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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A••••••• C•••••• P••••••• L••
Latest filing Jun 21, 2019
First filing on the tape Feb 13, 2012 · 11 filings
RAUM
$288M
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
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$285M gross assets
History
11 filings and snapshots on the tape
RAUM$288M as of Mar 29, 2019
Mar 20, 2013$704M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 20, 20130 then
Employees (5.A)9 as of Mar 29, 2019
Mar 20, 201316 then
Private funds5 as of Mar 29, 2019
Mar 20, 20135 then
RAUM -72% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 2019; 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
- $41.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -72%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$288M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• F•• C••••••• L•no longer reported | Private Equity Fund | $3.3M | 1 | Feb 13, 2012 |
| A••••••• C•••••• P••••••• F••• I• A•• L• | Private Equity Fund | $156,293 | 10 | Feb 13, 2012 |
| A••••••• C•••••• P••••••• F••• I• L• | Private Equity Fund | $142 | 10 | Feb 13, 2012 |
| A••••••• C•••••• P••••••• F••• I• A•• O••••••• L•••no longer reported | Private Equity Fund | $0 | 10 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••• T••••• · Managing Partnercontrolsince 06/2009 · owns 75% or more
- C••••• J••••• E••••• · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- M••••• S•••• · Chief Financial Officercontrolsince 03/2017 · owns less than 5%
Related persons
Schedule D 7.A
- 5• S•••• G• L•pooled vehicle sponsorn
- A••••••• C•••••• P••••••• A•• I• G• L•pooled vehicle sponsorn
- A••••••• C•••••• P••••••• I• G• L•pooled vehicle sponsorn
- A••••••• V••••••• G• I• L•pooled vehicle sponsorn
- A••••••• V••••••• G• L•pooled vehicle sponsorn
- C••••• T•••••••••investment adviserbanknRAUM $28.3M
- K••••• F••• G• L••pooled vehicle sponsorn
Advisers that list A••••••• C•••••• P••••••• L•• as a related person
- 299437 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 7Oct 24, 2018 to Mar 29, 2019
- Advisory employees · 6 to 5Oct 24, 2018 to Mar 29, 2019
- Pooled vehicle clients · 12 to 7Oct 24, 2018 to Mar 29, 2019
- Employees · 11 to 9Oct 24, 2018 to Mar 29, 2019
- Private funds · 7 to 5Oct 24, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.0B to $288MOct 24, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.0B to $288MOct 24, 2018 to Mar 29, 2019
- RAUM · $1.0B to $288MOct 24, 2018 to Mar 29, 2019
- Related adviser · false to trueOct 24, 2018 to Mar 29, 2019
- Related bank · false to trueOct 24, 2018 to Mar 29, 2019
- Accounts · 9 to 12Mar 30, 2018 to Oct 24, 2018
- Pooled vehicle clients · 5 to 12Mar 30, 2018 to Oct 24, 2018
- Assets in custody · $343M to $0Mar 30, 2018 to Oct 24, 2018
- Custody of client assets · true to falseMar 30, 2018 to Oct 24, 2018
- Employees · 12 to 11Mar 30, 2018 to Oct 24, 2018
- Private funds · 6 to 7Mar 30, 2018 to Oct 24, 2018
- Discretionary RAUM · $1.0B to $1.0BMar 30, 2018 to Oct 24, 2018
- Pooled vehicle RAUM · $1.0B to $1.0BMar 30, 2018 to Oct 24, 2018
- RAUM · $1.0B to $1.0BMar 30, 2018 to Oct 24, 2018
- Related adviser · true to falseMar 30, 2018 to Oct 24, 2018
- Accounts · 10 to 9Mar 31, 2017 to Mar 30, 2018
- Advisory employees · 9 to 6Mar 31, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 5.0Mar 31, 2017 to Mar 30, 2018
- Assets in custody · $374M to $343MMar 31, 2017 to Mar 30, 2018
- Employees · 15 to 12Mar 31, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Mar 31, 2017 to Mar 30, 2018
- Private funds · 7 to 6Mar 31, 2017 to Mar 30, 2018
- Discretionary RAUM · $1.1B to $1.0BMar 31, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 1036480000.0Mar 31, 2017 to Mar 30, 2018
- RAUM · $1.1B to $1.0BMar 31, 2017 to Mar 30, 2018
- Advisory employees · 16 to 9Mar 30, 2016 to Mar 31, 2017
- Assets in custody · $404M to $374MMar 30, 2016 to Mar 31, 2017
- Employees · 23 to 15Mar 30, 2016 to Mar 31, 2017
- HQ city · NEW YORK to GREENWICHMar 30, 2016 to Mar 31, 2017
- HQ state · NY to CTMar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $1.1B to $1.1BMar 30, 2016 to Mar 31, 2017
- RAUM · $1.1B to $1.1BMar 30, 2016 to Mar 31, 2017
- Accounts · 9 to 10Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 12 to 16Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $439M to $404MMar 31, 2015 to Mar 30, 2016
Signals
2 dated events
- Andrew Grapkowski (Managing Director) no longer on Schedule A of A••••••• C•••••• P••••••• L•• (listed 2019-03-29, absent 2019-06-21)Jun 21, 2019 · Control person left · inference
- A••••••• C•••••• P••••••• L•• reported RAUM $287.7M, down 72% from $1.0B (2018-10-24 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••••• C•••••• P••••••• L•• · Private Equityshared crd · organization
- A••••••• C•••••• P••••••• L•• · Venture Capitalshared crd · organization
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