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••••• C•••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 3, 2012 · 24 filings
SEC status approved since Oct 29, 2013
RAUM
$0
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Apr 2, 2012$28.5M then
HNW client RAUM: $5.4M
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20140 then
Employees (5.A)2 as of Mar 31, 2026
Mar 26, 20145 then
Private funds3 as of Mar 31, 2026
Apr 2, 20121 then
RAUM n/a over the last fiscal yearIARs 0 to 0
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
- 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- 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
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•• D• A••••• M••••• T••••no longer reported | Other Private Fund | $34.7M | 1 | Oct 23, 2013 |
| I••••••• O••••••••• P••••••• L•no longer reported | Other Private Fund | $16.4M | 1 | Oct 23, 2013 |
| A••••• C••••• O••••••••• F•••• L• | Hedge Fund | $6.9M | 43 | Jan 3, 2012 |
| T••••••• S••••••• F••• L••no longer reported | Other Private Fund | $5.3M | 2 | Oct 23, 2013 |
| A••••• L••• O••••••••• F•••• L• | Hedge Fund | $4.0M | 5 | Mar 29, 2019 |
| S•••• R•••• L•• O• B••••• O• S••••• 2•••••no longer reported | Hedge Fund | $3.2M | 2 | Mar 31, 2015 |
| M• C•••••• L•• | Hedge Fund | $770,967 | 4 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- T•••• N•••••••• W•••••• · Ceo & Portfolio Managercontrolsince 01/2009 · owns less than 5%
- P••••••• E•••• P••• · Membercontrolsince 02/2013 · owns 50% to 75% of A••••• G••••• L••
- T•••• N•••••••• W•••••• · Membercontrolsince 02/2013 · owns 25% to 50% of A••••• G••••• L••
- C••••••••• D••••• C•••• · Ccosince 10/2013 · owns less than 5%
Entity owners
- A••••• G••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••• C••••• G•• L••pooled vehicle sponsorn
- A••••• S••••••••• L••broker-dealern
Advisers that list A••••• C•••••• G••••• L•• as a related person
- 143832 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 0Feb 5, 2025 to Mar 28, 2025
- Advisory activities · 2 to 1Feb 5, 2025 to Mar 28, 2025
- Pooled vehicle clients · 3.0 to unsetFeb 5, 2025 to Mar 28, 2025
- Custody of client assets · true to falseFeb 5, 2025 to Mar 28, 2025
- Employees · 4 to 2Feb 5, 2025 to Mar 28, 2025
- Financial planning clients · 0 to 0Feb 5, 2025 to Mar 28, 2025
- Discretionary RAUM · $11.6M to $0Feb 5, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · 11645028.0 to unsetFeb 5, 2025 to Mar 28, 2025
- RAUM · $11.6M to $0Feb 5, 2025 to Mar 28, 2025
- RAUM · $11.7M to $11.6MMar 30, 2023 to Mar 29, 2024
- Assets in custody · unset to 0.0Mar 30, 2023 to Mar 29, 2024
- Custody of client assets · false to trueMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $11.7M to $11.6MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $11.7M to $11.6MMar 30, 2023 to Mar 29, 2024
- Advisory employees · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 4 to 3Mar 30, 2022 to Mar 30, 2023
- Employees · 3 to 4Mar 30, 2022 to Mar 30, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 30, 2023
- HQ city · MANHATTAN BEACH to EL SEGUNDOMar 30, 2022 to Mar 30, 2023
- Private funds · 4 to 3Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $14.3M to $11.7MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $14.3M to $11.7MMar 30, 2022 to Mar 30, 2023
- RAUM · $14.3M to $11.7MMar 30, 2022 to Mar 30, 2023
- Accounts · 5 to 4Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 2 to 1Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 1 to 2Mar 30, 2021 to Mar 30, 2022
- HNW clients · 1.0 to unsetMar 30, 2021 to Mar 30, 2022
- Employees · 4 to 3Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $63.8M to $14.3MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · 5425269.0 to unsetMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $58.4M to $14.3MMar 30, 2021 to Mar 30, 2022
- RAUM · $63.8M to $14.3MMar 30, 2021 to Mar 30, 2022
- Accounts · 4 to 5Sep 8, 2020 to Mar 30, 2021
- Advisory employees · 3 to 2Sep 8, 2020 to Mar 30, 2021
- Advisory activities · 2 to 1Sep 8, 2020 to Mar 30, 2021
- HNW clients · unset to 1.0Sep 8, 2020 to Mar 30, 2021
- Employees · 5 to 4Sep 8, 2020 to Mar 30, 2021
- Discretionary RAUM · $57.4M to $63.8MSep 8, 2020 to Mar 30, 2021
- HNW RAUM · unset to 5425269.0Sep 8, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $57.4M to $58.4MSep 8, 2020 to Mar 30, 2021
Signals
1 dated events
- A••••• F••••• L•• filed its initial SEC registration (Form ADV)Oct 23, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-643-9100reportedpublic record, Form ADV, Mar 29, 2024
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
- No RAUM reportedderiveda 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