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•••••••• C•••••• G••••• L•••••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 49 filings
SEC status approved since Jan 27, 2006
RAUM
$3.7B
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
93
43 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$3.7B as of Mar 30, 2026
Mar 30, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)93 as of Mar 30, 2026
Apr 1, 2013115 then
Private funds7 as of Mar 30, 2026
Mar 30, 20128 then
RAUM -24% over the last fiscal year-48% 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
- $97.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%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
- -24%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.2B, 4 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)
- 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
- Pooled investment vehicles$3.6B96%
- State and municipal entities$155M4.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.04 related_bd=false related_bank=true 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
39 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• C•••••• M••••• O•••••••• L••• | Hedge Fund | $2.3B | 226 | Mar 30, 2012 |
| A•••••••• I••••••• O••••••••• M••••• V•• ••• L••• | Hedge Fund | $1.6B | 82 | Feb 3, 2020 |
| A•••••••• I••••••• O••••••••• M••••• V• ••• L••• | Hedge Fund | $1.1B | 84 | Sep 27, 2017 |
| A•••••••• I••••••• O••••••••• O••••••• M••••• V• L••• | Hedge Fund | $733M | 79 | Jan 4, 2016 |
| A•••••••• C•••••• C•• 4• L•••no longer reported | Securitized Asset Fund | $592M | 0 | Mar 31, 2014 |
| A•••••••• S•••• C••••• O••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $505M | 23 | Mar 30, 2012 |
| A•••••••• C•••••• C•• 3• L•••no longer reported | Securitized Asset Fund | $496M | 0 | Mar 31, 2014 |
| A•••••••• C•••••• C•• 5• L•••no longer reported | Securitized Asset Fund | $494M | 0 | Mar 31, 2015 |
| 6•• F•••••• C•• 3• L•••no longer reported | Securitized Asset Fund | $380M | 0 | Mar 31, 2021 |
| A•••••••• E••••• C••••• F•••••• 1• D••no longer reported | Securitized Asset Fund | $370M | 0 | Mar 29, 2019 |
| B••• H••••••• L•• | Hedge Fund | $283M | 7 | Nov 24, 2021 |
| A•••••••• S••••••••• C••••• M••••• F•••• L••• | Hedge Fund | $235M | 9 | Aug 29, 2019 |
| P•••••• I•• L•••••no longer reported | Hedge Fund | $220M | 2 | Nov 24, 2020 |
| A•••••••• O••••••••• M••••• M••••• F•••• L•••no longer reported | Hedge Fund | $210M | 2 | Aug 26, 2020 |
| A•• V• A••• L••• | Hedge Fund | $105M | 79 | Mar 31, 2017 |
| A•••••••• S•••• •••• L•••••no longer reported | Hedge Fund | $103M | 2 | May 28, 2020 |
| A•••••••• I••••••• O••••••••• O••••••• M•••••• L•••no longer reported | Hedge Fund | $37.2M | 24 | Mar 30, 2012 |
| A•• I•• A••• L•••no longer reported | Hedge Fund | $30.9M | 21 | Apr 1, 2013 |
| A•••••••• I••••••• O••••••••• O••••••• M••••• I•• L••• | Hedge Fund | $14.1M | 64 | Jan 3, 2014 |
| A•••••••• I••••••• O••••••••• O••••••• M••••• I••• L••• | Hedge Fund | $8.4M | 54 | Mar 30, 2012 |
| G•• M••••• F•••• L•••no longer reported | Hedge Fund | $5.0M | 4 | Mar 30, 2012 |
| A•• I• A•• T••••no longer reported | Hedge Fund | $1.8M | 30 | Mar 30, 2016 |
| A•• I• A••• L••• | Hedge Fund | $853,486 | 30 | Mar 31, 2015 |
| A•••••••• I••••••• O••••••••• O••••••• M••••• I•• L•••no longer reported | Hedge Fund | $499,693 | 16 | Mar 30, 2012 |
| A•••••••• C••••••••• F•••• L••• • S••••• A• | Hedge Fund | $488,123 | 36 | Aug 26, 2020 |
| A•• V• A•• T••••no longer reported | Hedge Fund | $139,021 | 36 | Mar 29, 2018 |
| A•••••••• I••••••• O••••••••• M••••• V• ••• L•••no longer reported | Hedge Fund | $0 | 0 | Sep 27, 2017 |
| G•• M••••• F••• I•• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| A•••••••• I••••••• O••••••••• M••••• V• ••• L•••no longer reported | Hedge Fund | $0 | 0 | Sep 27, 2017 |
| A•••••••• I••••••• O••••••••• M••••• V• ••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 29, 2018 |
| A•••••••• I••••••• O••••••••• M••••• V• ••• L•••no longer reported | Hedge Fund | $0 | 0 | Sep 27, 2017 |
