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•••• A•••• M•••••••••

Former SEC-registered adviserChicago, IllinoisCRD 154318SEC 801-71598IAPD
Legal name A•••• A•••• M••••••••• L••
Latest filing Mar 29, 2016
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$9.4B
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
25
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$9.4B as of Mar 29, 2016
Mar 30, 2012$10.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2016
Mar 30, 20120 then
Employees (5.A)25 as of Mar 29, 2016
Mar 28, 201340 then
Private funds: no history
RAUM -35% over the last fiscal year-7.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
$9.4BderivedRAUM 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
$23.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
25.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-35%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, educational seminarsreportedItem 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)
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
399reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J••••••• T••••• · Chief Executive Officercontrol
        since 01/2016 · owns less than 5%
      • D••••••••• G•••••• F•••••• · Chief Compliance Officercontrol
        since 04/2010 · owns less than 5%
      • K••••• K•••••• L•• · Chief Operating Officer/Ciocontrol
        since 01/2016 · owns less than 5%
      • M••••••• J•••••• E••••• · Head Of Salescontrol
        since 01/2016 · owns less than 5%
      • F•••••••• W••••••• H•••• · Chief Marketing Officer
        since 01/2016 · owns less than 5%
      • T•••••••• C••••••••• R••••••• · Chief Financial Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • A•• F•••• L•• · Managing Member
        direct · owns 75% or more
      • A••••••••• M••••••• G••••• I••• · Sole Shareholder
        indirect · owns 75% or more of A•• G••••• · public reporting company
      • A•• G••••• · Sole Shareholder
        indirect · owns 75% or more of T•• C••••
      • T•• C•••• · Managing Member
        indirect · owns 75% or more of A•• F•••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT
      What changed
      consecutive filings, newest first
      • Accounts · 465 to 399
        Mar 31, 2015 to Mar 29, 2016
      • BD registered reps · 23 to 15
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 38 to 25
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $14B to $9.4B
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $14B to $9.4B
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 1,184 to 465
        Jun 26, 2014 to Mar 31, 2015
      • Employees · 39 to 38
        Jun 26, 2014 to Mar 31, 2015
      • Legal name · A•••• A•••• M•••••••••, LP to A•••• A•••• M•••••••••, LLC
        Jun 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $16B to $14B
        Jun 26, 2014 to Mar 31, 2015
      • RAUM · $16B to $14B
        Jun 26, 2014 to Mar 31, 2015
      • Organization form · Limited Partnership to Limited Liability Company
        Mar 31, 2014 to Jun 26, 2014
      • Accounts · 1,104 to 1,184
        Apr 26, 2013 to Mar 31, 2014
      • Advisory employees · 10 to 9
        Apr 26, 2013 to Mar 31, 2014
      • BD registered reps · 24 to 23
        Apr 26, 2013 to Mar 31, 2014
      • Employees · 40 to 39
        Apr 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $12B to $16B
        Apr 26, 2013 to Mar 31, 2014
      • RAUM · $12B to $16B
        Apr 26, 2013 to Mar 31, 2014
      • Accounts · 2,364 to 1,104
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Mar 28, 2013
      • Advisory activities · 4 to 5
        Mar 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 24.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 40.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 1
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $9.7B to $12B
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $266M to $0
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $10.0B to $12B
        Mar 30, 2012 to Mar 28, 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