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••••••• H••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 154410SEC 801-71704IAPD
Latest filing Apr 24, 2023
First filing on the tape Nov 23, 2011 · 33 filings
RAUM
$9.6B
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
63
50 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
24
$9.6B gross assets
History
33 filings and snapshots on the tape
RAUM$9.6B as of Mar 31, 2023
Mar 30, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)63 as of Mar 31, 2023
Mar 28, 201328 then
Private funds24 as of Mar 31, 2023
Mar 30, 20125 then
RAUM +28% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2023; 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
$399MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+28%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • 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$9.6B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
24reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• R••• E••••• F••• L•no longer reportedReal Estate Fund$8.2M29Mar 30, 2012
      A••••••• L•••••• C•••••••• L•••Private Equity Fund$1.8M3Mar 27, 2014
      A••••••• S••••• B••••••• C•••••••• L•••no longer reportedPrivate Equity Fund$140,3593Mar 24, 2017
      A••••••• C•••••••• I• L•••no longer reportedPrivate Equity Fund$8,2873Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• C••••• J••• · Chief Administrative Officercontrol
        since 07/2021 · owns less than 5%
      • B•••••• E•••• S• •• O•••• · Chief Compliance Officercontrol
        since 04/2007 · owns less than 5%
      • G••••••••• J••••••• W•••• · President Of A••••••• H••••••• G•• I•••control
        since 08/2005 · owns less than 5%
      • K•••••• G•••••••• O••• · Chief Operating Officercontrol
        since 10/2018 · owns less than 5%
      • L• R••••• V•••••••• A•••••• · Presidentcontrol
        since 02/2021 · owns less than 5%
      • G••••••••• J••••••• W•••• · L•••••• Partner Of A••••••• H••••••• L• And Sole Shareholder Of A••••••• Holdings Gp Inc.control
        since 06/2006 · owns 25% to 50% of A••••••• H••••••• L• And A••••••• Holdings Gp Inc.
      • K••••••••• S••••••• A•••• · Chief Financial Officer
        since 08/2019 · owns less than 5%
      Entity owners
      • A••••••• H••••••• L•• · Sole Member Of A••••••• Capital Partners LLC
        direct · owns 75% or more
      • A••••••• H••••••• L• · Sole Member Of A••••••• H••••••• L••
        direct · owns 75% or more
      • A••••••• H••••••• G•• I••• · General Partner
        indirect · owns F of A••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      • A••• I• C•••••••• G• L••••
        pooled vehicle sponsorn
      • A••• I• C•••••••• G• L•••
        pooled vehicle sponsorn
      • A••• V• C•••••••• G• L•••
        pooled vehicle sponsorn
      • A••••••• •••••• C•••••••• F••• V• G• L•••
        pooled vehicle sponsorn
      • A••••••• A••••••• O••••••••• G• L•••
        pooled vehicle sponsorn
      • A••••••• B••••• H••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• G• ••••••••• L•••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• I• G• •••• L•••••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• I• G• ••••••••• L•••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• I•• G• •••• L••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• I•• G• ••••••••• L•••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• I• G• ••••••••• L••
        pooled vehicle sponsorn
      • A••••••• C•••••• P••••••• L••••••
        investment advisery
      • A••••••• C•••••• P••••••• V• G• ••••••••• L•••
        pooled vehicle sponsorn
      • A••••••• C•••••••• G• L•••
        pooled vehicle sponsorn
      • A••••••• C•••••••• I•• G• L•••
        pooled vehicle sponsorn
      • A••••••• C•••••••• I• G• L•••
        pooled vehicle sponsorn
      • A••••••• C••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• Q• C•••••••• A•• I• G• L•••
        pooled vehicle sponsorn
      • A••••••• Q• C•••••••• I• G• L•••
