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 28, 2012 · 37 filings
SEC status approved since Jan 10, 2011
RAUM
$30B
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
3,564
912 advisory (5.B.1)
Offices
28
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$30B as of Mar 31, 2026
Mar 28, 2012$437M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20120 then
Employees (5.A)3,564 as of Mar 31, 2026
Mar 28, 2013634 then
Private funds: no history
RAUM +60% over the last fiscal year+70% a year over threeIARs 0 to 0offices 26 to 28
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $3.7BderivedRAUM 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
- unknownderived29 offices incl. principal (1.F.5)
- RAUM growth, one year
- +60%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 investment companiesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$809M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=571.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• W••••••• A• · Chief Legal Officercontrolsince 05/2023 · owns less than 5%
- K••••• M•••••• B•••••• · Chief Financial Officer Of A••••• G••••• M••••••••• I•••controlsince 01/2022 · owns less than 5%
- K•••••••• S••••• M••••• · Co-President Of A••••• A•••• M••••••••• I•••controlsince 01/2022 · owns less than 5%
- L•••• Y•••• K•••• · Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- R••••• M•••• J•••••• · Chief Executive Officer Of A••••• G••••• M••••••••• I•••controlsince 01/2022 · owns less than 5%
- Z•••••• J••••• C•••••• · Co-President Of A••••• A•••• M••••••••• I•••controlsince 01/2022 · owns less than 5%
Entity owners
- A••••• C•••••• C••••• M••••••••• L•• · Sole Memberdirect · owns 75% or more
- A•• H••••••• ••••••••• L••• · Limited Partnerindirect · owns 75% or more of A••••• M••••••••• H•••••••• L•••
- A•• H••••••• G•• L••• · General Partnerindirect · owns F of A•• H••••••• ••••••••• L•••
- A•• C•••• · Sole Shareholderindirect · owns 75% or more of A•• H••••••• G•• L•••
- A•• C•••• · Limited Partnerindirect · owns 50% to 75% of A•• H••••••• ••••••••• L•••
- A•• C•••• · Sole Memberindirect · owns 75% or more of A••••• M•••••••• H••••••• G•• L••
- A••••• A•••• M••••••••• I••• · Limited Partnerindirect · owns 25% to 50% of A•• H••••••• ••••••••• L••• · public reporting company
- A••••• A•••• M••••••••• I••• · Sole Shareholderindirect · owns 75% or more of A•• C••••
- A••••• C•••••• M••••••••• G•• L•• · General Partnerindirect · owns F of A••••• C•••••• M••••••••• L•••
- A••••• C•••••• M••••••••• L••• · Sole Memberindirect · owns 75% or more of A••••• C•••••• C••••• M••••••••• L••
- A••••• G••••• M••••••••• I••• · Sole Shareholderindirect · owns 75% or more of A••••• A•••• M••••••••• I•••
- A••••• M••••••••• H•••••••• L••• · Managing Memberindirect · owns 75% or more of A••••• C•••••• M••••••••• G•• L••
- A••••• M••••••••• H•••••••• L••• · Limited Partnerindirect · owns 75% or more of A••••• C•••••• M••••••••• L•••
- A••••• M•••••••• H••••••• G•• L•• · General Partnerindirect · owns F of A••••• M••••••••• H•••••••• L•••
Related persons
Schedule D 7.A
- A••••• C•••••• C••••• A••••••• L••investment advisernRAUM $2.4B
- A••••• C•••••• M••••••••• L•••investment adviserbanknRAUM $718B
- A••••• G••••• R••• E••••• M••••••••• L•••investment adviserbanknRAUM $24B
- A••••• G••••• S••••••••• L••broker-dealern
- A••••• I••••••••• M••••••••• L•••investment adviserbanknRAUM $3.3B
- A••••• M••••••••• L•••investment adviserbanknRAUM $90B
- A••••• M••••••• L••investment advisernRAUM $3.6B
- A••••• R••• E••••• F••• A••••••• L••investment advisernRAUM $4.3B
- A••••• S• R•• M••••••••• L•••investment adviserbanknRAUM $424M
- A••• M••••••••• L••investment advisernRAUM $2.1B
- G•••••• C•••••• S••••••••• L••broker-dealern
Advisers that list A••••• C••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Goregaon East, Mumbai, India577 employees
- New York, NY431 employees
- London, United Kingdom360 employees
- El Segundo, CA221 employees
- Greenwich, CT108 employees
- Singapore, Singapore40 employees
- Hong Kong, Hong Kong29 employees
- Irvine, CA24 employees
- Miami, FL23 employees
- Phoenix, AZ22 employees
- Woodland Hills, CA21 employees
- Los Angeles, CA17 employees
- Tokyo, Japan17 employees
- Bkc, Bandra (East), Maharashtra, India17 employees
- West Des Moines, IA10 employees
- Sydney, Australia9 employees
- Bethesda, MD9 employees
- Houston, TX9 employees
- Carlsbad, CA7 employees
- Amsterdam, Netherlands6 employees
- Palm Beach, FL6 employees
- Gurugram, India5 employees
- Milan, Italy4 employees
- Orlando, FL3 employees
- Abu Dhabi, United Arab Emirates2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $18,714,173,897 to $29,972,497,373 (+60.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 92.0th percentile of changes)peers: ASSET_M••••••, $20B and over (470) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 8Sep 2, 2025 to Mar 31, 2026
- Advisory employees · 842 to 912Sep 2, 2025 to Mar 31, 2026
- BD registered reps · 336 to 571Sep 2, 2025 to Mar 31, 2026
