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••••••• C•••••• M••••••••• L•
Latest filing Apr 29, 2026
First filing on the tape Nov 17, 2011 · 34 filings
SEC status approved since Nov 28, 2011
RAUM
$412M
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$412M as of Apr 29, 2026
Mar 29, 2012$3.5B then
HNW client RAUM$0 as of Apr 29, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Mar 25, 20130 then
Employees (5.A)12 as of Apr 29, 2026
Mar 25, 201342 then
Private funds3 as of Apr 29, 2026
Mar 29, 20123 then
RAUM -41% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 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
- $41.2MderivedRAUM 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
- -41%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
- $412M, 10 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)
- 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$412M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $412M for 10 clientsreported
- Compensation
- % of AUM, performancereported
- 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $1.7B | 185 | Nov 17, 2011 |
| A•• M•••••• L•••no longer reported | Hedge Fund | $1.5B | 180 | Mar 31, 2015 |
| A••••••• C•••••• M•••••• L••• | Hedge Fund | $574M | 74 | Nov 17, 2011 |
| A••••••• L•••••••• O••••••••• M••••• F•••• L• | Hedge Fund | $162M | 11 | Jan 28, 2022 |
| A••••••• O••••••••• M••••• F••• I•• L• | Hedge Fund | $88.5M | 8 | Mar 27, 2024 |
| A••••••• C••••••••• M•••••• L•••no longer reported | Hedge Fund | $77.7M | 2 | Nov 17, 2011 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• M•••• D•••• · Chairman, A••••••• C•••••• M••••••••• L•controlsince 04/2005 · owns 75% or more
- C•••• E••••••• N••• W••• · Chief Investment Officercontrolsince 01/2023 · owns 5% to 10%
- J•••••••• M••••• K••••••• · Chief Financial Officer, Chief Compliance Officer (07/2023) A••••••• C•••••• M••••••••• L•controlsince 01/2022 · owns less than 5%
- B••••••• M•••• D•••• · Senior Managing Member, A••••••• C•••••• M••••••••• G•• L••controlsince 04/2005 · owns 75% or more of A••••••• C•••••• M••••••••• G•• L••
Entity owners
- A••••••• C•••••• M••••••••• G•• L•• · General Partner, A••••••• C•••••• M••••••••• L•direct · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••••• C•••••• G•• L••bankpooled vehicle sponsorn
- A••••••• C•••••• M••••••••• •••• L••investment advisery
- A••••••• L•••••••• O••••••••• G•• L••bankpooled vehicle sponsorn
- A••••••• O••••••••• G• I•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 29, 2026RAUM (Item 5.F) moved from $697,884,082 to $411,862,221 (-41.0%) between the annual amendments of 2025-03-25 and 2026-04-29; the peer median change was +4.0% (1148 comparable advisers, 5.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 5.4% percentile
What changed
consecutive filings, newest first
- Assets in custody · $451M to $412MMar 24, 2026 to Apr 29, 2026
- Discretionary RAUM · $451M to $412MMar 24, 2026 to Apr 29, 2026
- Pooled vehicle RAUM · $451M to $412MMar 24, 2026 to Apr 29, 2026
- RAUM · $451M to $412MMar 24, 2026 to Apr 29, 2026
- Accounts · 11 to 10May 13, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6May 13, 2025 to Mar 24, 2026
- Pooled vehicle clients · 11 to 10May 13, 2025 to Mar 24, 2026
- Assets in custody · $698M to $451MMay 13, 2025 to Mar 24, 2026
- Employees · 11 to 12May 13, 2025 to Mar 24, 2026
- Discretionary RAUM · $698M to $451MMay 13, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $698M to $451MMay 13, 2025 to Mar 24, 2026
- RAUM · $698M to $451MMay 13, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 25, 2025 to May 13, 2025
- Advisory employees · 6 to 5Nov 1, 2024 to Mar 25, 2025
