 2024 to Mar 21, 2025
Assets in custody · $238M to $130M
Mar 30, 2024 to Mar 21, 2025
Financial planning clients · unset to
Mar 30, 2024 to Mar 21, 2025
Discretionary RAUM · $238M to $148M
Mar 30, 2024 to Mar 21, 2025
Pooled vehicle RAUM · $238M to $148M
Mar 30, 2024 to Mar 21, 2025
RAUM · $238M to $148M
Mar 30, 2024 to Mar 21, 2025
Accounts · 7 to 6
Mar 29, 2023 to Mar 30, 2024
Advisory employees · 7 to 8
Mar 29, 2023 to Mar 30, 2024
Pooled vehicle clients · 7 to 6
Mar 29, 2023 to Mar 30, 2024
Assets in custody · $318M to $238M
Mar 29, 2023 to Mar 30, 2024
Employees · 10 to 11
Mar 29, 2023 to Mar 30, 2024
Other offices · 1 to 0
Mar 29, 2023 to Mar 30, 2024
Private funds · 5 to 4
Mar 29, 2023 to Mar 30, 2024
Discretionary RAUM · $346M to $238M
Mar 29, 2023 to Mar 30, 2024
Pooled vehicle RAUM · $346M to $238M
Mar 29, 2023 to Mar 30, 2024
RAUM · $346M to $238M
Mar 29, 2023 to Mar 30, 2024

Signals

8 dated events

Boyce Timothy Jones (Board Member, Chief Operating Officer, Class C Limited Partner) appeared on Schedule A of A••••••• C•••••• M••••••••• L•
Mar 30, 2024 · Control person joined · fact
A••••••• C•••••• M••••••••• L• reported RAUM $238.2M, down 31% from $346.2M (2023-03-29 to 2024-03-30)
Mar 30, 2024 · RAUM change · derived
K••••••• D••••• R•••••••• (Board Member And Indirect Class B Owner Through Asg Rollover Llc) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2022-10-04, absent 2023-01-09)
Jan 9, 2023 · Control person left · inference
Stephen Anthony Harrington (Board Member And Indirect Class B Owner Through Asg Rollover Llc) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2022-03-28, absent 2022-06-07)
Jun 7, 2022 · Control person left · inference
Korbel Madeleine Albright (Chair And Indirect Class B Owner Through Albright Stonebridge Group Llc) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2021-07-02, absent 2022-03-28)
Mar 28, 2022 · Control person left · inference
Coad James O'Brien (Board Member And Indirect Class B Owner Through Albright Stonebridge Group Llc) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2021-07-02, absent 2022-03-28)
Mar 28, 2022 · Control person left · inference
K••••••• D••••• R•••••••• (Board Member And Indirect Class B Owner Through Asg Rollover Llc) appeared on Schedule A of A••••••• C•••••• M••••••••• L•
Mar 28, 2022 · Control person joined · fact
Michael Richard Daley (Board Member And Representative Of Class D Limited Partner) appeared on Schedule A of A••••••• C•••••• M••••••••• L•
Mar 31, 2020 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

A••••••• C•••••• M••••••••• L• · Independent Sponsors
shared crd · capital_provider
A••••••• C•••••• M••••••••• L• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: A•••••••CAPITAL.COMreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: 202-370-3500reportedpublic record, Form ADV, Mar 26, 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