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••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 10, 2012 · 23 filings
SEC status approved since Mar 28, 2012
RAUM
$9.3B
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
37
37 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
19
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$9.3B as of Mar 31, 2026
Mar 28, 2013$634M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)37 as of Mar 31, 2026
Mar 28, 20139 then
Private funds19 as of Mar 31, 2026
Mar 28, 20133 then
RAUM -3.7% over the last fiscal year+25% a year over threeIARs 0 to 0offices 0 to 1
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
- $492MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.7%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
- $9.3B, 19 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.3B for 19 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
Private funds
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• H••••• P••••••• V•• L••• | Private Equity Fund | $2.7B | 64 | Mar 29, 2024 |
| A•••••• H••••• P••••••• V• L••• | Private Equity Fund | $1.9B | 56 | Mar 31, 2021 |
| A•••••• H••••• P••••••• I•• L••• | Private Equity Fund | $1.2B | 86 | Mar 29, 2018 |
| A•••••• H••••• P••••••• V••• L••• | Private Equity Fund | $897M | 46 | Mar 31, 2021 |
| A•••••• H••••• P••••••• V•••• L••• | Private Equity Fund | $814M | 45 | Mar 29, 2024 |
| A•••••• H••••• P••••••• I••• L••• | Private Equity Fund | $760M | 68 | Mar 31, 2014 |
| A•••••• C••••••••• P••••••• I•• L••• | Private Equity Fund | $376M | 71 | Mar 29, 2018 |
| A•••••• C••••••••• P•••••••• L••• | Private Equity Fund | $261M | 28 | Apr 1, 2017 |
| A••••• L••• | Private Equity Fund | $80.5M | 2 | Mar 29, 2024 |
| A•••••• V•••••• L••• | Private Equity Fund | $64.4M | 2 | Mar 31, 2022 |
| A••••• L••• | Private Equity Fund | $50.5M | 2 | Mar 29, 2024 |
| A•••••• V•••••• L••• | Private Equity Fund | $43.9M | 2 | Mar 31, 2022 |
| A•••••• P•••••• C••••••••• L••• | Private Equity Fund | $43.1M | 5 | Mar 31, 2022 |
| A•••••• V••••••• L••• | Private Equity Fund | $40.5M | 2 | Mar 29, 2024 |
| A•••••• V• T••••••••• L•• | Private Equity Fund | $40.5M | 2 | Mar 29, 2024 |
| A•••••• H••••• P••••••• I•• L••• | Private Equity Fund | $30.7M | 41 | Feb 10, 2012 |
| A•••••• V•••••• L••• | Private Equity Fund | $27.7M | 2 | Mar 31, 2022 |
| A•••••• H••••• P•••••••• L•••no longer reported | Private Equity Fund | $23.3M | 46 | Feb 10, 2012 |
| A•••••• P•••••• C••••••••• L••• | Private Equity Fund | $14.7M | 2 | Mar 31, 2022 |
| A•• C••••••••• L•••no longer reported | Private Equity Fund | $768,755 | 6 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••• T••••••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- A••••••••• G•••••• E••••• · Limited Partnercontrolsince 05/2007 · owns 50% to 75% of T•••• P•••••••• L•••
- A••••••••• G•••••• E••••• · Membercontrolsince 05/2007 · owns 50% to 75% of A•••••• P•••••••• L••
- T••••• D•••••• G•••• · Membercontrolsince 05/2007 · owns 50% to 75% of A•••••• P•••••••• L••
- T••••• D•••••• G•••• · Limited Partnercontrolsince 05/2007 · owns 50% to 75% of T•••• P•••••••• L•••
Entity owners
- T•••• P•••••••• L••• · Managing Memberdirect · owns 75% or more
- A•••••• P•••••••• L•• · General Partnerindirect · owns F of T•••• P•••••••• L•••
Related persons
Schedule D 7.A
- A•• C••••••••• G•• L•••pooled vehicle sponsorn
- A•• C••••••••• I• G•• L•••pooled vehicle sponsorn
- A•• I• G•• L•••pooled vehicle sponsorn
- A•• I•• G•• L•••pooled vehicle sponsorn
- A•• I• G•• L•••pooled vehicle sponsorn
- A•• I• M••••••• L•••pooled vehicle sponsorn
- A•• V• G•• L•••pooled vehicle sponsorn
- A•• V• M••••••• L•••pooled vehicle sponsorn
- A•• V• G•• L•••pooled vehicle sponsorn
- A•• V• M••••••• L•••pooled vehicle sponsorn
- A•••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 35 to 37Dec 5, 2025 to Mar 31, 2026
- Assets in custody · $9.7B to $9.3BDec 5, 2025 to Mar 31, 2026
- Employees · 35 to 37Dec 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.7B to $9.3BDec 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $9.7B to $9.3BDec 5, 2025 to Mar 31, 2026
- RAUM · $9.7B to $9.3BDec 5, 2025 to Mar 31, 2026
- Other offices · 0 to 1Mar 31, 2025 to Dec 5, 2025
- Accounts · 18 to 19Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 32 to 35Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 18 to 19Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $9.4B to $9.7BMar 29, 2024 to Mar 31, 2025
- Employees · 32 to 35Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 18 to 19Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.4B to $9.7BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.4B to $9.7BMar 29, 2024 to Mar 31, 2025
- RAUM · $9.4B to $9.7BMar 29, 2024 to Mar 31, 2025
- Accounts · 12 to 18Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 27 to 32Mar 31, 2023 to Mar 29, 2024
- Business name · A•••••• C•••••• P•••••••• L•• to A••••••• L••Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 12 to 18Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $4.8B to $9.4BMar 31, 2023 to Mar 29, 2024
- Employees · 27 to 32Mar 31, 2023 to Mar 29, 2024
- Legal name · A•••••• C•••••• P•••••••• L•• to A••••••• L••Mar 31, 2023 to Mar 29, 2024
- Private funds · 12 to 18Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.8B to $9.4BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.8B to $9.4BMar 31, 2023 to Mar 29, 2024
- RAUM · $4.8B to $9.4BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 21 to 27Nov 7, 2022 to Mar 31, 2023
- Assets in custody · $5.0B to $4.8BNov 7, 2022 to Mar 31, 2023
- Employees · 21 to 27Nov 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.0B to $4.8BNov 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.0B to $4.8BNov 7, 2022 to Mar 31, 2023
- RAUM · $5.0B to $4.8BNov 7, 2022 to Mar 31, 2023
- Accounts · 7 to 12Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 19 to 21Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 7 to 12Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $5.2B to $5.0BMar 31, 2021 to Mar 31, 2022
- Employees · 19 to 21Mar 31, 2021 to Mar 31, 2022
- Private funds · 7 to 12Mar 31, 2021 to Mar 31, 2022
Signals
3 dated events
- A••••••• L•• reported RAUM $9.4B, up 98% from $4.8B (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- A••••••• L•• reported RAUM $5.2B, up 95% from $2.7B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A••••••• L•• reported RAUM $2.4B, up 121% from $1.1B (2017-06-29 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/A••••••-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-931-0250reportedpublic 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