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••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157364SEC 801-73457IAPD
Latest filing Mar 30, 2021
First filing on the tape Feb 13, 2012 · 20 filings
RAUM
$697M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
$697M gross assets
History
20 filings and snapshots on the tape
RAUM$697M as of Mar 30, 2021
Mar 27, 2013$477M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 27, 20130 then
Employees (5.A)9 as of Mar 30, 2021
Mar 27, 201317 then
Private funds12 as of Mar 30, 2021
Mar 27, 201311 then
RAUM +94% over the last fiscal year+7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$58.1MderivedRAUM 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
+94%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 pooled vehiclesreportedItem 5.G
Custody
$176M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$697M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$176M 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
      Every departureEvery arrival
      Private funds
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• I••••••••• L•••Private Equity Fund$17.0M16Feb 13, 2012
      A•••••••• I••• L•••Venture Capital Fund$16.9M8Feb 13, 2012
      T••••• I••••••••• L••Private Equity Fund$16.1M3Mar 27, 2015
      A•••••••• I• C••••••••• P•••••••• L•••Private Equity Fund$11.8M4Feb 13, 2012
      A•••••••• I•• L••Venture Capital Fund$6.9M4Mar 27, 2015
      A•••• F••• I• L•••Private Equity Fund$4.2M18Feb 13, 2012
      A•••••••• C••••••••• P•••••••• L••Private Equity Fund$3.5M21Feb 13, 2012
      T••••• I••••••••• I•• L••Private Equity Fund$3.5M2Mar 27, 2019
      A•••••••• I•• L•••Private Equity Fund$3.2M18Feb 13, 2012
      A•••• F••• I• C••••••••• P•••••••• L•••Private Equity Fund$909,86721Feb 13, 2012
      A•••••••• I•••••••• V• L••Private Equity Fund$132,9813Feb 13, 2012
      A•••• F••• I• B••••••• L•••Private Equity Fund$99,50010Feb 13, 2012
      A•••••••• I• B••••••• L•••Private Equity Fund$18,48110Feb 13, 2012
      A•••••••• I•••••••• V•• L••no longer reportedPrivate Equity Fund$3066Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J••• E••••• M•••• · Managing Membercontrol
        since 11/2014 · owns 50% to 75%
      • C••••• J• M•••••• · Managing Membercontrol
        since 11/2014 · owns 50% to 75%
      • S••••••• A••••••••• F• · Chief Compliance Officer, General Counselcontrol
        since 09/2004 · owns less than 5%
      • S•••• T••• · Chief Financial Officercontrol
        since 10/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••••••• A••••••••• I• L••
        pooled vehicle sponsorn
      • A•••••••• A••••••••• S•••• L••
        pooled vehicle sponsorn
      • A•••••••• I• G•• L••
        pooled vehicle sponsorn
      • A•••••••• I•• G•• L••
        pooled vehicle sponsorn
      • A•••• F••• I• G•• L••
        pooled vehicle sponsorn
      • B••••••• I•••••••• H•••••••• L••
        real estaten
      • I•••••••• N•••••• L••
        real estaten
      • I••••••• C•••••••• L••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 12
        Mar 25, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 13 to 12
        Mar 25, 2020 to Mar 30, 2021
      • Assets in custody · $95.5M to $176M
        Mar 25, 2020 to Mar 30, 2021
      • Employees · 10 to 9
        Mar 25, 2020 to Mar 30, 2021
      • Private funds · 13 to 12
        Mar 25, 2020 to Mar 30, 2021
      • Discretionary RAUM · $359M to $697M
        Mar 25, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $359M to $697M
        Mar 25, 2020 to Mar 30, 2021
      • RAUM · $359M to $697M
        Mar 25, 2020 to Mar 30, 2021
      • Assets in custody · $106M to $95.5M
        Jun 12, 2019 to Mar 25, 2020
      • Employees · 12 to 10
        Jun 12, 2019 to Mar 25, 2020
      • Discretionary RAUM · $497M to $359M
        Jun 12, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $497M to $359M
        Jun 12, 2019 to Mar 25, 2020
      • RAUM · $497M to $359M
        Jun 12, 2019 to Mar 25, 2020
      • Assets in custody · $106M to $106M
        Mar 27, 2019 to Apr 30, 2019
      • Discretionary RAUM · $497M to $497M
        Mar 27, 2019 to Apr 30, 2019
      • Pooled vehicle RAUM · $497M to $497M
        Mar 27, 2019 to Apr 30, 2019
      • RAUM · $497M to $497M
        Mar 27, 2019 to Apr 30, 2019
      • Accounts · 12 to 13
        Apr 24, 2018 to Mar 27, 2019
      • Advisory employees · 5 to 4
        Apr 24, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 12 to 13
        Apr 24, 2018 to Mar 27, 2019
      • Assets in custody · $84.5M to $106M
        Apr 24, 2018 to Mar 27, 2019
      • Private funds · 12 to 13
        Apr 24, 2018 to Mar 27, 2019
      • Discretionary RAUM · $566M to $497M
        Apr 24, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $568M to $497M
        Apr 24, 2018 to Mar 27, 2019
      • RAUM · $566M to $497M
        Apr 24, 2018 to Mar 27, 2019
      • Assets in custody · $85.8M to $84.5M
        Mar 29, 2018 to Apr 24, 2018
      • Discretionary RAUM · $568M to $566M
        Mar 29, 2018 to Apr 24, 2018
      • RAUM · $568M to $566M
        Mar 29, 2018 to Apr 24, 2018
      • Pooled vehicle clients · unset to 12.0
        May 4, 2017 to Mar 29, 2018
      • Assets in custody · $592M to $85.8M
        May 4, 2017 to Mar 29, 2018
      • Employees · 14 to 12
        May 4, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 4, 2017 to Mar 29, 2018
      • Discretionary RAUM · $592M to $568M
        May 4, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 567662235.0
        May 4, 2017 to Mar 29, 2018
      • RAUM · $592M to $568M
        May 4, 2017 to Mar 29, 2018
      • Assets in custody · $591M to $592M
        Mar 29, 2017 to May 4, 2017
      • Discretionary RAUM · $591M to $592M
        Mar 29, 2017 to May 4, 2017
      • RAUM · $591M to $592M
        Mar 29, 2017 to May 4, 2017
      • Assets in custody · $605M to $591M
        May 31, 2016 to Mar 29, 2017
      • Employees · 10 to 14
        May 31, 2016 to Mar 29, 2017
      Signals
      2 dated events
      • A••••••••• L•• reported RAUM $697.2M, up 94% from $358.6M (2020-03-25 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • A••••••••• L•• reported RAUM $358.6M, down 28% from $497.4M (2019-06-12 to 2020-03-25)
        Mar 25, 2020 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      A••••••••LLC.COMreportedpublic record, Form ADV, Sep 18, 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
      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