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 Mar 31, 2026
First filing on the tape Mar 29, 2012 · 29 filings
SEC status approved since Jan 13, 2011
RAUM
$610M
reported, Item 5.F
Discretionary
94%
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
16
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$610M as of Mar 31, 2026
Mar 29, 2012$280M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)16 as of Mar 31, 2026
Mar 28, 201315 then
Private funds20 as of Mar 31, 2026
Mar 29, 20122 then
RAUM -8.1% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $30.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.1%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $596M, 20 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$610M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $596M for 20 clientsreported
- 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
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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• A••• F••• I•• L• | Private Equity Fund | $188M | 170 | Mar 28, 2013 |
| A••••••••• A••• F•••• L• | Private Equity Fund | $127M | 2 | Mar 30, 2018 |
| A••••• A••• F••• I••• L••• | Private Equity Fund | $112M | 82 | Mar 30, 2016 |
| A••••• A••• M•••• S••••••• F•••• L• | Private Equity Fund | $83.0M | 8 | Mar 31, 2015 |
| A••••• A••• O••••••• M••••• F••• I•• L••• | Private Equity Fund | $64.0M | 64 | Mar 28, 2014 |
| A••••• A••• P• F•••• L••• | Private Equity Fund | $55.7M | 52 | Mar 31, 2017 |
| A••••••••• A••• F•••• L••• | Private Equity Fund | $52.7M | 2 | Mar 30, 2016 |
| A••••• A••• O••••••••• F•••• L• | Private Equity Fund | $52.3M | 4 | Mar 28, 2013 |
| A••••• A••• A•••••••• F•••• L••• | Private Equity Fund | $44.7M | 1 | Mar 28, 2014 |
| A••••• A••• F••• I• A••••• L• | Private Equity Fund | $43.5M | 50 | Mar 30, 2018 |
| A••••• A••• O••••••• M••••• F••• I••• L••• | Private Equity Fund | $33.6M | 19 | Mar 31, 2017 |
| A••••••••• A••• H•••••• C••••••• L•••no longer reported | Private Equity Fund | $22.4M | 2 | Mar 30, 2016 |
| A••••••••• A••• P• F•••• L••• | Private Equity Fund | $8.6M | 2 | Mar 30, 2016 |
| A••••••••• C••••••••• L• | Private Equity Fund | $6.8M | 3 | Mar 30, 2020 |
| A••••• H•••••••• A••• F••• E• L••• | Private Equity Fund | $6.7M | 2 | Mar 31, 2017 |
| A••••• H•••••••• A••• F••• B• L••• | Private Equity Fund | $5.2M | 2 | Mar 31, 2017 |
| A••••• A••• F••• I• A•••• 2• L• | Private Equity Fund | $4.4M | 18 | Mar 31, 2023 |
| A••••• A••• O••••••• M••••• F•••• L••• | Private Equity Fund | $4.0M | 23 | Mar 29, 2012 |
| A••••••••• C•••••••• I•• L• | Private Equity Fund | $1.7M | 10 | Mar 30, 2020 |
| A••••• A••• F•••• L• | Private Equity Fund | $1.5M | 37 | Mar 29, 2012 |
| A••••• A•••••••• C••••••••• L• | Private Equity Fund | $923,588 | 2 | Mar 31, 2017 |
| A••••••••• C••••••••• L• | Private Equity Fund | $51 | 6 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••••• · Chief Financial Officercontrolsince 01/2012 · owns less than 5%
- F•••••••• S••• H••••• · Directorcontrolsince 06/2022 · owns less than 5%
- L••• B•••• · General Counsel, Chief Compliance Officer And Directorcontrolsince 03/2019 · owns less than 5%
- M•••••••• P•• · Partner And Chief Risk Officercontrolsince 03/2019 · owns less than 5%
- N••••••••• R••••••• M•••••• · Directorcontrolsince 04/2022 · owns less than 5%
- O•••• K••••••• N••••• L••• · Partner And Directorcontrolsince 03/2019 · owns less than 5%
- S••••••••• K•••• W•••••• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- T•••••••• C••••• A•••• · Managing Partner, Chief Investment Officer And Directorcontrolsince 03/2019 · owns less than 5%
