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• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Jun 22, 2006
RAUM
$251M
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$251M as of Mar 31, 2026
Mar 30, 2012$575M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 2, 20131 then
Employees (5.A)8 as of Mar 31, 2026
Apr 2, 201311 then
Private funds4 as of Mar 31, 2026
Mar 30, 20127 then
RAUM -7.3% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $62.7MderivedRAUM 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
- -7.3%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $251M, 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)
- 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
- Pooled investment vehicles$251M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $251M for 4 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=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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• M••••• L• | Hedge Fund | $200M | 14 | Mar 30, 2012 |
| A••••••• G••••• R•••••••• L•• | Hedge Fund | $187M | 6 | Mar 30, 2012 |
| A•• P•••• L••no longer reported | Hedge Fund | $127M | 6 | Mar 30, 2012 |
| A•• P•••• O••••••• L••no longer reported | Hedge Fund | $125M | 5 | Mar 30, 2012 |
| A••••••• P•••• L•• | Hedge Fund | $82.0M | 6 | Mar 30, 2012 |
| A•• T•••••• •••• S••••••••no longer reported | Hedge Fund | $37.7M | 10 | Apr 2, 2013 |
| A• M••••• L•••no longer reported | Hedge Fund | $27.7M | 4 | Mar 31, 2015 |
| A• E•••••• L•• | Hedge Fund | $3.0M | 1 | Apr 2, 2013 |
| A•• T•••••• S••• O• B••••• O• S••••• H•••• S••••••••• P••••••••no longer reported | Hedge Fund | $1.7M | 1 | Apr 2, 2013 |
| A• S•••• L•no longer reported | Hedge Fund | $421,815 | 8 | Mar 30, 2012 |
| A••••••• S•••• L••no longer reported | Hedge Fund | $66,815 | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• P••••• R•••••• · Interim Presidentcontrolsince 11/2023 · owns less than 5%
- S••••••••• D•••••• W••••••••• · Member ((A••••••• C•••••• G•• L••; General Partner Of A•• M••••• L•)controlsince 11/2023 · owns 75% or more
- W•••• T•••••• · Chief Compliance Officer (Cco)controlsince 11/2023 · owns less than 5%
Entity owners
- E•••• I• L•• · Member (A••••••• C•••••• G•• L••; General Partner Of A•• M••••• L•)direct · owns 10% to 25%
Related persons
Schedule D 7.A
- A• E••••• P•••••••• L••bankpooled vehicle sponsory
- A• F•• L••bankpooled vehicle sponsory
- A••••••• C•••••• G•• L••bankpooled vehicle sponsorn
- A••••••• C•••••• L••bankpooled vehicle sponsory
- A••••••• H•••••••• L••bankpooled 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
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-02, yes on the filing of 2026-03-31peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 23 to 4Apr 2, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Apr 2, 2025 to Mar 31, 2026
- Assets in custody · unset to 250967301.0Apr 2, 2025 to Mar 31, 2026
- Custody of client assets · false to trueApr 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $271M to $251MApr 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $271M to $251MApr 2, 2025 to Mar 31, 2026
- RAUM · $271M to $251MApr 2, 2025 to Mar 31, 2026
- Employees · 10 to 8Mar 29, 2024 to Apr 2, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 2, 2025
- Discretionary RAUM · $282M to $271MMar 29, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $282M to $271MMar 29, 2024 to Apr 2, 2025
- RAUM · $282M to $271MMar 29, 2024 to Apr 2, 2025
- Accounts · 4 to 23Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $257M to $282MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $257M to $282MMar 31, 2023 to Mar 29, 2024
- RAUM · $257M to $282MMar 31, 2023 to Mar 29, 2024
- Accounts · 47 to 4Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Employees · 9 to 10Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $222M to $257MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $222M to $257MMar 30, 2022 to Mar 31, 2023
- RAUM · $222M to $257MMar 30, 2022 to Mar 31, 2023
- Employees · 8 to 9Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $182M to $222MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $182M to $222MMar 30, 2021 to Mar 30, 2022
- RAUM · $182M to $222MMar 30, 2021 to Mar 30, 2022
- Accounts · 71 to 47Jul 8, 2020 to Mar 30, 2021
- Advisory employees · 2 to 4Jul 8, 2020 to Mar 30, 2021
- Pooled vehicle clients · 5 to 4Jul 8, 2020 to Mar 30, 2021
- Employees · 3 to 8Jul 8, 2020 to Mar 30, 2021
- Discretionary RAUM · $156M to $182MJul 8, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $156M to $182MJul 8, 2020 to Mar 30, 2021
- RAUM · $156M to $182MJul 8, 2020 to Mar 30, 2021
- Accounts · 50 to 71Mar 31, 2020 to Jul 8, 2020
- Discretionary RAUM · $121M to $156MMar 31, 2020 to Jul 8, 2020
- Pooled vehicle RAUM · $121M to $156MMar 31, 2020 to Jul 8, 2020
- RAUM · $121M to $156MMar 31, 2020 to Jul 8, 2020
- Private funds · 5 to 4Mar 31, 2019 to Mar 31, 2020
- Accounts · 55 to 50Mar 31, 2019 to Mar 31, 2020
Signals
5 dated events
- W••••••••• D••••• S••••••••• (Member) appeared on Schedule A of A• I••••••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Philip Richard Chapman (Interim President) appeared on Schedule A of A• I••••••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Timothy Ward (Chief Compliance Officer (Cco)) appeared on Schedule A of A• I••••••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Aurel Ernest S••••••••• (Chief Compliance Officer/Chief Executive Officer/Managing Member) no longer on Schedule A of A• I••••••••• M••••••••• L•• (listed 2023-03-31, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- A• I••••••••• M••••••••• L•• reported RAUM $201.6M, down 73% from $736.1M (2018-03-30 to 2019-03-31)Mar 31, 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
- Firm profile
- LINKEDIN.COM/COMPANY/AC-E•••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.a••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 245-8200reportedpublic record, Form ADV, Mar 31, 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