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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••••• C••••••• H•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Jan 13, 2009
RAUM
$21B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.6%
$547M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
95
41 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
38
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$21B as of Mar 31, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$508M as of Mar 31, 2026
Mar 30, 2018$837M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)95 as of Mar 31, 2026
Mar 28, 201318 then
Private funds38 as of Mar 31, 2026
Mar 30, 20124 then
RAUM +0.8% over the last fiscal year-0.6% a year over threeIARs 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
- $14.1MderivedHNW RAUM over HNW clients
- Average account
- $152MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $584M, 70 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$8.1B61%
- Investment companies$3.7B27%
- High-net-worth individuals$508M3.8%
- Pension and profit-sharing plans$315M2.4%
- Charitable organizations$232M1.7%
- Corporations and businesses$191M1.4%
- State and municipal entities$175M1.3%
- Sovereign wealth funds$73.4M0.6%
- Individuals$38.7M0.3%
- Individual clients
- 24reported
- HNW clients
- 36reported
- Pension plan clients
- 4reported
- Charitable clients
- 4reported
- Accounts
- 138reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $584M for 70 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.03 fund_share=0.56 institutional_share=0.04 related_bd=false related_bank=true bd_reps=10.0derived
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
47 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K••••••••• F••• I• L• | Hedge Fund | $1.2B | 4 | Mar 30, 2019 |
| A•••••••• F••••••••• O••••••••• F•••• L• | Hedge Fund | $1.0B | 68 | Mar 30, 2012 |
| A•••••••• G••••• O••••••••• M••••• F••• I••• L•• | Hedge Fund | $619M | 297 | Mar 30, 2020 |
| A•••••••• I••••• O••••••••• F••• Q•• L• | Hedge Fund | $595M | 300 | Mar 28, 2013 |
| A•••••••• G••••• O••••••••• M••••• F••• I•• L•• | Hedge Fund | $554M | 320 | Feb 24, 2022 |
| A•• E•••••••• C•• 2•••••••••no longer reported | Securitized Asset Fund | $500M | 0 | Mar 30, 2019 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $472M | 0 | Mar 31, 2022 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $466M | 0 | Mar 31, 2021 |
| A•• E••••••••• C•• 2•••••• L•••no longer reported | Securitized Asset Fund | $450M | 0 | Mar 30, 2019 |
| A•• E•••••••• C•• 2•••••• L•••no longer reported | Securitized Asset Fund | $450M | 0 | Mar 30, 2019 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $433M | 0 | Nov 23, 2022 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $385M | 0 | Mar 31, 2022 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $382M | 0 | Mar 31, 2022 |
| E•••••••• C•• 2••••••• L•• | Securitized Asset Fund | $379M | 0 | Mar 31, 2022 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $366M | 0 | Mar 30, 2019 |
| A•••••••• F••••••••• S••• L••• | Hedge Fund | $364M | 1 | Mar 31, 2016 |
| A•• E•••••••• C•• 2•••••••••no longer reported | Securitized Asset Fund | $360M | 0 | Mar 30, 2019 |
| E•••••••• C•• 2••••••• L••• | Securitized Asset Fund | $343M | 0 | Mar 27, 2024 |
| M••••••••• F••• I• L• | Hedge Fund | $339M | 2 | Nov 23, 2022 |
| A•••••••• G••••• O••••••••• M••••• F••• I•• L•• | Hedge Fund | $337M | 274 | Mar 30, 2017 |
| E•••••••• C•• 2•••••• L••• | Securitized Asset Fund | $320M | 0 | Mar 30, 2019 |
