DFX Intelligence
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A•••••• L•••••• • C••
Former SEC-registered adviserFormer SEC adviser· Buenos Aires
Former SEC-registered adviser, based in Buenos Aires, reporting $245M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $245M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- +20%
- Private clients
- 0.0% of RAUM
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $205MRAUM now $245M
Every filed figure, and the identifiersCRD 145612 · SEC 801-68627 · 3 filingsShowHide
CRD 145612SEC 801-68627Legal name A•••••• L•••••• • C•• S••• D• B•••• S•First filing on the tape Nov 7, 2011, latest Dec 6, 2012IAPD
RAUM
$245M
reported, Item 5.F
Discretionary
26%
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
125
25 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$245M as of Dec 6, 2012
Nov 7, 2011$205M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 6, 2012
Nov 7, 20110 then
Employees (5.A): 125
Private funds: no history
RAUM +20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 6, 2012; 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
- $184,211derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%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
- +20%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, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
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
- 1,330reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• L••••• · Chief Compliance Officercontrolsince 12/2003 · owns less than 5%
- A••••••• E•••••• · Presidentcontrolsince 12/2003 · owns 10% to 25%
- M••••• E•••••• · Directorcontrolsince 12/1997 · owns 25% to 50%
- P•••••• J••• · Vicepresidentcontrolsince 12/2003 · owns 10% to 25%
- R•••• O••••• J•••• · Shareholdercontrolsince 12/2003 · owns 25% to 50%
- S••••• H••• · Directorcontrolsince 12/2003 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,080 to 1,330Apr 12, 2012 to Dec 6, 2012
- Advisory employees · unset to 25.0Apr 12, 2012 to Dec 6, 2012
- Employees · unset to 125.0Apr 12, 2012 to Dec 6, 2012
- Discretionary RAUM · $57.0M to $64.0MApr 12, 2012 to Dec 6, 2012
- Non-discretionary RAUM · $145M to $181MApr 12, 2012 to Dec 6, 2012
- RAUM · $202M to $245MApr 12, 2012 to Dec 6, 2012
- Accounts · 1,060 to 1,080Nov 7, 2011 to Apr 12, 2012
- Discretionary RAUM · $55.0M to $57.0MNov 7, 2011 to Apr 12, 2012
- Non-discretionary RAUM · $150M to $145MNov 7, 2011 to Apr 12, 2012
- RAUM · $205M to $202MNov 7, 2011 to Apr 12, 2012
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