- Assets in custody · $824M to $698MNov 1, 2024 to Mar 25, 2025
- Employees · 14 to 11Nov 1, 2024 to Mar 25, 2025
- Discretionary RAUM · $831M to $698MNov 1, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $831M to $698MNov 1, 2024 to Mar 25, 2025
- RAUM · $831M to $698MNov 1, 2024 to Mar 25, 2025
- Related adviser · true to falseNov 1, 2024 to Mar 25, 2025
- Discretionary RAUM · $824M to $831MApr 24, 2024 to May 29, 2024
- Pooled vehicle RAUM · $824M to $831MApr 24, 2024 to May 29, 2024
- RAUM · $824M to $831MApr 24, 2024 to May 29, 2024
- Accounts · 8 to 11Dec 18, 2023 to Mar 27, 2024
- Advisory employees · 12 to 6Dec 18, 2023 to Mar 27, 2024
- Pooled vehicle clients · 8 to 11Dec 18, 2023 to Mar 27, 2024
- Assets in custody · $1.2B to $824MDec 18, 2023 to Mar 27, 2024
- Employees · 21 to 14Dec 18, 2023 to Mar 27, 2024
- Private funds · 2 to 3Dec 18, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $824MDec 18, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.2B to $824MDec 18, 2023 to Mar 27, 2024
- RAUM · $1.2B to $824MDec 18, 2023 to Mar 27, 2024
- HQ city · PALM BEACH GARDENS to NEW YORKMar 31, 2023 to Oct 5, 2023
- HQ state · FL to NYMar 31, 2023 to Oct 5, 2023
- Advisory employees · 13 to 12Jul 12, 2022 to Mar 31, 2023
- Assets in custody · $1.5B to $1.2BJul 12, 2022 to Mar 31, 2023
- Employees · 28 to 21Jul 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.5B to $1.2BJul 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.5B to $1.2BJul 12, 2022 to Mar 31, 2023
- RAUM · $1.5B to $1.2BJul 12, 2022 to Mar 31, 2023
Signals
11 dated events
- A••••••• C•••••• M••••••••• L• reported RAUM $451.4M, down 35% from $697.9M (2025-05-13 to 2026-03-24)Mar 24, 2026 · ria raum c•••ge · derived
- A••••••• C•••••• M••••••••• L• reported RAUM $824.2M, down 29% from $1.2B (2023-12-18 to 2024-03-27)Mar 27, 2024 · ria raum c•••ge · derived
- Ngar Wing Eleanor Chan (Chief Investment Officer) appeared on Schedule A of A••••••• C•••••• M••••••••• L•Mar 27, 2024 · Control person joined · fact
- Jed Samuel Rubin (Chief Compliance Officer, Chief Operating Officer And General Counsel, A••••••• C•••••• M••••••••• L•) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2023-10-05, absent 2023-12-18)Dec 18, 2023 · Control person left · inference
- Victoria Elizabeth Ryvkin (Chief Compliance Officer, A••••••• C•••••• M••••••••• L•) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2022-03-30, absent 2022-06-01)Jun 1, 2022 · Control person left · inference
- A••••••• C•••••• M••••••••• L• reported RAUM $1.5B, down 26% from $2.0B (2022-01-28 to 2022-03-30)Mar 30, 2022 · ria raum c•••ge · derived
- K. M•••• J••••••• (Chief Financial Officer, A••••••• C•••••• M••••••••• L•) appeared on Schedule A of A••••••• C•••••• M••••••••• L•Mar 30, 2022 · Control person joined · fact
- Arnold Michael Salatto (Chief Financial Officer, A••••••• C•••••• M••••••••• L•) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2022-01-28, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- A••••••• C•••••• M••••••••• L• reported RAUM $2.4B, down 26% from $3.3B (2019-03-29 to 2020-03-19)Mar 19, 2020 · ria raum c•••ge · derived
- Joseph Richard Petrilli (Chief Operating Officer, A••••••• C•••••• M••••••••• L•) no longer on Schedule A of A••••••• C•••••• M••••••••• L• (listed 2019-03-29, absent 2020-03-19)Mar 19, 2020 · Control person left · inference
- Victoria Elizabeth Ryvkin (Chief Compliance Officer) appeared on Schedule A of A••••••• C•••••• M••••••••• L•Mar 19, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- A•••••••-CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-445-6500reportedpublic record, Form ADV, Apr 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