| A•••• S••••• C•• 2• L••no longer reported | Securitized Asset Fund | $320M | 0 | Mar 31, 2021 |
| E•••••••• C•• 2•••••• L••• | Securitized Asset Fund | $319M | 0 | Mar 31, 2016 |
| P••••• • A•••••••• C••••• F•••• L• | Hedge Fund | $291M | 3 | Feb 24, 2022 |
| A•••••••• I••••• S••• L••• | Hedge Fund | $226M | 2 | Mar 31, 2016 |
| B••••••••• C••••• F•••• L• | Hedge Fund | $208M | 2 | Feb 24, 2022 |
| P••••••••• F••• I• L• | Hedge Fund | $171M | 2 | Mar 30, 2019 |
| P•••• C•• 3• L••• | Securitized Asset Fund | $149M | 0 | Mar 30, 2019 |
| A•••••••• F••• I•••• L• | Hedge Fund | $141M | 3 | Feb 24, 2022 |
| P•••• C•• 2• L••• | Securitized Asset Fund | $118M | 0 | Mar 30, 2019 |
| A•••••••• I••••• O••••••••• F•••• L• | Hedge Fund | $113M | 70 | Mar 30, 2012 |
| O••• A•••••••• F••• I• L• | Hedge Fund | $105M | 3 | Mar 30, 2020 |
| A•••••••• L••• S•••••• F••• I•• L• | Hedge Fund | $98.0M | 124 | Mar 31, 2022 |
| A•••••••• A••••••••• V•••••• S•• | Hedge Fund | $81.9M | 119 | Mar 30, 2012 |
| P•••• C••• L••• | Securitized Asset Fund | $76.4M | 0 | Mar 30, 2015 |
| A•••••••• C•• S••••••••• F•••••• F••• L• | Hedge Fund | $67.1M | 66 | Mar 31, 2023 |
| A•••••••• C•• E••••• S•••••••• P••••••• F•••• L• | Hedge Fund | $59.9M | 42 | Mar 31, 2022 |
| A•••••••• G••••• O••••••••• F••• V• L• | Hedge Fund | $51.0M | 0 | Mar 27, 2024 |
| A••••••••• L••• S•••••• F•••• L•no longer reported | Hedge Fund | $43.4M | 24 | Mar 28, 2013 |
| A•••••••• S•••••••• F••••••• L•• | Hedge Fund | $27.8M | 10 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• K•••••• R••• · Membercontrolsince 01/2014 · owns less than 5%
- B••••••• S•••••• S•••••• · Membercontrolsince 01/2015 · owns less than 5%
- C••••••• D••••• J••• · Managing Membercontrolsince 12/2007 · owns 10% to 25%
- G••••• R••••••• A•••• · Ccocontrolsince 12/2008 · owns less than 5%
- M••••• C•••••••• E••• · Membercontrolsince 01/2017 · owns less than 5%
- R•••• D•••••• K••• · Coocontrolsince 06/2019 · owns less than 5%
- R••••• K••••• L••• · Membercontrolsince 12/2007 · owns 5% to 10%
- R•••• J•••••• B•••• · Clocontrolsince 03/2021 · owns less than 5%
- S•••••• B••••• A••••• · Membercontrolsince 01/2017 · owns less than 5%
- R••••• K••••• L••• · Managercontrolsince 01/2022 · owns F of C• S••••••••• L••
Entity owners
- C• S••••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- 3•• F••••••• L••investment adviseryRAUM $104M
- A•• L••• S•••••• G• I•• L••bankpooled vehicle sponsorn
- A•• L••• S•••••• G•• L••bankpooled vehicle sponsorn
- A•••••••• A•••• M••••••••• L••investment adviseryRAUM $224M
- A•••••••• C•• E••••• S•••••••• P••••••• F••• G•• L••bankpooled vehicle sponsorn
- A•••••••• C••••••••• R••• E••••• P•••••••investment companyy
- A•••••••• C•• S••••••••• F•••••• F••• G•• L••pooled vehicle sponsorn
- A•••••••• F••• I••• G•• L••bankpooled vehicle sponsorn
- A•••••••• G••••• F••• G• I•• L••bankpooled vehicle sponsorn
- A•••••••• G••••• F••• G• I••• L••bankpooled vehicle sponsory
- A•••••••• G••••• F••• G• I•• L••bankpooled vehicle sponsorn
- A•••••••• G••••• F••• G• V• L••pooled vehicle sponsorn
- A•••••••• G••••• F••• G•• L••pooled vehicle sponsorn
- A•••••••• I•••••••••investment advisery
- A•••••••• P••••••• G• S•••• L••bankpooled vehicle sponsory
- A•••••••• P••••••• G•• L••bankpooled vehicle sponsorn
- A•••••••• P••••••• G••• L••bankpooled vehicle sponsorn
- A•••••••• P••••••• G••• L••bankpooled vehicle sponsorn
- A•••••••• S•••••••• F•••••• M• L••pooled vehicle sponsorn
- B••••••••• C••••• F••• G•• L••bankpooled vehicle sponsorn
- K••••••••• F••• I• G•pooled vehicle sponsorn
- O••••••••• F••• I• G•pooled vehicle sponsorn