| A•••••••• L••••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2017 |
| C••••• A••••••••• F•••• L••no longer reported | Hedge Fund | $0 | 0 | May 26, 2022 |
| A•• V••• G•• D•• L••• | Hedge Fund | $0 | 0 | Aug 25, 2023 |
| A•••••••• C•••••• C•• 2•• L•••no longer reported | Securitized Asset Fund | $0 | 0 | Mar 31, 2022 |
| A•••••••• C•••••• C•• 2•• L•••no longer reported | Securitized Asset Fund | $0 | 0 | Mar 31, 2022 |
| A•••••••• M•• S••••••••• C••••• M•••••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 26, 2013 |
| Z•••• L••••••••• F•••• L•••no longer reported | Securitized Asset Fund | $0 | 0 | Apr 1, 2013 |
| A•••••••• C•••••• E••••• C•• 4• D••no longer reported | Securitized Asset Fund | $0 | 0 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• A•••••• J••• · Chief Financial Officercontrolsince 02/2022 · owns less than 5%
- B••••• Y•••• J•••• · Co-Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- B••••••• N••••••• A•• · Presidentcontrolsince 02/2007 · owns less than 5%
- D•••••••• R•••••• O• · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- F••••••••• D•••••• E•••••• · General Counselcontrolsince 03/2022 · owns less than 5%
- G••••••• T•••••••• M•••••• · Co-Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- U•••••• K••••• M•••••• · Chairmancontrolsince 07/2003 · owns less than 5%
- Y••••• D••••• T• · Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- H•••• C••••• A•••• · Senior Managing Membercontrolsince 02/1997 · owns 25% to 50% of R•••• L••
- S••••• D•••••• H••••••• · Senior Managing Membercontrolsince 02/1997 · owns 25% to 50% of R•••• L••
- U•••••• K••••• M•••••• · Managing Membercontrolsince 07/2003 · owns 75% or more of A•••••••• A••••••• M••••••••• L•••••
Entity owners
- A•••••••• A••••••• M••••••••• L••••• · Managing Memberdirect · owns 75% or more
- R•••• L•• · Managing Memberindirect · owns 50% to 75% of R•••••••• C•••••• G••••• L••
- R•• G•• L•• · General Partnerindirect · owns F of R•••••••• C•••••• P•••••••• L•
- R•••••••• C•••••• G••••• L•• · General Partnerindirect · owns F of R•••••••• Pca Fund (C•••••), LP
- R•••••••• C•••••• P••••••• •••••••• L• · Limited Partnerindirect · owns 75% or more of R•••••••• C•••••• P•••••••• L•
- R•••••••• C•••••• P••••••• •••••••• L• · Memberindirect · owns 75% or more of R•• G•• L••
- R•••••••• C•••••• P•••••••• L• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- A••• M•••••• L•••pooled vehicle sponsory
- A•••••••• A•••••• H••••••• G•• L•••••pooled vehicle sponsory
- A•••••••• C•••••• A••••••• E••••• L••investment advisery
- A•••••••• C•••••• A•••••••• L•••investment adviseryRAUM $28B
- A•••••••• C••••••• L•••••pooled vehicle sponsory
- A•••••••• C•• E••• L•••••investment advisery
- A•••••••• C••••••••• G•• L•••••pooled vehicle sponsory
- A•••••••• C••••••••• M••••••••• L•••••investment advisery
- A•••••••• C••••• A••••••• L•••••investment advisery
- A•••••••• C••••• O••••••••• F••• G•• L••pooled vehicle sponsory
- A•••••••• G• H••••••• G•• L•••••pooled vehicle sponsory
- A•••••••• G• H•••••••• L•••pooled vehicle sponsory
- A•••••••• H••••••• G• L••pooled vehicle sponsory
- A•••••••• I• G• I••• L•••••pooled vehicle sponsory
- A•••••••• I• G• I•• L•••••pooled vehicle sponsory
- A•••••••• I• G• V• L•••••pooled vehicle sponsory
- A•••••••• I• G• V•• L•••••pooled vehicle sponsory
- A•••••••• I• G• V••• L•••••pooled vehicle sponsory
- A•••••••• L•••• G•• L•••••pooled vehicle sponsory
- A•••••••• M••••••••• C••••• F••• G•• L••pooled vehicle sponsory
- A•••••••• O••••••••• A••••••• L•••••investment advisery
- A•••••••• S•••• G•• L•••••pooled vehicle sponsory
- A•••••••• S•••• I• G•• L•••••pooled vehicle sponsory
- A•••••••• S••••••••• A••••••• L•••••investment advisery
- A•••••••• S••••••••• C•••••••• A••••••• L•••investment advisery
- A•••••••• S••••••••• C••••• G• I•• L•••••pooled vehicle sponsory
- A•••••••• S••••••••• C••••• G•• L•••••pooled vehicle sponsory
- A•••••••• S••••••••• E••••• T••••••••• F••• G•• L••••pooled vehicle sponsory
Advisers that list A•••••••• C•••••• G••••• L••••• as a related person
