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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Former SEC-registered adviser

A••••••• C•••••• P•••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 142580SEC 801-67426websiteIAPD
Legal name A••••••• C•••••• P•••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Jan 4, 2007
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.9B as of Mar 30, 2022
Mar 30, 2012$3.4B then
HNW client RAUM$0 as of Mar 28, 2024
Mar 29, 2018$747M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Jan 28, 20136 then
Employees (5.A)0 as of Mar 28, 2024
Jan 28, 201331 then
Private funds1 as of Mar 11, 2016
Mar 24, 20151 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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 feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    A••••••• A•••••• G••••• G••••• F••• L•no longer reportedHedge Fund$2.1M15Oct 31, 2014
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••••• A•••••• R•••••• · Chief Compliance Officercontrol
      since 12/2017 · owns less than 5%
    • J••••••• P••••• A•••••• · Ceocontrol
      since 05/2017 · owns less than 5%
    • J••••••• P••••• A•••••• · Shareholdercontrol
      since 12/2016 · owns 50% to 75% of A•• P••••••• L••
    Entity owners
    • A•• P••••••• L•• · 100% Class A Interests In A••••••• C•••••• P•••••••• L••
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list A••••••• C•••••• P••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 640.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • Advisory employees · 6 to 0
      Dec 2, 2022 to Mar 30, 2023
    • Advisory activities · 5 to 1
      Dec 2, 2022 to Mar 30, 2023
    • Charity clients · 10 to 0
      Dec 2, 2022 to Mar 30, 2023
    • Corporate clients · 16 to 0
      Dec 2, 2022 to Mar 30, 2023
    • HNW clients · 373 to 0
      Dec 2, 2022 to Mar 30, 2023
    • Individual clients · 239 to 0
      Dec 2, 2022 to Mar 30, 2023
    • Pension plan clients · unset to 0.0
      Dec 2, 2022 to Mar 30, 2023
    • Assets in custody · 645935431.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • Custody of client assets · true to false
      Dec 2, 2022 to Mar 30, 2023
    • Employees · 12 to 0
      Dec 2, 2022 to Mar 30, 2023
    • Financial planning clients · 51-100 to 0
      Dec 2, 2022 to Mar 30, 2023
    • State-registered IARs · 3 to 0
      Dec 2, 2022 to Mar 30, 2023
    • Discretionary RAUM · 1861132845.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • HNW RAUM · $1.4B to $0
      Dec 2, 2022 to Mar 30, 2023
    • Individual RAUM · $82.5M to $0
      Dec 2, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · 0.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • Pension RAUM · $6.1M to $0
      Dec 2, 2022 to Mar 30, 2023
    • Pooled vehicle RAUM · unset to 0.0
      Dec 2, 2022 to Mar 30, 2023
    • RAUM · 1861132845.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • Wrap assets (manager) · 162356935.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • Wrap assets (sponsor) · 0.0 to unset
      Dec 2, 2022 to Mar 30, 2023
    • Accounts · 615 to 640
      Mar 31, 2021 to Mar 30, 2022
    • Corporate clients · 19 to 16
      Mar 31, 2021 to Mar 30, 2022
    • HNW clients · 325 to 373
      Mar 31, 2021 to Mar 30, 2022
    • Individual clients · 260 to 239
      Mar 31, 2021 to Mar 30, 2022
    • Assets in custody · $621M to $646M
      Mar 31, 2021 to Mar 30, 2022
    • Employees · 11 to 12
      Mar 31, 2021 to Mar 30, 2022
    • State-registered IARs · 4 to 3
      Mar 31, 2021 to Mar 30, 2022
    • Discretionary RAUM · $1.5B to $1.9B
      Mar 31, 2021 to Mar 30, 2022
    • HNW RAUM · $1.1B to $1.4B
      Mar 31, 2021 to Mar 30, 2022
    • Individual RAUM · $85.5M to $82.5M
      Mar 31, 2021 to Mar 30, 2022
    • Pension RAUM · $3.4M to $6.1M
      Mar 31, 2021 to Mar 30, 2022
    • RAUM · $1.5B to $1.9B
      Mar 31, 2021 to Mar 30, 2022
    • Wrap assets (manager) · $137M to $162M
      Mar 31, 2021 to Mar 30, 2022
    • Accounts · 581 to 615
      Jul 28, 2020 to Mar 30, 2021
    • Advisory employees · 7 to 6
      Jul 28, 2020 to Mar 30, 2021
    • Charity clients · 8 to 10
      Jul 28, 2020 to Mar 30, 2021
    • Corporate clients · 20 to 19
      Jul 28, 2020 to Mar 30, 2021
    • HNW clients · 270 to 325
      Jul 28, 2020 to Mar 30, 2021
    Signals
    7 dated events
    • A••••••• C•••••• P••••••• no longer on the SEC adviser roster (last listed 2025-03-06)
      May 2, 2025 · Left the SEC roster · derived
    • L•••• D•••••• H••••• left A••••••• C•••••• P••••••• for C••••• P••••••• L•• (registered 2023-01-05)
      Jan 13, 2023 · Advisor changed firm · fact
    • A••••• R•••••• F••••••• left A••••••• C•••••• P••••••• for C••••• P••••••• L•• (registered 2025-01-01)
      Jan 13, 2023 · Advisor changed firm · fact
    • P•••• A•••••• J•••••• left A••••••• C•••••• P••••••• for C••••• P••••••• L•• (registered 2023-01-05)
      Jan 13, 2023 · Advisor changed firm · fact
    • A••••••• C•••••• P•••••••'s advisors moved to C••••• P••••••• L•• (San Francisco, CA): 3 of 3 registered, on the same day
      Jan 13, 2023 · Firm absorbed (people side) · derived
    • A••••••• C•••••• P••••••• reported RAUM $1.9B, up 25% from $1.5B (2021-03-31 to 2022-03-30)
      Mar 30, 2022 · RAUM change · derived
    • Stephen James Lauck (Chairman, Cio And Portfolio Manager) no longer on Schedule A of A••••••• C•••••• P••••••• (listed 2020-06-29, absent 2020-07-28)
      Jul 28, 2020 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered 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