- P••••••••• F••• I• G•pooled vehicle sponsorn
- P••••• • A•••••••• C••••• F••• G•• L••bankpooled vehicle sponsorn
Advisers that list A•••••••• C••••••• H•••••••• L•• as a related person
- 287625 y
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom2 employees
- New York, NY2 employees
- Larkspur, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 183 to 138Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 47 to 41Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 11 to 10Mar 31, 2025 to Mar 31, 2026
- Charity clients · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 6 to 8Mar 31, 2025 to Mar 31, 2026
- HNW clients · 40 to 36Mar 31, 2025 to Mar 31, 2026
- Individual clients · 29 to 24Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 13 to 4Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 56 to 37Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $785M to $584MMar 31, 2025 to Mar 31, 2026
- Employees · 103 to 95Mar 31, 2025 to Mar 31, 2026
- Private funds · 37 to 38Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $21B to $21BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $609M to $508MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $43.3M to $38.7MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $52.8M to $47.0MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $810M to $315MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.3B to $8.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $21B to $21BMar 31, 2025 to Mar 31, 2026
- Accounts · 149 to 183Mar 27, 2024 to Mar 31, 2025
- BD registered reps · 9 to 11Mar 27, 2024 to Mar 31, 2025
- Charity clients · unset to 5.0Mar 27, 2024 to Mar 31, 2025
- Corporate clients · 5 to 6Mar 27, 2024 to Mar 31, 2025
- HNW clients · 35 to 40Mar 27, 2024 to Mar 31, 2025
- Individual clients · 28 to 29Mar 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 32 to 56Mar 27, 2024 to Mar 31, 2025
- Assets in custody · $650M to $785MMar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Other offices · 3 to 2Mar 27, 2024 to Mar 31, 2025
- Private funds · 36 to 37Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $21B to $21BMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $582M to $609MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $48.9M to $43.3MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $107M to $52.8MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · $944M to $810MMar 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.8B to $8.3BMar 27, 2024 to Mar 31, 2025
- RAUM · $22B to $21BMar 27, 2024 to Mar 31, 2025
- Accounts · 155 to 149Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 62 to 47Mar 31, 2023 to Mar 27, 2024
- BD registered reps · 10 to 9Mar 31, 2023 to Mar 27, 2024
Signals
4 dated events
- B•••• J••••• R••• (General Counsel) appeared on Schedule A of A•••••••• C••••••• H•••••••• L••Mar 31, 2021 · Control person joined · fact
- Minyoung Sohn (Member) no longer on Schedule A of A•••••••• C••••••• H•••••••• L•• (listed 2020-03-30, absent 2020-05-08)May 8, 2020 · Control person left · inference
- Kirk Daniel Reid (Chief Operation And Technology Officer) appeared on Schedule A of A•••••••• C••••••• H•••••••• L••Mar 30, 2020 · Control person joined · fact
- A•••••••• C••••••• H•••••••• L•• reported RAUM $19.5B, up 37% from $14.3B (2019-01-14 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/1098362reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-398-2929reportedpublic 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
- Other 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