- T•••••••• C••••• A•••• · Membercontrolsince 02/2009 · owns 75% or more of T••••••• C•••••• L••
Entity owners
- A••••• C•••••• M••••••••• L••• · Memberdirect · owns 75% or more
- A••••• C•••••• M••••••••• G•• L•• · General Partnerindirect · owns F of A••••• C•••••• M••••••••• L•••
- M••• S••• F•••••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of M••• S••• F•••••••• S••••••••• G•• L••
- M••• S••• F•••••••• S••••••••• G•• L•• · General Partnerindirect · owns F of M••• S••• M•••••••• F•••••••• S••••••••• L•••
- M••• S••• F•••••••• S••••••••• I••••••••• V••••••• L•• · L•••••• Partnerindirect · owns 25% to 50% of M••• S••• M•••••••• F•••••••• S••••••••• L•••
- M••• S••• F••••••• A••••• C•••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of A••••• C•••••• M••••••••• G•• L••
- M••• S••• F••••••• A••••• C•••••• H•••••••• L•• · L•••••• Partnerindirect · owns 25% to 50% of A••••• C•••••• M••••••••• L•••
- M••• S••• M•••••••• F•••••••• S••••••••• L••• · Managing Memberindirect · owns 75% or more of M••• S••• F••••••• A••••• C•••••• H•••••••• L••
- M•••••••• A•••••• H••••••• I••• · Ownerindirect · owns 75% or more of M•••••••• F••• H••••••• U•• I•••
- M•••••••• A••••••• C•••• · L•••••• Partnerindirect · owns 25% to 50% of A••••• C•••••• M••••••••• L•••
- M•••••••• A••••••• C•••• · Memberindirect · owns 25% to 50% of A••••• C•••••• M••••••••• G•• L••
- M•••••••• A••••••• H••••••• P•• L••• · Ownerindirect · owns 75% or more of M•••••••• F•••••••• H••••••• •••• L••
- M•••••••• B••• P•• L•• · Ownerindirect · owns 75% or more of M•••••••• B••• L••••••
- M•••••••• B••• L•••••• · Ownerindirect · owns 75% or more of M•••••••• A••••••• H••••••• P•• L•••
- M•••••••• C•••••••• H••••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• C•••••••• I••••••••• H••••••• P•• L••••••
- M•••••••• C•••••••• I••••••••• H••••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• G•••• ••• H••••••• N••• P•• L•••
- M•••••••• E••••••• ••• H•••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• H••••••• ••••• I•••
- M•••••••• F••• H••••••• U•• I••• · Ownerindirect · owns 75% or more of M•••••••• A••••••• C••••
- M•••••••• F•••••••• H••••••• •••• L•• · Ownerindirect · owns 75% or more of M•••••••• S••••••• •••• L••
- M•••••••• F•••••••• H••••••• P•• L•••••• · Ownerindirect · owns 75% or more of M•••••••• C•••••••• H••••••• P•• L••••••
Related persons
Schedule D 7.A
- A••••• A••• A•••••••• G•• L••pooled vehicle sponsorn
- A••••• A••• M•••• S••••••• G• L••pooled vehicle sponsorn
- A••••• A••• P• F••• G•• L••pooled vehicle sponsorn
- A••••• C•••••• G• H••••••• L••pooled vehicle sponsorn
- A••••• C•••••• G• I• A•••• 2• L••pooled vehicle sponsorn
- A••••• C•••••• G• I• A•••• L••pooled vehicle sponsorn
- A••••• C•••••• G• I•• L••pooled vehicle sponsorn
- A••••• C•••••• G• I••• L•••••pooled vehicle sponsorn
- A••••• C•••••• G•• L••pooled vehicle sponsorn
- A••••• H•••••••• A••• G•• L••pooled vehicle sponsorn
- A••••• R•••••• G• L••pooled vehicle sponsorn
- A••••••••• G•• L•••••pooled vehicle sponsorn
- C••••••• P••••••• L••investment adviserbankyRAUM $211M
- M••• S••• S••••••••• L•••••broker-dealery
- M••• S••••••••• F•••••••• S••••••••• M••••••••• C••••••• L••investment advisernRAUM $8.3M
- M••• S•••• L••investment adviserbankyRAUM $2.1B
- M•••••••• C•••••• •••• I•••broker-dealern
Advisers that list A••••• C•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-12-22, no on the filing of 2026-03-31peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Private funds · 21 to 20Dec 22, 2025 to Mar 31, 2026
- Accounts · 21 to 20Dec 22, 2025 to Mar 31, 2026
