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••••• G••••• I•••••••••
Legal name A••••• G••••• I••••••••• L••
Latest filing May 8, 2014
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$2,500
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2,400 gross assets
History
5 filings and snapshots on the tape
RAUM$2,500 as of May 8, 2014
Mar 30, 2012$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of May 8, 2014
Feb 8, 20130 then
Employees (5.A)3 as of May 8, 2014
Feb 8, 20135 then
Private funds: 1
RAUM -100% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of May 8, 2014; every figure names its basis
- RAUM per advisor
- $833derivedRAUM 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
- $2,500derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%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, fixed fees, subscription, performance-based, commissionsreportedItem 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)
- an independent public accountant performs a surprise examination (9.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
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performance, commissionsreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• G••••• G••••• M••••• F•••• L•• | Hedge Fund | $2,400 | 1 | Apr 4, 2014 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••••• A• · President, Chief Compliance Officercontrolsince 10/2007 · owns less than 5%
- G•••••• M••••••• A•• · Managing Directorsince 04/2014 · owns less than 5%
- M••••••••• P•••• P• · Managing Directorsince 04/2014 · owns less than 5%
Entity owners
- A••••• C•••••• H•••••••• I•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $2,497 to $2,500Apr 4, 2014 to May 8, 2014
- RAUM · $2,497 to $2,500Apr 4, 2014 to May 8, 2014
- Accounts · 7 to 1Feb 26, 2013 to Apr 4, 2014
- Advisory employees · 5 to 3Feb 26, 2013 to Apr 4, 2014
- Advisory activities · 3 to 5Feb 26, 2013 to Apr 4, 2014
- Business name · L•••• C•••••• M••••• to A••••• G••••• I•••••••••Feb 26, 2013 to Apr 4, 2014
- Employees · 5 to 3Feb 26, 2013 to Apr 4, 2014
- State-registered IARs · 0 to 3Feb 26, 2013 to Apr 4, 2014
- Private funds · unset to 1Feb 26, 2013 to Apr 4, 2014
- Discretionary RAUM · $10.0M to $2,497Feb 26, 2013 to Apr 4, 2014
- Non-discretionary RAUM · $180M to $0Feb 26, 2013 to Apr 4, 2014
- RAUM · $190M to $2,497Feb 26, 2013 to Apr 4, 2014
- Legal name · L•••• CAPITAL MANAGEMENT, LLC to A••••• G••••• I••••••••• L••Feb 8, 2013 to Feb 26, 2013
- Accounts · 3 to 7Mar 30, 2012 to Feb 8, 2013
- Advisory employees · unset to 5.0Mar 30, 2012 to Feb 8, 2013
- Employees · unset to 5.0Mar 30, 2012 to Feb 8, 2013
- HQ city · JUPITER to MIAMIMar 30, 2012 to Feb 8, 2013
- State-registered IARs · unset to 0.0Mar 30, 2012 to Feb 8, 2013
- Discretionary RAUM · $0 to $10.0MMar 30, 2012 to Feb 8, 2013
- RAUM · $180M to $190MMar 30, 2012 to Feb 8, 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