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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Former SEC-registered adviser
A•••••• C•••••• M••••••••• L•
Latest filing Jul 31, 2024
First filing on the tape Feb 14, 2012 · 46 filings
RAUM
$9.3B
reported, Item 5.F
Discretionary
98%
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
118
64 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
43
$10B gross assets
History
46 filings and snapshots on the tape
RAUM$9.3B as of Mar 29, 2024
Mar 27, 2013$843M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 27, 20130 then
Employees (5.A)118 as of Mar 29, 2024
Mar 27, 201325 then
Private funds43 as of Mar 29, 2024
Mar 27, 201315 then
RAUM -1.4% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2024; 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
- $151MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- -1.4%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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)
- 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$9.3B100%
- Corporations and businesses$6.2M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 62reported
- 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
63 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• A•••• I••••• F••• E•••••••• L• | Private Equity Fund | $1.6B | 179 | Feb 21, 2022 |
| A•• A•••••• L• | Private Equity Fund | $939M | 4 | Mar 30, 2020 |
| A•••••• A•••• I••••• F••• E•••••••• ••••••• L• | Private Equity Fund | $511M | 15 | May 30, 2023 |
| A•••••• A•••• I••••• F••• V• L• | Private Equity Fund | $482M | 65 | Aug 25, 2020 |
| A•••••• S•••••• O••••••••• F••• V•• L• | Private Equity Fund | $416M | 39 | Feb 22, 2019 |
| A•• A•••••• I• L• | Private Equity Fund | $407M | 2 | Mar 28, 2018 |
| A•••••• A• L• | Private Equity Fund | $383M | 38 | Aug 25, 2021 |
| A•••••• A•••• I••••• F••• ••••••• V• L• | Private Equity Fund | $372M | 26 | Aug 25, 2020 |
| A•• A•••••• I•• L• | Private Equity Fund | $271M | 2 | Mar 28, 2018 |
| A•••••• A•••• I••••• F••• P••••••• 3•• L• | Private Equity Fund | $263M | 4 | May 30, 2023 |
| A•••••• S•••••• O••••••••• F••• ••••••• V•• L• | Private Equity Fund | $214M | 52 | Feb 24, 2020 |
| A•••••• H••••• I••••• F••• E•••••••• L• | Private Equity Fund | $203M | 3 | Mar 29, 2024 |
| A•••••• A• E•••••••• ••••••• L• | Private Equity Fund | $196M | 4 | May 30, 2023 |
| A•••••• N•• C•••••••• F••• L• | Private Equity Fund | $176M | 11 | Mar 29, 2024 |
| A•••••• S••••• C•••• M••••• F••• ••••••• L• | Private Equity Fund | $162M | 3 | Mar 29, 2024 |
| A•• A•• E• P• D•• S•••• P••••••• L• | Private Equity Fund | $152M | 3 | Mar 29, 2024 |
| A•••••• S•• M••••• F••• E•••••••• ••••••• L• | Private Equity Fund | $137M | 15 | Feb 21, 2022 |
| A•••••• D••••••••• O••••••••• F••• L•• | Private Equity Fund | $136M | 9 | Feb 21, 2022 |
| A•••••• C••••••••• F••• V••• L• | Private Equity Fund | $104M | 64 | Nov 23, 2021 |
| A•••••• C••••••••• R••• E••••• F••• I• L• | Real Estate Fund | $93.2M | 12 | May 28, 2020 |
| A•••••• A•• C••••••••• F••• L• | Private Equity Fund | $90.6M | 3 | Mar 29, 2024 |
| A•••••• E•••••••• L•••••• F••• I• L• | Private Equity Fund | $82.2M | 180 | Feb 22, 2019 |