- Advisory employees · 7 to 12Dec 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 21 to 20Dec 22, 2025 to Mar 31, 2026
- Assets in custody · $665M to $596MDec 22, 2025 to Mar 31, 2026
- Employees · 13 to 16Dec 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $626M to $574MDec 22, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $38.6M to $36.3MDec 22, 2025 to Mar 31, 2026
- Pension RAUM · 0.0 to unsetDec 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $665M to $610MDec 22, 2025 to Mar 31, 2026
- RAUM · $665M to $610MDec 22, 2025 to Mar 31, 2026
- Related bank · true to falseDec 22, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- HQ city · NEW YORK to ENGLEWOODMar 31, 2025 to Jul 1, 2025
- HQ state · NY to NJMar 31, 2025 to Jul 1, 2025
- Advisory employees · 11 to 7Jan 14, 2025 to Mar 31, 2025
- Assets in custody · $867M to $665MJan 14, 2025 to Mar 31, 2025
- Employees · 19 to 13Jan 14, 2025 to Mar 31, 2025
- Discretionary RAUM · $845M to $626MJan 14, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $52.3M to $38.6MJan 14, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $897M to $665MJan 14, 2025 to Mar 31, 2025
- RAUM · $897M to $665MJan 14, 2025 to Mar 31, 2025
- Related adviser · true to falseJan 14, 2025 to Mar 31, 2025
- Related broker-dealer · true to falseJan 14, 2025 to Mar 31, 2025
- Advisory employees · 8 to 11Jan 12, 2024 to Mar 28, 2024
- Assets in custody · $1.3B to $867MJan 12, 2024 to Mar 28, 2024
- Employees · 16 to 19Jan 12, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $845MJan 12, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $70.3M to $52.3MJan 12, 2024 to Mar 28, 2024
- Pension RAUM · unset to 0.0Jan 12, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $1.3B to $897MJan 12, 2024 to Mar 28, 2024
- RAUM · $1.3B to $897MJan 12, 2024 to Mar 28, 2024
- Accounts · 20 to 21Oct 25, 2022 to Mar 31, 2023
- Advisory employees · 13 to 8Oct 25, 2022 to Mar 31, 2023
- Pooled vehicle clients · 20 to 21Oct 25, 2022 to Mar 31, 2023
- Assets in custody · $1.3B to $1.3BOct 25, 2022 to Mar 31, 2023
- Employees · 22 to 16Oct 25, 2022 to Mar 31, 2023
- Private funds · 20 to 21Oct 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.2BOct 25, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $76.9M to $70.3MOct 25, 2022 to Mar 31, 2023
Signals
9 dated events
- A••••• C•••••• M••••••••• L•• reported RAUM $664.5M, down 26% from $897.0M (2025-01-14 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A••••• C•••••• M••••••••• L•• reported RAUM $897.0M, down 30% from $1.3B (2024-01-12 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Whitman Karl Schwarzfeld (Chief Operating Officer) appeared on Schedule A of A••••• C•••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Harris Sam Friedman (Director) appeared on Schedule A of A••••• C•••••• M••••••••• L••Oct 25, 2022 · Control person joined · fact
- Jon Stephen Darke (Director) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2022-06-10, absent 2022-10-25)Oct 25, 2022 · Control person left · inference
- Massaru Roberto Nishikawa (Director) appeared on Schedule A of A••••• C•••••• M••••••••• L••Jun 10, 2022 · Control person joined · fact
- Robert Kevin Greene (Director) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2022-06-10)Jun 10, 2022 · Control person left · inference
- Robert Kevin Greene (Director) appeared on Schedule A of A••••• C•••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- Herman Walter Pye (Director) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-710-8033, 212-843-8927reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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