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•••••• P••••••• ••• L•
Latest filing Jan 24, 2020
First filing on the tape Mar 14, 2012 · 25 filings
RAUM
$7.5B
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
27
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$7.1B gross assets
History
25 filings and snapshots on the tape
RAUM$7.5B as of Mar 6, 2019
Mar 14, 2012$5.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2019
Mar 14, 20120 then
Employees (5.A)27 as of Mar 6, 2019
Apr 1, 201325 then
Private funds4 as of Mar 6, 2019
Mar 14, 20123 then
RAUM -54% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 24, 2020; 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
- $681MderivedRAUM 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
- -54%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
- Custody
- $7.5B, 11 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.5B for 11 clientsreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• M••••• A•••••••• F••• L•••••• | Hedge Fund | $353M | 5 | Jan 27, 2016 |
| A••••••••• D••••••••• O••••••••• F••• L••••••no longer reported | Hedge Fund | $123M | 3 | Feb 14, 2012 |
| A••••••••• I••••••••• F••• L•••••• | Hedge Fund | $103M | 2 | Jun 21, 2017 |
| A••••••••• C••••••••• O••••••••• F••• L•••••• | Hedge Fund | $55.0M | 1 | Jul 25, 2019 |
| A••••••••• E••••• F•••• F••• L•••••• | Hedge Fund | $48.4M | 7 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• B••••• A••••• A••••• · Co-Chief Operating Officer & Chief Legal Officercontrolsince 08/2014 · owns less than 5%
- D•••••• S••••• D•••••• · Director Of G•••••• Partnercontrolsince 05/2018 · owns less than 5%
- G••••••••• A•••••••• · Co-Chief Operating Officercontrolsince 05/2016 · owns less than 5%
- J••••••••• A•••• · Chief Financial Officercontrolsince 07/2012 · owns less than 5%
- N••••• N•••••••• G••••• · Chief Investment Officercontrolsince 02/2008 · owns less than 5%
- R••••••• D•••••• P•••••• · Chief Risk Officercontrolsince 05/2015 · owns less than 5%
- W•••••• D••••• C•••• · Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- N••••• N•••••••• G••••• · Shareholdercontrolsince 10/2007 · owns 50% to 75% of A••••••••• Investment Management L••••••
- N••••• N•••••••• G••••• · L•••••• Partnercontrolsince 08/2007 · owns 50% to 75% of A••••••••• C•••••• P••••••• I• L••
Entity owners
- A••••••••• C•••••• S••••••• ••• I••• · G•••••• Partnerdirect · owns less than 5%
- A••••••••• I••••••••• M••••••••• L•• · Shareholderindirect · owns 75% or more of A••••••••• Capital Services (US) Inc
- A••••••••• C•••••• P••••••• I• L•• · Partnerdirect · owns 50% to 75%
- D••• C•••••• L•• · Special L•••••• Partnerdirect · owns 10% to 25%
- D••••••• B••• A• · Memberindirect · owns 75% or more of D••• C•••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• C•••••• P••••••• L••investment adviserbankyRAUM $7.5B
- A••••••••• G•••••• P•••••• L••••••pooled vehicle sponsory
Advisers that list A••••••••• C•••••• P••••••• ••• L• as a related person
- 154329 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 4 to 1Jul 25, 2019 to Jan 12, 2020
- Accounts · 10 to 11Mar 7, 2018 to Mar 6, 2019
- Advisory employees · 24 to 16Mar 7, 2018 to Mar 6, 2019
- Pooled vehicle clients · 10 to 11Mar 7, 2018 to Mar 6, 2019