| A•••••• A•• C••••••••• ••••••• F••• L• | Private Equity Fund | $50.3M | 1 | Mar 29, 2024 |
| A•••••• S•••••• O••••••••• F••• V• L• | Private Equity Fund | $47.6M | 92 | Feb 23, 2016 |
| A•••••• A• ••••••• L• | Private Equity Fund | $40.5M | 7 | Nov 23, 2021 |
| A•• A•••••• S•••••• P•••••• I••••••••• F••• I• L• | Private Equity Fund | $32.1M | 2 | Nov 23, 2021 |
| A•••••• A•••• I••••• F••• I• L• | Private Equity Fund | $30.1M | 68 | Mar 28, 2018 |
| A•• D••••• I•••••••• L••no longer reported | Private Equity Fund | $27.9M | 10 | Aug 29, 2016 |
| T•• A•••• F•••••• P••••••• L••no longer reported | Private Equity Fund | $27.1M | 4 | Feb 14, 2012 |
| A•••••• S•••••• P•••••• I••••••••• F••• I• L• | Private Equity Fund | $19.7M | 24 | May 18, 2021 |
| A•••••• S•••• S•• L••no longer reported | Private Equity Fund | $18.9M | 2 | Feb 23, 2016 |
| A•••••• S•••••• O••••••••• F••• V• L• | Private Equity Fund | $14.7M | 49 | Mar 26, 2014 |
| A•••••• A•••• I••••• F••• ••••••• I• L• | Private Equity Fund | $13.6M | 14 | May 30, 2018 |
| A•••••• S•••••• O••••••••• F••• L••no longer reported | Hedge Fund | $11.0M | 16 | Feb 14, 2012 |
| A•• G••• L••no longer reported | Private Equity Fund | $9.9M | 6 | Mar 27, 2013 |
| A•••••• S•••••• O••••••••• F••• ••••••• V• L• | Private Equity Fund | $8.3M | 16 | Feb 23, 2016 |
| A•• F•••••••• S•••••••• L•no longer reported | Private Equity Fund | $6.0M | 8 | Feb 14, 2012 |
| A•••••• C••••••••• R••• E••••• F••• I• L• | Real Estate Fund | $5.9M | 3 | Feb 27, 2023 |
| T•• A•••• F•••••• P••••••• L•• • S••••• I•no longer reported | Private Equity Fund | $4.3M | 3 | Mar 27, 2013 |
| A•••••• S•••••• O••••••••• F••• ••••••• V• L• | Private Equity Fund | $3.7M | 5 | Mar 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- A•••• D••••• P••• · Partnercontrolsince 01/2015 · owns 10% to 25%
- C••••••••• G•••••• V•••••• · Chief Financial Officercontrolsince 05/2015 · owns less than 5%
- C•••• R••••••• S• · Partnercontrolsince 05/2011 · owns 10% to 25%
- H••• S•••••• A•• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- P•••••••• D•••• C•••• · Partner, Chief Operating Officercontrolsince 05/2015 · owns 10% to 25%
- R••••••••• M••••••• N••• · Partnercontrolsince 04/2019 · owns 5% to 10%
- U•••••• J•••••• D••••• · Partnercontrolsince 01/2015 · owns 10% to 25%
- Z•••• I•••• Q•••••• · Partner, Chief Investment Officercontrolsince 05/2006 · owns 25% to 50%
- Z•••• I•••• Q•••••• · Membercontrolsince 05/2006 · owns 75% or more of A•••••• C•••••• G• L••
Entity owners
- A•••••• C•••••• G• L•• · General Partner Of The Registrantdirect · owns less than 5%
- B••• O•• C•••••• C•••• L• · Memberindirect · owns 75% or more of B••• O•• G• S••••• G• H••••••• L••
- B••• O•• C•••••• G• H••••••• L•• · Managing Memberindirect · owns 75% or more of B••• O•• C•••••• G• L••
- B••• O•• C•••••• G• L•• · General Partnerindirect · owns F of B••• O•• C•••••• C•••• L•
- B••• O•• C•••••• I••• · Managing Memberindirect · owns 75% or more of B••• O•• C•••••• G• H••••••• L•• · public reporting company
- B••• O•• G• S••••• G• H••••••• L•• · Managing Memberindirect · owns F of B••• O•• G• S••••• I• G• L••
- B••• O•• G• S••••• I• G• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• I• U• I•••••••• L•