- Employees · 3,126 to 3,564Sep 2, 2025 to Mar 31, 2026
- Other offices · 26 to 28Sep 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $19B to $30BSep 2, 2025 to Mar 31, 2026
- RAUM · $19B to $30BSep 2, 2025 to Mar 31, 2026
- Accounts · 6 to 5Jan 22, 2025 to Mar 31, 2025
- Advisory employees · 774 to 842Jan 22, 2025 to Mar 31, 2025
- BD registered reps · 397 to 336Jan 22, 2025 to Mar 31, 2025
- Employees · 2,909 to 3,126Jan 22, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 22, 2025 to Mar 31, 2025
- Discretionary RAUM · $8.6B to $19BJan 22, 2025 to Mar 31, 2025
- RAUM · $8.6B to $19BJan 22, 2025 to Mar 31, 2025
- Advisory employees · 2,540 to 774Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 384 to 397Mar 31, 2023 to Mar 28, 2024
- Employees · 2,540 to 2,909Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $6.1B to $8.6BMar 31, 2023 to Mar 28, 2024
- RAUM · $6.1B to $8.6BMar 31, 2023 to Mar 28, 2024
- Accounts · 5 to 6May 25, 2022 to Mar 31, 2023
- Advisory employees · 2,273 to 2,540May 25, 2022 to Mar 31, 2023
- BD registered reps · 340 to 384May 25, 2022 to Mar 31, 2023
- Employees · 2,273 to 2,540May 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $850M to $6.1BMay 25, 2022 to Mar 31, 2023
- RAUM · $850M to $6.1BMay 25, 2022 to Mar 31, 2023
- Advisory employees · 2,153 to 2,273Mar 31, 2022 to May 25, 2022
- BD registered reps · 269 to 340Mar 31, 2022 to May 25, 2022
- Employees · 2,153 to 2,273Mar 31, 2022 to May 25, 2022
- Other offices · 24 to 26Mar 31, 2022 to May 25, 2022
- Accounts · 6 to 5Jan 12, 2022 to Mar 31, 2022
- Advisory employees · 557 to 2,153Jan 12, 2022 to Mar 31, 2022
- BD registered reps · 205 to 269Jan 12, 2022 to Mar 31, 2022
- Employees · 1,554 to 2,153Jan 12, 2022 to Mar 31, 2022
- Other offices · 12 to 24Jan 12, 2022 to Mar 31, 2022
- Discretionary RAUM · $947M to $850MJan 12, 2022 to Mar 31, 2022
- RAUM · $947M to $850MJan 12, 2022 to Mar 31, 2022
- Accounts · 5 to 6Jan 14, 2021 to Mar 31, 2021
- Advisory employees · 472 to 557Jan 14, 2021 to Mar 31, 2021
- BD registered reps · 189 to 205Jan 14, 2021 to Mar 31, 2021
- Employees · 1,250 to 1,554Jan 14, 2021 to Mar 31, 2021
Signals
17 dated events
- A••••• C••••• M••••••••• L•• reported RAUM $30.0B, up 60% from $18.7B (2025-09-02 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••••• C••••• M••••••••• L•• reported RAUM $18.7B, up 117% from $8.6B (2025-01-22 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A Whitney Chatterjee (Chief Legal Officer) appeared on Schedule A of A••••• C••••• M••••••••• L••May 10, 2024 · Control person joined · fact
- Mark Anthony Civale (Chief Operating Officer Of A••••• A•••• M••••••••• I•••) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2024-04-29, absent 2024-05-10)May 10, 2024 · Control person left · inference
- Joseph John Suydam (Chief Legal Officer) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2024-04-29, absent 2024-05-10)May 10, 2024 · Control person left · inference
- A••••• C••••• M••••••••• L•• reported RAUM $8.6B, up 42% from $6.1B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A••••• C••••• M••••••••• L•• reported RAUM $6.1B, up 615% from $850.4M (2022-05-25 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A••••• C••••• M••••••••• L•• reported 24 offices beyond its principal office, up from 12 (2022-01-12 to 2022-03-31)Mar 31, 2022 · Office count change · derived
- David Leon Black (Shareholder) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2021-07-16, absent 2022-01-12)Jan 12, 2022 · Control person left · inference
- Jordan Joshua Harris (Shareholder) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2021-07-16, absent 2022-01-12)Jan 12, 2022 · Control person left · inference
- Lynn Jessica Lomm (Vice President And Chief Compliance Officer) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2021-03-31, absent 2021-06-09)Jun 9, 2021 · Control person left · inference
- Kenan Yael Levy (Chief Compliance Officer And Vice President) appeared on Schedule A of A••••• C••••• M••••••••• L••Jun 9, 2021 · Control person joined · fact
- A••••• C••••• M••••••••• L•• reported 12 offices beyond its principal office, up from 1 (2021-01-14 to 2021-03-31)Mar 31, 2021 · Office count change · derived
- Zee Cindy Michel (Vice President And Chief Compliance Officer) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2019-03-29, absent 2020-01-06)Jan 6, 2020 · Control person left · inference
- Lynn Jessica Lomm (Vice President And Chief Compliance Officer) appeared on Schedule A of A••••• C••••• M••••••••• L••Jan 6, 2020 · Control person joined · fact
- Anthony Joseph Moroney (Vice President) no longer on Schedule A of A••••• C••••• M••••••••• L•• (listed 2019-03-15, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Martin Scott Kleinman (Co-President Of Apollo Global Management, Llc) appeared on Schedule A of A••••• C••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- apollo.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-515-3200reportedpublic 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