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••••••• P•••••••• M••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Jan 23, 2006
RAUM
$2.7B
reported, Item 5.F
Discretionary
1.3%
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.7B as of Mar 31, 2026
Mar 29, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 12, 20130 then
Employees (5.A)18 as of Mar 31, 2026
Mar 12, 201311 then
Private funds1 as of Mar 31, 2026
Mar 29, 20124 then
RAUM +24% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 17, 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
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $337MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.3%derivedof RAUM
- Institutional
- 99%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $34.6M, 1 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$1.3B50%
- Pension and profit-sharing plans$1.3B47%
- Insurance companies$34.8M1.3%
- Pooled investment vehicles$34.6M1.3%
- Other investment advisers$100,0900.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 8reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.6M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.01 institutional_share=0.99 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• T••••••• E••••••• L•• | Hedge Fund | $96.8M | 1 | Mar 29, 2023 |
| R••••• S••no longer reported | Hedge Fund | $42.9M | 1 | Mar 27, 2015 |
| P•••••••• E••••••••• F•••• S••no longer reported | Hedge Fund | $10.6M | 1 | Mar 29, 2012 |
| A••••••••• P•••••••• H••••••• L•••no longer reported | Hedge Fund | $7.5M | 2 | Mar 29, 2012 |
| A•• K•••• I•••• M••••• F•••• L•no longer reported | Hedge Fund | $1.2M | 1 | May 14, 2020 |
| D••••••••• S••••• A•••• F•••• L•••no longer reported | Hedge Fund | $93,776 | 2 | Mar 29, 2012 |
| P•••••• O•••••• F•••• L•••no longer reported | Hedge Fund | $91,556 | 1 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••••••• S•••• · Principalcontrolsince 07/2020 · owns less than 5%
- J••••• F•• · Director Of Investment Researchcontrolsince 10/2018 · owns less than 5%
- K••••• R••••• N•• · Principalcontrolsince 06/2018 · owns less than 5%
- K••••••• R•••••• E••••• · Ceo, Managing Member And Chief Compliance Officercontrolsince 07/2004 · owns 75% or more
Related persons
Schedule D 7.A
- A•• I•••• G•• L••pooled vehicle sponsorn
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 surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 11.0 to 18.0 (+64.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (55 comparable advisers, 100.0th percentile of changes)peers: institutional managers, $1B to $5B (55) · 100% percentile
What changed
consecutive filings, newest first
- Advisory employees · 11 to 6Mar 31, 2026 to Sep 17, 2026
- Assets in custody · $2.7B to $34.6MMar 31, 2026 to Sep 17, 2026
- Employees · 18 to 12Mar 31, 2026 to Sep 17, 2026
- Financial planning clients · to unsetMar 31, 2026 to Sep 17, 2026
- Private funds · 1 to unsetMar 31, 2026 to Sep 17, 2026
- Discretionary RAUM · $26.1M to $34.7MMar 31, 2026 to Sep 17, 2026
- Non-discretionary RAUM · $2.7B to $2.7BMar 31, 2026 to Sep 17, 2026
- Succession · false to unsetMar 31, 2026 to Sep 17, 2026
- Accounts · 6 to 8Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 4 to 11Mar 31, 2025 to Mar 31, 2026
- Charity clients · unset to 2.0Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · unset to 3.0Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.2B to $2.7BMar 31, 2025 to Mar 31, 2026
- Employees · 11 to 18Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $105M to $26.1MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.1B to $2.7BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $864M to $1.3BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $74.0M to $34.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $2.2B to $2.7BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 8 to 4Jul 24, 2024 to Mar 31, 2025
- Assets in custody · $144M to $2.2BJul 24, 2024 to Mar 31, 2025
- Employees · 10 to 11Jul 24, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $144M to $105MJul 24, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.0B to $2.1BJul 24, 2024 to Mar 31, 2025
- Pension RAUM · $803M to $864MJul 24, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $96.8M to $74.0MJul 24, 2024 to Mar 31, 2025
- RAUM · $2.1B to $2.2BJul 24, 2024 to Mar 31, 2025
- Advisory activities · 4 to 3Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $78.1M to $144MMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $120M to $144MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.8B to $2.0BMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $662M to $803MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $78.1M to $96.8MMar 29, 2023 to Mar 28, 2024
- RAUM · $1.9B to $2.1BMar 29, 2023 to Mar 28, 2024
- Accounts · 9 to 6Mar 31, 2022 to Mar 29, 2023
- Advisory employees · 10 to 8Mar 31, 2022 to Mar 29, 2023
- Pooled vehicle clients · 2 to 1Mar 31, 2022 to Mar 29, 2023
- Assets in custody · $185,322 to $78.1MMar 31, 2022 to Mar 29, 2023
- Employees · 11 to 10Mar 31, 2022 to Mar 29, 2023
Signals
8 dated events
- A••••••• P•••••••• M••••••••• L•• reported RAUM $1.9B, down 27% from $2.6B (2022-03-31 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- A••••••• P•••••••• M••••••••• L•• reported RAUM $2.6B, up 96% from $1.3B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Nmn Adri Guha (Chief Investment Officer) no longer on Schedule A of A••••••• P•••••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Fan Jiang (Director Of Investment Research) appeared on Schedule A of A••••••• P•••••••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- Scott Matthew Hansen (Principal) appeared on Schedule A of A••••••• P•••••••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- A••••••• P•••••••• M••••••••• L•• reported RAUM $1.2B, down 70% from $4.0B (2019-04-26 to 2020-05-14)May 14, 2020 · RAUM change · derived
- George Steven Delaney (General Counsel) no longer on Schedule A of A••••••• P•••••••• M••••••••• L•• (listed 2019-04-26, absent 2020-05-14)May 14, 2020 · Control person left · inference
- Rahul Kakar (Principal) appeared on Schedule A of A••••••• P•••••••• M••••••••• L••Apr 2, 2019 · Control person joined · fact
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
- Website
- w••.a•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-838-4700reportedpublic record, Form ADV, Sep 17, 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
- Institutional managerderiveda 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