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•••••• P•••••••
Wealth manager with institutional or fund businessNew York, New YorkCRD 156290SEC 801-72164websiteIAPD
Legal name A•••••• P••••••• C•••••• M••••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Dec 19, 2011 · 30 filings
SEC status approved since Feb 22, 2011
RAUM
$1.3B
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
34%
$424M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.3B as of Apr 28, 2026
Mar 30, 2012$577M then
HNW client RAUM$424M as of Apr 28, 2026
Mar 19, 2018$284M then
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 30, 20120 then
Employees (5.A)12 as of Apr 28, 2026
Mar 27, 201313 then
Private funds6 as of Apr 28, 2026
Mar 30, 20121 then
RAUM +61% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $38.5MderivedHNW RAUM over HNW clients
- Average account
- $62.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 12%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
- +61%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $678M, 7 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)
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$576M46%
- High-net-worth individuals$424M34%
- Charitable organizations$151M12%
- Other investment advisers$100M8.0%
- Individual clients
- n/areported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 20reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $678M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.34 fund_share=0.54 institutional_share=0.12 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• P••••••• S•••••• O••••••••• F••• I•• L• | Other Private Fund | $230M | 69 | Mar 25, 2014 |
| A•••••• P••••••• Q•• L• | Hedge Fund | $198M | 28 | Mar 30, 2012 |
| A••• O••••••••• F•••• L• | Other Private Fund | $103M | 2 | Mar 31, 2020 |
| A•••••• G••••• F••••••••• F•••• L••• | Hedge Fund | $61.0M | 10 | Mar 31, 2021 |
| A• B•• S••• L• | $51.1M | 15 | Apr 28, 2026 | |
| A•••••• P••••••• S•••••• O••••••••• F••• I• L• | Other Private Fund | $35.3M | 22 | Mar 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••••••• B•••••• · Partnercontrolsince 07/2010 · owns 10% to 25%
- I••••• P•••• J••••• · President And Managing Member Of Broken Clock Mangement, L.L.C.controlsince 04/2001 · owns 50% to 75%
- L••••• R•••• B••••••• · Director Of Research And Partnercontrolsince 01/2010 · owns 10% to 25%
- M•••••• J•••••• N•••• · Chief Operating Officer, Chief Compliance Officer, Secretary And Partnercontrolsince 12/2009 · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $778,600,000 to $1,250,700,000 (+61.0%) between the annual amendments of 2025-04-24 and 2026-04-28; the peer median change was +17.0% (1298 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 95% percentile
- discretionary share shiftChange between filings · filing Apr 28, 2026discretionary share of RAUM moved from 100.0% to 71.0% between the annual amendments of 2025-04-24 and 2026-04-28peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Assets in custody · $366M to $678MApr 24, 2025 to Feb 23, 2026
- Discretionary RAUM · $779M to $886MApr 24, 2025 to Feb 23, 2026
- HNW RAUM · $329M to $424MApr 24, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $0 to $365MApr 24, 2025 to Feb 23, 2026
- Pooled vehicle RAUM · $309M to $576MApr 24, 2025 to Feb 23, 2026
- RAUM · $779M to $1.3BApr 24, 2025 to Feb 23, 2026
- Accounts · 22 to 20May 8, 2024 to Apr 24, 2025
- HNW clients · 13 to 11May 8, 2024 to Apr 24, 2025
- Pooled vehicle clients · 5 to 6May 8, 2024 to Apr 24, 2025
- Assets in custody · $345M to $366MMay 8, 2024 to Apr 24, 2025
- Financial planning clients · 0 to 0May 8, 2024 to Apr 24, 2025
- Private funds · 5 to 6May 8, 2024 to Apr 24, 2025
- Discretionary RAUM · $426M to $779MMay 8, 2024 to Apr 24, 2025
- HNW RAUM · $266M to $329MMay 8, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $266M to $0May 8, 2024 to Apr 24, 2025
- Pooled vehicle RAUM · $289M to $309MMay 8, 2024 to Apr 24, 2025
- RAUM · $692M to $779MMay 8, 2024 to Apr 24, 2025
- HNW clients · 11 to 13May 12, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 5May 12, 2023 to Mar 27, 2024
- Assets in custody · $345M to $345MMay 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $734M to $426MMay 12, 2023 to Mar 27, 2024
- HNW RAUM · $287M to $266MMay 12, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $0 to $266MMay 12, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $293M to $289MMay 12, 2023 to Mar 27, 2024
- RAUM · $734M to $692MMay 12, 2023 to Mar 27, 2024
- Accounts · 19 to 22May 24, 2022 to Mar 22, 2023
- HNW clients · 10 to 11May 24, 2022 to Mar 22, 2023
- Assets in custody · $534M to $345MMay 24, 2022 to Mar 22, 2023
- Discretionary RAUM · $958M to $734MMay 24, 2022 to Mar 22, 2023
- HNW RAUM · $345M to $287MMay 24, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $431M to $293MMay 24, 2022 to Mar 22, 2023
- RAUM · $958M to $734MMay 24, 2022 to Mar 22, 2023
- Accounts · 21 to 19May 5, 2021 to Mar 22, 2022
- HNW clients · 11 to 10May 5, 2021 to Mar 22, 2022
- Discretionary RAUM · $971M to $958MMay 5, 2021 to Mar 22, 2022
- HNW RAUM · $306M to $345MMay 5, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $446M to $431MMay 5, 2021 to Mar 22, 2022
- RAUM · $971M to $958MMay 5, 2021 to Mar 22, 2022
- Accounts · 19 to 21May 6, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 6May 6, 2020 to Mar 31, 2021
Signals
1 dated events
- A•••••• P••••••• reported RAUM $1.3B, up 61% from $778.6M (2025-04-24 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
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
- Business phone
- 212-650-4660reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A••••••PARTNERS.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-650-4660reportedpublic record, Form ADV, Apr 28, 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
- Wealth manager with institutional or fund businessderiveda 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