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••••••• U•• L••
Latest filing Jun 29, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 30, 2012
RAUM
$768M
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
133
86 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$768M as of Jun 29, 2026
Jul 3, 2012$2.2B then
HNW client RAUM$0 as of Jun 29, 2026
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 27, 20130 then
Employees (5.A)133 as of Jun 29, 2026
Jun 27, 201357 then
Private funds3 as of Jun 29, 2026
Jul 3, 201213 then
RAUM +792% over the last fiscal year+107% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $154MderivedRAUM 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
- +4.0%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, otherreportedItem 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
- 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)
- 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$768M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• E••••• F••• I••• L•••no longer reported | Private Equity Fund | $157M | 46 | Feb 14, 2012 |
| A••• U• V••• L••• | Private Equity Fund | $89.6M | 58 | Feb 14, 2012 |
| A•• E•••••••• V• L•••no longer reported | Venture Capital Fund | $8.5M | 45 | Feb 14, 2012 |
| S•• E••••• F••• I•• L•••no longer reported | Private Equity Fund | $7.0M | 15 | Feb 14, 2012 |
| A•• E•••••••• I•• L•••no longer reported | Venture Capital Fund | $4.4M | 26 | Feb 14, 2012 |
| T•• P•• F•••• L•••no longer reported | Venture Capital Fund | $1.3M | 4 | Feb 14, 2012 |
| A•• E•••••••• I••••••••• L•••no longer reported | Venture Capital Fund | $726,892 | 8 | Feb 14, 2012 |
| P••••••• P•••••• I••••••••• C••• I•• L•••no longer reported | Venture Capital Fund | $166,193 | 37 | Feb 14, 2012 |
| P••••••• P•••••• I••••••••• C•••• L•••no longer reported | Venture Capital Fund | $70,906 | 31 | Feb 14, 2012 |
| A••• E•••••••• V•• L•••no longer reported | Venture Capital Fund | $0 | 80 | Feb 14, 2012 |
| P••••••• P•••••• I••••••••• C••• I••• L•••no longer reported | Venture Capital Fund | $0 | 103 | Feb 14, 2012 |
| A••• E•••••••• V••• C•••no longer reported | Venture Capital Fund | $0 | 2 | Feb 14, 2012 |
| A••• E•••••••• V••• C•••no longer reported | Venture Capital Fund | $0 | 2 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• S••••• B•••••• · General Counselcontrolsince 04/2011 · owns less than 5%
- G••••• R••• · Coocontrolsince 07/2012 · owns less than 5%
- P••••• B••••• · Global Head Of Finance/Cfocontrolsince 04/2021 · owns less than 5%
- S•••••••• A•••••• P••• · Investment Committee Membercontrolsince 01/2014 · owns less than 5%
- T•••••• M•••••••• L••• · Ceocontrolsince 04/2021 · owns less than 5%
- B••••••• S••••• M••• · Chief Compliance Officersince 02/2015 · owns less than 5%
- M••••••••• R•• · Partner/Investment Committee Membersince 02/2016 · owns less than 5%
- N•••••• S•••• · Investment Committee Membersince 01/2005 · owns less than 5%
Entity owners
- A••• P••••••• I••• · Memberdirect · owns 75% or more
- A••• P••••••• L•• · Shareholderindirect · owns 75% or more of A••• P••••••• U• H••••••• L•••
- A••• P••••••• U• H••••••• L••• · Shareholderindirect · owns 75% or more of A••• P••••••• I•••
Related persons
Schedule D 7.A
- A••• P••••••• L••investment adviserbanky
- A••• P••••••• W•••••••• H•••••••• L••investment advisern
- A••• U• V•• G•• L•••investment adviserpooled vehicle sponsorn
- A••• U• V•• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 5Jun 28, 2025 to Jun 29, 2026
- Advisory employees · 89 to 86Jun 28, 2025 to Jun 29, 2026
- Pooled vehicle clients · 2 to 5Jun 28, 2025 to Jun 29, 2026
- Employees · 137 to 133Jun 28, 2025 to Jun 29, 2026
- Private funds · 2 to 3Jun 28, 2025 to Jun 29, 2026
