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•••• A•••••••• L••
Latest filing Jun 30, 2020
First filing on the tape Apr 2, 2012 · 26 filings
RAUM
$8.8M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
74%
$6.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$8.8M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$35,300 gross assets
History
26 filings and snapshots on the tape
RAUM$8.8M as of Feb 11, 2020
Apr 2, 2012$30.0M then
HNW client RAUM$4.1M as of Feb 11, 2020
Mar 27, 2018$6.8M then
State-registered IARs (5.B.3)1 as of Feb 11, 2020
Apr 2, 20130 then
Employees (5.A)2 as of Feb 11, 2020
Apr 2, 201312 then
Private funds2 as of Feb 11, 2020
Apr 2, 20122 then
RAUM +18% over the last fiscal year-31% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
- RAUM per advisor
- $8.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $171,502derivedHNW RAUM over HNW clients
- Average account
- $236,674derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.1M47%
- Individuals$2.3M27%
- Pooled investment vehicles$2.3M26%
- Individual clients
- 13reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 37reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• G••••• B•••••• | Morgan, Vt | Feb 26, 2026 | 24 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R•••••• D•••• S••••• to W•••• F•••• I••••••••• L••Mar 5, 2009 · Other
Joined, latest
- R•••••• D•••• S••••• from G•• A•••••••Sep 24, 2007 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• P••••••• L••no longer reported | Private Equity Fund | $475,000 | 10 | May 31, 2016 |
| A•••• C•••••• E••••• P•••••••• L• | Other Private Fund | $35,000 | 1 | Mar 18, 2014 |
| A•••• T•• R••••••••• F••• L• | Other Private Fund | $300 | 3 | Apr 2, 2012 |
| C•• A•••• P••••••• M••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• G••••• · Managing Director , Chief Operating Officer And Chief Compliance Officercontrolsince 07/2007 · owns 75% or more
Related persons
Schedule D 7.A
- A•••• C••••••••• M••••••••• L••pooled vehicle sponsorn
- M••••• A••••••••• L••pooled vehicle sponsory
Advisers that list A•••• A•••••••• L•• as a related person
- 168923 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 47 to 37Nov 18, 2019 to Feb 11, 2020
- HNW clients · 11 to 24Nov 18, 2019 to Feb 11, 2020
- Individual clients · 30 to 13Nov 18, 2019 to Feb 11, 2020
- Pooled vehicle clients · 3 to 5Nov 18, 2019 to Feb 11, 2020
- Other offices · 1 to 0Nov 18, 2019 to Feb 11, 2020
- Discretionary RAUM · $6.1M to $6.9MNov 18, 2019 to Feb 11, 2020
- HNW RAUM · $5.3M to $4.1MNov 18, 2019 to Feb 11, 2020
- Individual RAUM · $810,143 to $2.3MNov 18, 2019 to Feb 11, 2020
- Non-discretionary RAUM · $1.3M to $1.9MNov 18, 2019 to Feb 11, 2020
- Pooled vehicle RAUM · $1.3M to $2.3MNov 18, 2019 to Feb 11, 2020
- RAUM · $7.4M to $8.8MNov 18, 2019 to Feb 11, 2020
- Employees · 7 to 2Aug 19, 2019 to Oct 31, 2019
- Financial planning clients · 0 to 1-10Aug 19, 2019 to Oct 31, 2019
- Advisory activities · 4 to 3Mar 27, 2019 to Aug 19, 2019
- Private funds · 3 to 2Mar 27, 2019 to Aug 19, 2019
- Related adviser · true to falseMar 27, 2019 to Aug 19, 2019
- Accounts · 19 to 47Mar 27, 2018 to Mar 27, 2019
- HNW clients · 7 to 11Mar 27, 2018 to Mar 27, 2019
- Individual clients · 9 to 30Mar 27, 2018 to Mar 27, 2019
- HQ city · RYE to unsetMar 27, 2018 to Mar 27, 2019
- HQ state · NY to unsetMar 27, 2018 to Mar 27, 2019
- Discretionary RAUM · $7.5M to $6.1MMar 27, 2018 to Mar 27, 2019
- HNW RAUM · $6.8M to $5.3MMar 27, 2018 to Mar 27, 2019
- Individual RAUM · $1.1M to $810,143Mar 27, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $1.2M to $1.3MMar 27, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $814,000 to $1.3MMar 27, 2018 to Mar 27, 2019
- RAUM · $8.7M to $7.4MMar 27, 2018 to Mar 27, 2019
- Discretionary RAUM · $7.5M to $7.5MJan 16, 2018 to Mar 27, 2018
- HNW RAUM · $6.8M to $6.8MJan 16, 2018 to Mar 27, 2018
- RAUM · $8.7M to $8.7MJan 16, 2018 to Mar 27, 2018
- Advisory employees · 2 to 1Nov 14, 2017 to Dec 8, 2017
- Other offices · unset to 1.0May 5, 2017 to Nov 12, 2017
- Accounts · 25 to 19May 5, 2017 to Nov 12, 2017
- Advisory employees · 3 to 2May 5, 2017 to Nov 12, 2017
- HNW clients · unset to 7.0May 5, 2017 to Nov 12, 2017
- Individual clients · unset to 9.0May 5, 2017 to Nov 12, 2017
- Pooled vehicle clients · unset to 3.0May 5, 2017 to Nov 12, 2017
- Employees · 8 to 7May 5, 2017 to Nov 12, 2017
- Discretionary RAUM · $4.0M to $7.5MMay 5, 2017 to Nov 12, 2017
- HNW RAUM · unset to 6815000.0May 5, 2017 to Nov 12, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A•••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $8.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026