- 328998 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 48 to 38Feb 5, 2026 to Mar 30, 2026
- Advisory employees · 48 to 43Feb 5, 2026 to Mar 30, 2026
- Pooled vehicle clients · 47 to 37Feb 5, 2026 to Mar 30, 2026
- Assets in custody · $1.5B to $1.2BFeb 5, 2026 to Mar 30, 2026
- Employees · 105 to 93Feb 5, 2026 to Mar 30, 2026
- Discretionary RAUM · $4.9B to $3.7BFeb 5, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $4.7B to $3.6BFeb 5, 2026 to Mar 30, 2026
- RAUM · $4.9B to $3.7BFeb 5, 2026 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 6, 2025
- Private funds · 9 to 7Mar 31, 2025 to May 6, 2025
- Advisory employees · 44 to 48May 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 48 to 47May 30, 2024 to Mar 31, 2025
- Assets in custody · $2.3B to $1.5BMay 30, 2024 to Mar 31, 2025
- Employees · 100 to 105May 30, 2024 to Mar 31, 2025
- Private funds · 10 to 9May 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.3B to $4.9BMay 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.3B to $4.7BMay 30, 2024 to Mar 31, 2025
- RAUM · $6.3B to $4.9BMay 30, 2024 to Mar 31, 2025
- Advisory employees · 45 to 44Jan 12, 2024 to Mar 29, 2024
- Assets in custody · $2.2B to $2.3BJan 12, 2024 to Mar 29, 2024
- Employees · 101 to 100Jan 12, 2024 to Mar 29, 2024
- Discretionary RAUM · $6.3B to $6.3BJan 12, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $6.3B to $6.3BJan 12, 2024 to Mar 29, 2024
- RAUM · $6.3B to $6.3BJan 12, 2024 to Mar 29, 2024
- Accounts · 117 to 48Nov 29, 2023 to Jan 12, 2024
- Advisory employees · 37 to 45Nov 29, 2023 to Jan 12, 2024
- Pooled vehicle clients · 115 to 48Nov 29, 2023 to Jan 12, 2024
- Assets in custody · $2.8B to $2.2BNov 29, 2023 to Jan 12, 2024
- Employees · 89 to 101Nov 29, 2023 to Jan 12, 2024
- Private funds · 72 to 10Nov 29, 2023 to Jan 12, 2024
- Discretionary RAUM · $26B to $6.3BNov 29, 2023 to Jan 12, 2024
- Pooled vehicle RAUM · $26B to $6.3BNov 29, 2023 to Jan 12, 2024
- RAUM · $26B to $6.3BNov 29, 2023 to Jan 12, 2024
- Related adviser · false to trueNov 29, 2023 to Jan 12, 2024
- Private funds · 71 to 72Oct 26, 2023 to Nov 29, 2023
- Private funds · 69 to 71Aug 25, 2023 to Aug 29, 2023
- Private funds · 68 to 69Mar 31, 2023 to Aug 25, 2023
- Accounts · 97 to 117Nov 28, 2022 to Mar 31, 2023
- Advisory employees · 46 to 37Nov 28, 2022 to Mar 31, 2023
- Pooled vehicle clients · 96 to 115Nov 28, 2022 to Mar 31, 2023
Signals
9 dated events
- A•••••••• C•••••• G••••• L••••• reported RAUM $6.3B, down 76% from $26.0B (2023-11-29 to 2024-01-12)Jan 12, 2024 · RAUM change · derived
- Eugenio Daniel Fernandez (General Counsel) appeared on Schedule A of A•••••••• C•••••• G••••• L•••••Mar 31, 2022 · Control person joined · fact
- Alexander Jason Cohen (General Counsel) no longer on Schedule A of A•••••••• C•••••• G••••• L••••• (listed 2022-02-04, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- O. Robert Dunleavy (Chief Operating Officer) appeared on Schedule A of A•••••••• C•••••• G••••• L•••••Feb 4, 2022 · Control person joined · fact
- Mathieu Thibault Gournay (Co-Chief Investment Officer) appeared on Schedule A of A•••••••• C•••••• G••••• L•••••Feb 4, 2022 · Control person joined · fact
- John Andrew Akerman (Chief Financial Officer) appeared on Schedule A of A•••••••• C•••••• G••••• L•••••Feb 4, 2022 · Control person joined · fact
- Eric Rosenberg (Chief Financial Officer) no longer on Schedule A of A•••••••• C•••••• G••••• L••••• (listed 2021-11-24, absent 2022-02-04)Feb 4, 2022 · Control person left · inference
- Jacob Yale Baron (Co-Chief Investment Officer) appeared on Schedule A of A•••••••• C•••••• G••••• L•••••Feb 4, 2022 · Control person joined · fact
- Martin Daniel Allen (President And Senior Portfolio Manager) no longer on Schedule A of A•••••••• C•••••• G••••• L••••• (listed 2019-11-19, absent 2020-02-03)Feb 3, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A•••••••• C•••••• G••••• L••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-432-4600reportedpublic 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