- B••• O•• G• S••••• I• G• L•• · Managing Memberindirect · owns F of D••• U••• I• L••
- B••• O•• G• S••••• I• G• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• I• •• L•
- B••• O•• G• S••••• I• G• L•• · General Partnerindirect · owns F of B••• O•• G• S••••• I• O••••••• I•••••••• L•
- B••• O•• G• S••••• I• O••••••• I•••••••• L• · Memberindirect · owns 75% or more of D••• U••• I• L••
- B••• O•• G• S••••• I• U• I•••••••• L• · Limited Partnerindirect · owns 25% to 50% of B••• O•• G• S••••• I• •• L•
- D••• U••• I• L•• · Limited Partnerindirect · owns 50% to 75% of B••• O•• G• S••••• I• •• L•
- N••• A••••••••• L•• · Managing Memberindirect · owns F of N••• B••• I••••••••• L••
- N••• B••• I••••••••• L•• · Limited Partnerindirect · owns 25% to 50% of B••• O•• C•••••• C•••• L•
- B••• O•• G• S••••• I• •• L• · Limited Partner Of A•••••• C•••••• M••••••••• L•direct · owns 10% to 25%
Related persons
Schedule D 7.A
- A•• A•• E•••••••• P• D•• G• I••bankpooled vehicle sponsory
- A•• A•••••• G• L•bankpooled vehicle sponsory
- A•• A•••••• G• L•bankpooled vehicle sponsory
- A•• G•••••• G• L•bankpooled vehicle sponsory
- A•••••• A•••• I••••• P••••••• G• L••bankpooled vehicle sponsory
- A•••••• C•••••• A• L•bankpooled vehicle sponsory
- A•••••• C•••••• A•• C••••••••• G• L•bankpooled vehicle sponsory
- A•••••• C•••••• A••••• E•••••••• L•bankpooled vehicle sponsory
- A•••••• C•••••• A••••• I• L•bankpooled vehicle sponsory
- A•••••• C•••••• A••••• I•• L•bankpooled vehicle sponsory
- A•••••• C•••••• A••••• I• L•bankpooled vehicle sponsory
- A•••••• C•••••• A••••• P••••••• 3•• L•bankpooled vehicle sponsory
- A•••••• C•••••• A••••• V• L•bankpooled vehicle sponsory
- A•••••• C•••••• C••••••••• V••• G• L••bankpooled vehicle sponsorn
- A•••••• C•••••• D••••••••• L••bankpooled vehicle sponsory
- A•••••• C•••••• F••• G• L••bankpooled vehicle sponsory
- A•••••• C•••••• I••••••••• L•pooled vehicle sponsory
- A•••••• C•••••• L•••••• E•••••••• G• L•bankpooled vehicle sponsory
- A•••••• C•••••• L•••••• I• L•bankpooled vehicle sponsory
- A•••••• C•••••• S••••••••• G• L•bankpooled vehicle sponsory
- A•••••• C•••••• V• L••bankpooled vehicle sponsory
- A•••••• C•••••• V•• L••bankpooled vehicle sponsory
- A•••••• C•••••• V• L••bankpooled vehicle sponsory
- A•••••• C•••••• V•• L••bankpooled vehicle sponsory
- A•••••• C•••••• V••• L•bankpooled vehicle sponsory
- A•••••• C•••••• V••••• L•bankpooled vehicle sponsory
- A•••••• C••••••••• R••• E••••• I• L•bankpooled vehicle sponsory
- A•••••• C••••••••• R••• E••••• L•bankpooled vehicle sponsory
- A•••••• H••••• I••••• F••• E•••••••• G• L•bankpooled vehicle sponsory
- A•••••• N•• G• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX7 employees
What changed
consecutive filings, newest first
- Accounts · 53 to 62Jul 19, 2023 to Mar 29, 2024
- Advisory employees · 41 to 64Jul 19, 2023 to Mar 29, 2024
- Pooled vehicle clients · 52 to 61Jul 19, 2023 to Mar 29, 2024
- Employees · 78 to 118Jul 19, 2023 to Mar 29, 2024
- Private funds · 41 to 43Jul 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $9.3B to $9.1BJul 19, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $223M to $227MJul 19, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $9.4B to $9.3BJul 19, 2023 to Mar 29, 2024
