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••••••
Legal name A••••••• A••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Feb 13, 2012 · 38 filings
RAUM
$701M
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
2
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
$380M gross assets
History
38 filings and snapshots on the tape
RAUM$701M as of Mar 28, 2024
Mar 28, 2013$4.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 28, 20130 then
Employees (5.A)2 as of Mar 28, 2024
Mar 28, 201338 then
Private funds2 as of Mar 28, 2024
Mar 28, 20136 then
RAUM -49% over the last fiscal year-49% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Mar 28, 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
- $234MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -49%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
- $701M, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$701M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $701M for 3 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• M••••• F••• I• L••no longer reported | Hedge Fund | $262M | 67 | Feb 13, 2012 |
| A••••••• M••••• F••• I•• L••no longer reported | Hedge Fund | $119M | 10 | Feb 13, 2012 |
| A••••••• D•••••• O••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $79.7M | 2 | Jul 29, 2015 |
| A••••••• V•••••••• O••••••••• M••••• F••• I• L••no longer reported | Hedge Fund | $40.7M | 9 | Aug 2, 2016 |
| A••••••• I•••••• O••••••••• M••••• F••• L••••••no longer reported | Hedge Fund | $13.5M | 17 | Feb 13, 2012 |
| A••••••• R••• E••••• F••• I••• S•••• O••••••••• M••••• F••• L•no longer reported | Hedge Fund | $12.7M | 39 | Feb 28, 2013 |
| A••••••• S•••••• S••••••••• T•••••• F••• L••• | Hedge Fund | $4.8M | 0 | Nov 9, 2018 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• R•••••• C•••••• · Chief Investment Officercontrolsince 06/2008 · owns 75% or more
- G••••••• R•••••• C•••••• · Shareholdercontrolsince 06/2008 · owns 75% or more of A••••••• C•••••• ••••••• L••
- R•••• J••••• F•••••• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- A••••••• C•••••• ••••••• L• · Parent Of A••••••• A••••••• L••direct · owns 75% or more
- A••••••• C•••••• ••••••• L•• · General Partnerindirect · owns 75% or more of A••••••• C•••••• ••••••• L•
Related persons
Schedule D 7.A
- A••••••• C•••••• I••••••••• L••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom4 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 3Oct 18, 2023 to Mar 28, 2024
- Advisory employees · 10 to 1Oct 18, 2023 to Mar 28, 2024
- Pooled vehicle clients · 11 to 3Oct 18, 2023 to Mar 28, 2024
- Assets in custody · $1.0B to $701MOct 18, 2023 to Mar 28, 2024
- Employees · 17 to 2Oct 18, 2023 to Mar 28, 2024
- Other offices · 4 to 3Oct 18, 2023 to Mar 28, 2024
- Private funds · 3 to 2Oct 18, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $701MOct 18, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.0B to $701MOct 18, 2023 to Mar 28, 2024
- RAUM · $1.4B to $701MOct 18, 2023 to Mar 28, 2024
- Accounts · 10 to 12Nov 1, 2022 to Mar 31, 2023
- Advisory employees · 18 to 10Nov 1, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 11Nov 1, 2022 to Mar 31, 2023
- Assets in custody · $749M to $1.0BNov 1, 2022 to Mar 31, 2023
- Employees · 35 to 17Nov 1, 2022 to Mar 31, 2023
- Other offices · 3 to 4Nov 1, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.2B to $1.4BNov 1, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.0BNov 1, 2022 to Mar 31, 2023
- RAUM · $2.2B to $1.4BNov 1, 2022 to Mar 31, 2023
- Related adviser · true to falseNov 1, 2022 to Mar 31, 2023
- Related bank · true to falseNov 1, 2022 to Mar 31, 2023
- Accounts · 12 to 10Dec 21, 2021 to Mar 31, 2022
- Pooled vehicle clients · 11 to 9Dec 21, 2021 to Mar 31, 2022
- Assets in custody · $0 to $749MDec 21, 2021 to Mar 31, 2022
- Employees · 50 to 35Dec 21, 2021 to Mar 31, 2022
- HQ city · NEW YORK to unsetDec 21, 2021 to Mar 31, 2022
- HQ state · NY to unsetDec 21, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.2B to $2.2BDec 21, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.2B to $1.1BDec 21, 2021 to Mar 31, 2022
- RAUM · $5.2B to $2.2BDec 21, 2021 to Mar 31, 2022
- Accounts · 14 to 12Mar 30, 2020 to Mar 30, 2021
- Advisory employees · 30 to 18Mar 30, 2020 to Mar 30, 2021
- Pooled vehicle clients · 14 to 11Mar 30, 2020 to Mar 30, 2021
- Employees · 70 to 50Mar 30, 2020 to Mar 30, 2021
- Private funds · 4 to 3Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $8.1B to $5.2BMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $8.1B to $4.2BMar 30, 2020 to Mar 30, 2021
- RAUM · $8.1B to $5.2BMar 30, 2020 to Mar 30, 2021
- Accounts · 15 to 14Nov 27, 2019 to Mar 30, 2020
- Advisory employees · 25 to 30Nov 27, 2019 to Mar 30, 2020
Signals
12 dated events
- A••••••• C•••••• reported RAUM $701.3M, down 49% from $1.4B (2023-10-18 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Robert Ivan Ritossa (Chief Executive Officer) no longer on Schedule A of A••••••• C•••••• (listed 2023-03-31, absent 2023-10-18)Oct 18, 2023 · Control person left · inference
- A••••••• C•••••• reported RAUM $1.4B, down 37% from $2.2B (2022-11-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Scott Matthew Levitan (General Counsel And Chief Compliance Officer) no longer on Schedule A of A••••••• C•••••• (listed 2022-03-31, absent 2022-10-14)Oct 14, 2022 · Control person left · inference
- A••••••• C•••••• reported RAUM $2.2B, down 57% from $5.2B (2021-12-21 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Matthew Levitan (General Counsel And Chief Compliance Officer) appeared on Schedule A of A••••••• C••••••Dec 20, 2021 · Control person joined · fact
- Pamela Kelly De Gouveia (Chief Compliance Officer) no longer on Schedule A of A••••••• C•••••• (listed 2021-07-26, absent 2021-12-20)Dec 20, 2021 · Control person left · inference
- Pamela Kelly De Gouveia (Chief Compliance Officer) appeared on Schedule A of A••••••• C••••••Jul 26, 2021 · Control person joined · fact
- A••••••• C•••••• reported RAUM $5.2B, down 36% from $8.1B (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Robert Ivan Ritossa (Chief Executive Officer) appeared on Schedule A of A••••••• C••••••Mar 30, 2020 · Control person joined · fact
- Matthew Derek Goodman (Vice President) no longer on Schedule A of A••••••• C•••••• (listed 2019-11-27, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- (Nmn) Benjamin Berkowitz (General Counsel, Chief Compliance Officer) no longer on Schedule A of A••••••• C•••••• (listed 2018-12-12, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A••••••• C•••••• · 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