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•••••• M••••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Mar 30, 2012 · 48 filings
SEC status approved since Sep 10, 2010
RAUM
$308,129
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$308,129
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$308,129 as of Aug 18, 2026
Apr 30, 2012$237M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 18, 2026
Apr 30, 20120 then
Employees (5.A)1 as of Aug 18, 2026
Apr 1, 20137 then
Private funds3 as of Mar 16, 2016
Apr 1, 20132 then
RAUM -100% over the last fiscal year-88% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $308,129derivedRAUM 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
- $308,129derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$308,129100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••••• M••••••• L•••• | Clinton Corners, Ny | Feb 20, 2025 | 14 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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• N•• W•••• I••••• F••• I• L•no longer reported | Other Private Fund | $158M | 1 | Aug 24, 2012 |
| C••••• D••••••• S••••• F•••• L•no longer reported | Other Private Fund | $57.7M | 1 | Aug 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• L••••• I••••• · Chief Executive Officercontrolsince 12/2017 · owns less than 5%
- M••••••• L••••• I••••• · Sole Membercontrolsince 11/2018 · owns 75% or more of L• M••• C•••••• L••
- A•••••• G••• O• · Chief Compliance Officersince 02/2020 · owns less than 5%
Entity owners
- H••••••••• G••••• P•••••••• L•• · Memberdirect · owns 50% to 75%
- L• M••• C•••••• L•• · Memberdirect · owns 50% to 75%
- C••••• G••••• M••••••• S•• · Sole Memberindirect · owns 75% or more of H••••••••• G••••• P•••••••• L••
Related persons
Schedule D 7.A
- C••••• F•••• I•••pooled vehicle sponsorn
- E•••••• C•••••• L••investment advisern
- U••••• A•••• M••••••••• L••investment advisernRAUM $298M
Advisers that list A•••••• C•••••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westport, Ct | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $177,978,474 to $308,129 (-100.0%) between the annual amendments of 2025-03-16 and 2026-03-17; the peer median change was -12.0% (97 comparable advisers, 0.0th percentile of changes)peers: asset managers, under $100M (97) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 0 to 1Nov 3, 2025 to Mar 17, 2026
- Pooled vehicle clients · 0 to 1Nov 3, 2025 to Mar 17, 2026
- HQ city · NEW YORK to Nov 3, 2025 to Mar 17, 2026
- HQ state · NY to Nov 3, 2025 to Mar 17, 2026
- State-registered IARs · 0 to 1Nov 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $0 to $308,129Nov 3, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $0 to $308,129Nov 3, 2025 to Mar 17, 2026
- RAUM · $0 to $308,129Nov 3, 2025 to Mar 17, 2026
- Related adviser · true to falseNov 3, 2025 to Mar 17, 2026
- Accounts · 1 to 0Aug 29, 2025 to Nov 3, 2025
- Pooled vehicle clients · 1 to 0Aug 29, 2025 to Nov 3, 2025
- Discretionary RAUM · $133M to $0Aug 29, 2025 to Nov 3, 2025
- Pooled vehicle RAUM · $133M to $0Aug 29, 2025 to Nov 3, 2025
- RAUM · $133M to $0Aug 29, 2025 to Nov 3, 2025
- State-registered IARs · 3 to 0Jun 2, 2025 to Aug 29, 2025
- Advisory employees · 3 to 1Jun 2, 2025 to Aug 29, 2025
- BD registered reps · 1 to 0Jun 2, 2025 to Aug 29, 2025
- Employees · 4 to 1Jun 2, 2025 to Aug 29, 2025
- Discretionary RAUM · $178M to $133MJun 2, 2025 to Aug 29, 2025
- Pooled vehicle RAUM · $178M to $133MJun 2, 2025 to Aug 29, 2025
- RAUM · $178M to $133MJun 2, 2025 to Aug 29, 2025
- Financial planning clients · unset to Mar 16, 2025 to Jun 2, 2025
- Discretionary RAUM · $174M to $178MJul 19, 2024 to Mar 16, 2025
- Pooled vehicle RAUM · $174M to $178MJul 19, 2024 to Mar 16, 2025
- RAUM · $174M to $178MJul 19, 2024 to Mar 16, 2025
- Discretionary RAUM · $173M to $174MNov 3, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · $173M to $174MNov 3, 2023 to Mar 4, 2024
- RAUM · $173M to $174MNov 3, 2023 to Mar 4, 2024
- Discretionary RAUM · $169M to $173MApr 25, 2023 to Nov 3, 2023
- Pooled vehicle RAUM · $169M to $173MApr 25, 2023 to Nov 3, 2023
- RAUM · $169M to $173MApr 25, 2023 to Nov 3, 2023
- Advisory employees · 4 to 3Oct 23, 2022 to Mar 30, 2023
- Employees · 5 to 4Oct 23, 2022 to Mar 30, 2023
- Discretionary RAUM · $198M to $169MOct 23, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $198M to $169MOct 23, 2022 to Mar 30, 2023
- RAUM · $198M to $169MOct 23, 2022 to Mar 30, 2023
- Advisory employees · 3 to 4Apr 5, 2021 to Mar 31, 2022
- Employees · 6 to 5Apr 5, 2021 to Mar 31, 2022
- Discretionary RAUM · $204M to $198MApr 5, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $204M to $198MApr 5, 2021 to Mar 31, 2022
Signals
7 dated events
- A•••••• C•••••• M••••••••• L•• reported RAUM $0, down 100% from $133.0M (2025-08-29 to 2025-11-03)Nov 3, 2025 · RAUM change · derived
- Gil O Aikins no longer registered at A•••••• C•••••• M••••••••• L••; no later IA registration on IAPDAug 31, 2025 · Advisor departure · fact
- Mitchell Gregg Riina (Chief Compliance Officer And Chief Operating Officer) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2019-07-17, absent 2020-03-04)Mar 4, 2020 · Control person left · inference
- Gil Aikins (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• M••••••••• L••Mar 4, 2020 · Control person joined · fact
- Yvette Gabrielle Garcia (Chief Compliance Officer And Chief Risk Officer) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2018-04-06, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Mitchell Gregg Riina (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of A•••••• C•••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
- A•••••• C•••••• M••••••••• L•• reported RAUM $193.5M, down 45% from $354.8M (2017-03-29 to 2018-03-30)Mar 30, 2018 · 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
- Website
- aureanacapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-558-4509reportedpublic record, Form ADV, Aug 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $308,129derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026