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•••• R••••••• C•••••• M••••••••• L•
Latest filing Apr 1, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Jul 6, 2011
RAUM
$90.8M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$90.8M as of Apr 1, 2026
Mar 30, 2012$507M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Apr 1, 2026
Mar 14, 20138 then
Private funds2 as of Apr 1, 2026
Mar 30, 20123 then
RAUM -48% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; 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
- $45.4MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -48%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
- $52.3M, 2 clientsreportedItem 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
- 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)
- 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$90.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.3M for 2 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• R••••••• C•••••• F••• L•••no longer reported | Private Equity Fund | $178M | 53 | Mar 30, 2012 |
| A•••• R••••••• C•••••• F••• I• L••• | Private Equity Fund | $167M | 117 | Mar 30, 2012 |
| A•••• R••••••• C•••••• F••• I• ••••••• L••• | Private Equity Fund | $9.5M | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• A•••••• · Director, Shareholder, A•••• R••••••• C•••••• G• I• L•••controlsince 11/2010 · owns 75% or more
- W••••• P••••••• T••••• · Chief Operating Officer, General Counsel And Chief Compliance Officer, A•••• R••••••• C•••••• M••••••••• L•controlsince 09/2009 · owns less than 5%
- A•••••••• D•••••• W••••• · Limited Partnercontrolsince 04/2005 · owns 50% to 75% of O•••••• H•••••• I• L•••
- A•••••••• D•••••• W••••• · Managing Membercontrolsince 02/2009 · owns 75% or more of O•••••• H•••••• I•• L••
- A•••••••• D•••••• W••••• · Sole Shareholdercontrolsince 04/2005 · owns 75% or more of O•••••• M••••••••• I•••
- A••••• J••••• A•••••• · Managing Membercontrolsince 10/2007 · owns 75% or more of A•••• R••••••• C•••••• G• L••
Entity owners
- A•••• R••••••• C•••••• G• L•• · General Partner, A•••• R••••••• Capital Management LPdirect · owns 75% or more
- O•••••• H•••••• I• L••• · Managing Memberindirect · owns 75% or more of O•••••• M••••••••• L••
- O•••••• H•••••• I•• L•• · Managing Memberindirect · owns 75% or more of O•••••• G•••• I• L••
- O•••••• M••••••••• I••• · General Partnerindirect · owns F of O•••••• H•••••• I• L•••
- O•••••• G•••• I• L•• · Shareholder, A•••• R••••••• C•••••• G• I• L•••direct · owns 5% to 10%
- O•••••• M••••••••• L•• · Partner, A•••• R••••••• Capital Managment LPdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- A•••• R••••••• C•••••• G• I• L•••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $167M to $52.3MMar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $174M to $90.8MMar 31, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $174M to $90.8MMar 31, 2025 to Apr 1, 2026
- RAUM · $174M to $90.8MMar 31, 2025 to Apr 1, 2026
- Assets in custody · $177M to $167MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $177M to $174MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $177M to $174MMar 28, 2024 to Mar 31, 2025
- RAUM · $177M to $174MMar 28, 2024 to Mar 31, 2025
- Assets in custody · $263M to $177MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $263M to $177MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $263M to $177MMar 31, 2023 to Mar 28, 2024
- RAUM · $263M to $177MMar 31, 2023 to Mar 28, 2024
- Assets in custody · $422M to $263MNov 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $429M to $263MNov 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $429M to $263MNov 30, 2022 to Mar 31, 2023
- RAUM · $429M to $263MNov 30, 2022 to Mar 31, 2023
- Accounts · 3 to 2Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 2Mar 29, 2021 to Mar 31, 2022
- Assets in custody · $750M to $422MMar 29, 2021 to Mar 31, 2022
- Employees · 9 to 8Mar 29, 2021 to Mar 31, 2022
- Other offices · 1 to 0Mar 29, 2021 to Mar 31, 2022
- Private funds · 3 to 2Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $757M to $429MMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $757M to $429MMar 29, 2021 to Mar 31, 2022
- RAUM · $757M to $429MMar 29, 2021 to Mar 31, 2022
- Assets in custody · $533M to $750MMar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $541M to $757MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $541M to $757MMar 30, 2020 to Mar 29, 2021
- RAUM · $541M to $757MMar 30, 2020 to Mar 29, 2021
- Assets in custody · $920M to $533MOct 7, 2019 to Mar 30, 2020
- Other offices · 2 to 1Oct 7, 2019 to Mar 30, 2020
- Discretionary RAUM · $974M to $541MOct 7, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $974M to $541MOct 7, 2019 to Mar 30, 2020
- RAUM · $974M to $541MOct 7, 2019 to Mar 30, 2020
- HQ city · NEW YORK to MIAMIMar 29, 2019 to Oct 7, 2019
- HQ state · NY to FLMar 29, 2019 to Oct 7, 2019
- Assets in custody · $699M to $920MJul 6, 2018 to Mar 29, 2019
- Discretionary RAUM · $764M to $974MJul 6, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $764M to $974MJul 6, 2018 to Mar 29, 2019
Signals
6 dated events
- A•••• R••••••• C•••••• M••••••••• L• reported RAUM $263.4M, down 39% from $429.1M (2022-11-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••• R••••••• C•••••• M••••••••• L• reported RAUM $429.1M, down 43% from $757.1M (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A•••• R••••••• C•••••• M••••••••• L• reported RAUM $757.1M, up 40% from $541.0M (2020-03-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- A•••• R••••••• C•••••• M••••••••• L• reported RAUM $541.0M, down 44% from $973.6M (2019-10-07 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- A•••• R••••••• C•••••• M••••••••• L• reported RAUM $973.6M, up 27% from $764.2M (2018-07-06 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- A•••• R••••••• C•••••• M••••••••• L• reported RAUM $764.2M, up 76% from $434.0M (2017-03-31 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••• R••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- A•••• R••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-913-5402reportedpublic record, Form ADV, Apr 1, 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