- Assets in custody · $16B to $7.5BMar 7, 2018 to Mar 6, 2019
- Employees · 41 to 27Mar 7, 2018 to Mar 6, 2019
- Discretionary RAUM · $16B to $7.5BMar 7, 2018 to Mar 6, 2019
- Pooled vehicle RAUM · $16B to $7.5BMar 7, 2018 to Mar 6, 2019
- RAUM · $16B to $7.5BMar 7, 2018 to Mar 6, 2019
- Accounts · 11 to 10Jan 3, 2018 to Mar 7, 2018
- Advisory employees · 29 to 24Jan 3, 2018 to Mar 7, 2018
- Pooled vehicle clients · unset to 10.0Jan 3, 2018 to Mar 7, 2018
- Assets in custody · $14B to $16BJan 3, 2018 to Mar 7, 2018
- Employees · 49 to 41Jan 3, 2018 to Mar 7, 2018
- Discretionary RAUM · $14B to $16BJan 3, 2018 to Mar 7, 2018
- Pooled vehicle RAUM · unset to 16256393000.0Jan 3, 2018 to Mar 7, 2018
- RAUM · $14B to $16BJan 3, 2018 to Mar 7, 2018
- Other offices · unset to 0.0Sep 28, 2017 to Nov 7, 2017
- Private funds · 3 to 4May 15, 2017 to Jun 21, 2017
- Private funds · 4 to 3Mar 30, 2017 to May 15, 2017
- Accounts · 12 to 11Jun 6, 2016 to Mar 30, 2017
- Advisory employees · 25 to 29Jun 6, 2016 to Mar 30, 2017
- Assets in custody · $12B to $14BJun 6, 2016 to Mar 30, 2017
- Employees · 42 to 49Jun 6, 2016 to Mar 30, 2017
- Discretionary RAUM · $12B to $14BJun 6, 2016 to Mar 30, 2017
- RAUM · $12B to $14BJun 6, 2016 to Mar 30, 2017
- Accounts · 9 to 12Jan 27, 2016 to Mar 30, 2016
- Advisory employees · 27 to 25Jan 27, 2016 to Mar 30, 2016
- Assets in custody · unset to 12364877000.0Jan 27, 2016 to Mar 30, 2016
- Custody of client assets · false to trueJan 27, 2016 to Mar 30, 2016
- Employees · 41 to 42Jan 27, 2016 to Mar 30, 2016
- Discretionary RAUM · $19B to $12BJan 27, 2016 to Mar 30, 2016
- RAUM · $19B to $12BJan 27, 2016 to Mar 30, 2016
- Private funds · 3 to 4Sep 15, 2015 to Jan 27, 2016
- Advisory employees · 23 to 27Jun 4, 2014 to Mar 31, 2015
- Employees · 33 to 41Jun 4, 2014 to Mar 31, 2015
- Discretionary RAUM · $15B to $19BJun 4, 2014 to Mar 31, 2015
- RAUM · $15B to $19BJun 4, 2014 to Mar 31, 2015
- Advisory employees · 17 to 23Apr 1, 2013 to Mar 31, 2014
- Employees · 25 to 33Apr 1, 2013 to Mar 31, 2014
Signals
6 dated events
- Francis James O'Connor (President And Director Of General Partner) no longer on Schedule A of A••••••••• C•••••• P••••••• ••• L• (listed 2020-01-12, absent 2020-01-24)Jan 24, 2020 · Control person left · inference
- Francis James O'Connor (President And Director Of General Partner) appeared on Schedule A of A••••••••• C•••••• P••••••• ••• L•Mar 6, 2019 · Control person joined · fact
- Douglas Scott Dragoo (Director Of General Partner) appeared on Schedule A of A••••••••• C•••••• P••••••• ••• L•Mar 6, 2019 · Control person joined · fact
- A••••••••• C•••••• P••••••• ••• L• reported RAUM $7.5B, down 54% from $16.3B (2018-03-07 to 2019-03-06)Mar 6, 2019 · RAUM change · derived
- Alan Michael Edwards (President & Director Of General Partner) no longer on Schedule A of A••••••••• C•••••• P••••••• ••• L• (listed 2018-03-07, absent 2019-03-06)Mar 6, 2019 · Control person left · inference
- N•••• K•••••• (Director Of General Partner) no longer on Schedule A of A••••••••• C•••••• P••••••• ••• L• (listed 2018-03-07, absent 2019-03-06)Mar 6, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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