- Discretionary RAUM · $416M to $768MJun 28, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $416M to $768MJun 28, 2025 to Jun 29, 2026
- RAUM · $416M to $768MJun 28, 2025 to Jun 29, 2026
- Accounts · 1 to 2May 27, 2025 to Jun 28, 2025
- Advisory employees · 81 to 89May 27, 2025 to Jun 28, 2025
- Pooled vehicle clients · 1 to 2May 27, 2025 to Jun 28, 2025
- Employees · 125 to 137May 27, 2025 to Jun 28, 2025
- Financial planning clients · unset to May 27, 2025 to Jun 28, 2025
- Private funds · 1 to 2May 27, 2025 to Jun 28, 2025
- Discretionary RAUM · $89.6M to $416MMay 27, 2025 to Jun 28, 2025
- Pooled vehicle RAUM · $89.6M to $416MMay 27, 2025 to Jun 28, 2025
- RAUM · $89.6M to $416MMay 27, 2025 to Jun 28, 2025
- Advisory employees · 76 to 81Jan 18, 2024 to Jun 28, 2024
- Assets in custody · unset to 0.0Jan 18, 2024 to Jun 28, 2024
- Employees · 117 to 125Jan 18, 2024 to Jun 28, 2024
- Discretionary RAUM · $86.2M to $89.6MJan 18, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · $86.2M to $89.6MJan 18, 2024 to Jun 28, 2024
- RAUM · $86.2M to $89.6MJan 18, 2024 to Jun 28, 2024
- Advisory employees · 71 to 76Jun 29, 2022 to Jun 29, 2023
- Employees · 105 to 117Jun 29, 2022 to Jun 29, 2023
- Discretionary RAUM · $88.3M to $86.2MJun 29, 2022 to Jun 29, 2023
- Pooled vehicle RAUM · $88.3M to $86.2MJun 29, 2022 to Jun 29, 2023
- RAUM · $88.3M to $86.2MJun 29, 2022 to Jun 29, 2023
- Advisory employees · 52 to 71Jun 29, 2021 to Jun 29, 2022
- Employees · 82 to 105Jun 29, 2021 to Jun 29, 2022
- Discretionary RAUM · $86.1M to $88.3MJun 29, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $86.1M to $88.3MJun 29, 2021 to Jun 29, 2022
- RAUM · $86.1M to $88.3MJun 29, 2021 to Jun 29, 2022
- Advisory employees · 56 to 52Apr 27, 2021 to Jun 29, 2021
- Business name · A••• P••••••• L••• to A••• P••••••• U•• L••Apr 27, 2021 to Jun 29, 2021
- Employees · 87 to 82Apr 27, 2021 to Jun 29, 2021
- Legal name · A••• P••••••• L••• to A••• P••••••• U•• L••Apr 27, 2021 to Jun 29, 2021
- Discretionary RAUM · $128M to $86.1MApr 27, 2021 to Jun 29, 2021
- Pooled vehicle RAUM · $128M to $86.1MApr 27, 2021 to Jun 29, 2021
- RAUM · $128M to $86.1MApr 27, 2021 to Jun 29, 2021
Signals
9 dated events
- A••• P••••••• U•• L•• reported RAUM $768.3M, up 85% from $415.7M (2025-06-28 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- A••• P••••••• U•• L•• reported RAUM $415.7M, up 364% from $89.6M (2025-05-27 to 2025-06-28)Jun 28, 2025 · RAUM change · derived
- Ralf Gruss (Coo) appeared on Schedule A of A••• P••••••• U•• L••Jun 28, 2024 · Control person joined · fact
- Paul Andrew Sillitoe (Investment Committee Member) appeared on Schedule A of A••• P••••••• U•• L••Jun 28, 2024 · Control person joined · fact
- Bernard Simon Cresswell (General Counsel) appeared on Schedule A of A••• P••••••• U•• L••Jun 28, 2024 · Control person joined · fact
- Loeb Mitchell Truwit (Ceo) appeared on Schedule A of A••• P••••••• U•• L••Oct 5, 2023 · Control person joined · fact
- B••••• P•••• (Global Head Of Finance) appeared on Schedule A of A••• P••••••• U•• L••Oct 5, 2023 · Control person joined · fact
- A••• P••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 27, 2021 · Succession (Item 4) · fact
- A••• P••••••• U•• L•• reported RAUM $214.3M, down 52% from $447.5M (2017-06-30 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••• P••••••• U•• L•• · Independent Sponsorsshared crd · capital_provider
- A••• P••••••• U•• L•• · Private Equityshared crd · organization
- A••• P••••••• U•• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/A•••-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••.US.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-753-6300reportedpublic record, Form ADV, Jun 29, 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