        pooled vehicle sponsorn
      • A••••••• T••••••••• G••••• G• L•••
        pooled vehicle sponsorn
      • A••••••• T••••••••• G••••• I• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom6 employees
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 24
        Oct 7, 2022 to Mar 31, 2023
      • Advisory employees · 48 to 50
        Oct 7, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 23 to 24
        Oct 7, 2022 to Mar 31, 2023
      • Employees · 61 to 63
        Oct 7, 2022 to Mar 31, 2023
      • Private funds · 23 to 24
        Oct 7, 2022 to Mar 31, 2023
      • Discretionary RAUM · $7.4B to $9.6B
        Oct 7, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $7.4B to $9.6B
        Oct 7, 2022 to Mar 31, 2023
      • RAUM · $7.4B to $9.6B
        Oct 7, 2022 to Mar 31, 2023
      • Discretionary RAUM · $7.5B to $7.4B
        Mar 31, 2022 to Apr 29, 2022
      • Pooled vehicle RAUM · $7.5B to $7.4B
        Mar 31, 2022 to Apr 29, 2022
      • RAUM · $7.5B to $7.4B
        Mar 31, 2022 to Apr 29, 2022
      • Accounts · 19 to 23
        May 21, 2021 to Mar 31, 2022
      • Advisory employees · 42 to 48
        May 21, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 19 to 23
        May 21, 2021 to Mar 31, 2022
      • Employees · 52 to 61
        May 21, 2021 to Mar 31, 2022
      • Other offices · 2 to 1
        May 21, 2021 to Mar 31, 2022
      • Private funds · 19 to 23
        May 21, 2021 to Mar 31, 2022
      • Discretionary RAUM · $6.1B to $7.5B
        May 21, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $6.1B to $7.5B
        May 21, 2021 to Mar 31, 2022
      • RAUM · $6.1B to $7.5B
        May 21, 2021 to Mar 31, 2022
      • Discretionary RAUM · $6.1B to $6.1B
        Mar 31, 2021 to May 21, 2021
      • Pooled vehicle RAUM · $6.1B to $6.1B
        Mar 31, 2021 to May 21, 2021
      • RAUM · $6.1B to $6.1B
        Mar 31, 2021 to May 21, 2021
      • Accounts · 17 to 19
        May 15, 2020 to Mar 31, 2021
      • Advisory employees · 44 to 42
        May 15, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 17 to 19
        May 15, 2020 to Mar 31, 2021
      • Employees · 54 to 52
        May 15, 2020 to Mar 31, 2021
      • Private funds · 17 to 19
        May 15, 2020 to Mar 31, 2021
      • Discretionary RAUM · $5.3B to $6.1B
        May 15, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $5.3B to $6.1B
        May 15, 2020 to Mar 31, 2021
      • RAUM · $5.3B to $6.1B
        May 15, 2020 to Mar 31, 2021
      • Discretionary RAUM · $5.3B to $5.3B
        Mar 30, 2020 to May 15, 2020
      • Pooled vehicle RAUM · $5.3B to $5.3B
        Mar 30, 2020 to May 15, 2020
      • RAUM · $5.3B to $5.3B
        Mar 30, 2020 to May 15, 2020
      • Accounts · 12 to 17
        Aug 16, 2019 to Mar 30, 2020
      • Advisory employees · 34 to 44
        Aug 16, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 12 to 17
        Aug 16, 2019 to Mar 30, 2020
      • Employees · 42 to 54
        Aug 16, 2019 to Mar 30, 2020
      • Private funds · 12 to 17
        Aug 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.4B to $5.3B
        Aug 16, 2019 to Mar 30, 2020
      Signals
      5 dated events
      • A••••••• H••••••• L•• reported RAUM $9.6B, up 30% from $7.4B (2022-10-07 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Jaye Carly Arluke (Chief Administrative Officer) appeared on Schedule A of A••••••• H••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • Antonio Vincenzo La Ruffa (President) appeared on Schedule A of A••••••• H••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • A••••••• H••••••• L•• reported RAUM $5.3B, up 56% from $3.4B (2019-08-16 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Orin Geoffrey Kalish (Chief Operating Officer) appeared on Schedule A of A••••••• H••••••• L••
        Mar 29, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      A••••••• H••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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