- RAUM · $9.5B to $9.3BJul 19, 2023 to Mar 29, 2024
- Private funds · 38 to 39Mar 31, 2023 to May 30, 2023
- Private funds · 39 to 41May 30, 2023 to May 30, 2023
- Accounts · 50 to 53Feb 27, 2023 to Mar 31, 2023
- Pooled vehicle clients · 48 to 52Feb 27, 2023 to Mar 31, 2023
- Other offices · 0 to 1Feb 27, 2023 to Mar 31, 2023
- Private funds · 39 to 38Feb 27, 2023 to Mar 31, 2023
- Discretionary RAUM · $7.5B to $9.3BFeb 27, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $324M to $223MFeb 27, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $7.7B to $9.4BFeb 27, 2023 to Mar 31, 2023
- RAUM · $7.8B to $9.5BFeb 27, 2023 to Mar 31, 2023
- Private funds · 38 to 39Aug 22, 2022 to Feb 27, 2023
- Private funds · 37 to 38May 25, 2022 to Aug 22, 2022
- Accounts · 38 to 50Feb 21, 2022 to Mar 31, 2022
- Advisory employees · 33 to 41Feb 21, 2022 to Mar 31, 2022
- Pooled vehicle clients · 36 to 48Feb 21, 2022 to Mar 31, 2022
- Employees · 62 to 78Feb 21, 2022 to Mar 31, 2022
- Private funds · 42 to 37Feb 21, 2022 to Mar 31, 2022
- Discretionary RAUM · $5.7B to $7.5BFeb 21, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $230M to $324MFeb 21, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $5.8B to $7.7BFeb 21, 2022 to Mar 31, 2022
- RAUM · $5.9B to $7.8BFeb 21, 2022 to Mar 31, 2022
- Private funds · 37 to 42Nov 23, 2021 to Feb 21, 2022
- Private funds · 34 to 37Aug 25, 2021 to Nov 23, 2021
- Private funds · 33 to 34May 18, 2021 to Aug 25, 2021
- Private funds · 32 to 33Mar 31, 2021 to May 18, 2021
- Accounts · 32 to 38Aug 25, 2020 to Mar 31, 2021
- Advisory employees · 29 to 33Aug 25, 2020 to Mar 31, 2021
- Corporate clients · unset to 1.0Aug 25, 2020 to Mar 31, 2021
- Pooled vehicle clients · 31 to 36Aug 25, 2020 to Mar 31, 2021
- Employees · 57 to 62Aug 25, 2020 to Mar 31, 2021
- Private funds · 33 to 32Aug 25, 2020 to Mar 31, 2021
Signals
7 dated events
- Ali Sabina Haq (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• M••••••••• L•Jul 19, 2023 · Control person joined · fact
- A•••••• C•••••• M••••••••• L• reported RAUM $7.8B, up 32% from $5.9B (2022-02-21 to 2022-03-31)Mar 31, 2022 · ria raum c•••ge · derived
- A•••••• C•••••• M••••••••• L• reported RAUM $5.4B, up 47% from $3.7B (2019-03-13 to 2019-05-28)May 28, 2019 · ria raum c•••ge · derived
- Noah Matthew Rothfleisch (Partner) appeared on Schedule A of A•••••• C•••••• M••••••••• L•May 28, 2019 · Control person joined · fact
- A•••••• C•••••• M••••••••• L• reported RAUM $3.7B, up 40% from $2.6B (2019-02-22 to 2019-03-13)Mar 13, 2019 · ria raum c•••ge · derived
- Mason Robert Flowers (Partner) no longer on Schedule A of A•••••• C•••••• M••••••••• L• (listed 2019-02-22, absent 2019-03-13)Mar 13, 2019 · Control person left · inference
- David Adam Nadborny (General Counsel And Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• M••••••••• L• (listed 2019-02-22, absent 2019-03-13)Mar 13, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A•••••• C•••••• M••••••••• L• · Private Equityshared 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
Across the graphs
A•••••• C•••••• M••••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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