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•••••••• L••
Latest filing Aug 1, 2014
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$57.2M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$57.8M gross assets
History
4 filings and snapshots on the tape
RAUM$57.2M as of Mar 14, 2014
Mar 29, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2014
Mar 25, 20130 then
Employees (5.A)5 as of Mar 14, 2014
Mar 25, 20134 then
Private funds1 as of Mar 14, 2014
Mar 29, 20123 then
RAUM -12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 1, 2014; 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
- $28.6MderivedRAUM 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
- -12%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
- $57.2M, 2 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)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.2M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• G••••• S••••••••• F•••• L•• | Hedge Fund | $57.8M | 64 | Mar 29, 2012 |
| A•• M••••• F•••• L•••no longer reported | Hedge Fund | $43.0M | 2 | Mar 29, 2012 |
| A•• F••• I•• L••no longer reported | Hedge Fund | $12.2M | 18 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••••••• S••••• D•••••• · Managing Membercontrolsince 08/2007 · owns 50% to 75%
- F••••••••• M••••••• O••••••• · Managing Member/Chief Compliance Officercontrolsince 08/2007 · owns 50% to 75%
- N•••••• W••• J•• · Chairmansince 03/2013 · owns less than 5%
Related persons
Schedule D 7.A
- E••••••• A•••• M••••••••• L••investment advisern
Advisers that list A•• C•••••• P•••••••• L•• as a related person
- 172643 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 14, 2014 to Aug 1, 2014
- Advisory employees · 2 to 3Mar 25, 2013 to Mar 14, 2014
- Assets in custody · $55.0M to $57.2MMar 25, 2013 to Mar 14, 2014
- Employees · 4 to 5Mar 25, 2013 to Mar 14, 2014
- Discretionary RAUM · $65.1M to $57.2MMar 25, 2013 to Mar 14, 2014
- RAUM · $65.1M to $57.2MMar 25, 2013 to Mar 14, 2014
- Accounts · 7 to 2Mar 29, 2012 to Mar 25, 2013
- Advisory employees · unset to 2.0Mar 29, 2012 to Mar 25, 2013
- Assets in custody · $113M to $55.0MMar 29, 2012 to Mar 25, 2013
- Employees · unset to 4.0Mar 29, 2012 to Mar 25, 2013
- State-registered IARs · unset to 0.0Mar 29, 2012 to Mar 25, 2013
- Private funds · 3 to 1Mar 29, 2012 to Mar 25, 2013
- Discretionary RAUM · $113M to $65.1MMar 29, 2012 to Mar 25, 2013
- RAUM · $113M to $65.1MMar 29, 2012 to Mar 25, 2013
Signals
No event on the tape.
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