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••••••••• I••••••••• M••••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Feb 14, 2012 · 34 filings
SEC status approved since Mar 5, 2012
RAUM
$1.8B
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
15
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
23
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.8B as of Aug 11, 2026
Apr 1, 2013$884M then
HNW client RAUM$0 as of Apr 30, 2020
Mar 28, 2018$1.7M then
State-registered IARs (5.B.3)0 as of Aug 11, 2026
Apr 1, 20130 then
Employees (5.A)15 as of Aug 11, 2026
Apr 1, 201316 then
Private funds23 as of Aug 11, 2026
Apr 1, 20138 then
RAUM +5.5% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 11, 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
- $73.3MderivedRAUM 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
- +5.5%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $1.4B, 22 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)
- 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$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 22 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.8 institutional_share=0.0 related_bd=false related_bank=false 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
26 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• I••••••••• L•• | Hedge Fund | $280M | 163 | Feb 14, 2012 |
| T••••••• P••••••• C••••••••• 3• L••no longer reported | Hedge Fund | $140M | 55 | Apr 30, 2020 |
| T••••••• P••••••• O•••••••• L••• | Hedge Fund | $121M | 73 | Feb 14, 2012 |
| T••••••• P••••••• C••••••••• 4• L•• | Hedge Fund | $117M | 44 | Mar 29, 2021 |
| T••••••• P•••••••• L• | Hedge Fund | $103M | 46 | Feb 14, 2012 |
| T••••••• P••••••• P•••••• E••••• 5• L••• | Private Equity Fund | $72.8M | 73 | Mar 27, 2017 |
| T••••••• P••••••• C••••••••• 3• L•••no longer reported | Hedge Fund | $68.5M | 27 | Apr 30, 2020 |
| T••••••• P••••••• P•••••• E••••• 4• L••• | Private Equity Fund | $67.2M | 91 | Mar 24, 2016 |
| T••••••• P••••••• P•••••• E••••• A• L•• | Private Equity Fund | $55.1M | 1 | Mar 26, 2015 |
| T••••••• P••••••• P•••••• E••••• 3• L••• | Private Equity Fund | $45.5M | 59 | Mar 27, 2014 |
| T••••••• P••••••• P•••••• E••••• 6• L••• | Private Equity Fund | $45.3M | 81 | Mar 28, 2019 |
| H•• I••••••••• L•• | Hedge Fund | $44.7M | 37 | May 8, 2012 |
| T••••••• P••••••• P•••••• E••••• 7• L••• | Private Equity Fund | $35.4M | 68 | Mar 29, 2021 |
| T••••••• P••••••• P•••••• E••••• 8• L••• | Private Equity Fund | $34.5M | 68 | Mar 30, 2022 |
| H•• I•••••••• 2• L•• | Hedge Fund | $33.8M | 35 | Mar 26, 2015 |
| T••••••• P••••••• P•••••• E••••• 9• L••• | Private Equity Fund | $33.5M | 73 | Mar 31, 2023 |
| T••••••• P••••••• D••••• S•• 4• L•• | Private Equity Fund | $24.7M | 28 | Dec 4, 2024 |
| T••••••• P••••••• C••••••••• L••• | Hedge Fund | $21.2M | 25 | Mar 27, 2017 |
| T••••••• P••••••• D••••• S•• 5• L•• | Private Equity Fund | $19.3M | 33 | Dec 4, 2024 |
| T••••••• P••••••• P•••••• E••••• 1•• L••• | Private Equity Fund | $15.7M | 56 | Dec 4, 2024 |
| T••••••• P••••••• P•••••• E••••• 2•••• L••• | Private Equity Fund | $15.3M | 65 | Feb 14, 2012 |
| A•••••••• P••••••• S•• I• L•• | Private Equity Fund | $4.3M | 25 | Apr 30, 2020 |
| T••••••• P••••••• P•••••• E•••••• L••• | Private Equity Fund | $3.4M | 58 | Feb 14, 2012 |
| A•••••••• P••••••• S•• I•• L•• | Private Equity Fund | $2.0M | 37 | Apr 30, 2020 |
| R•••• I••••••••• L•••• L•••••no longer reported | Private Equity Fund | $1.2M | 2 | May 8, 2012 |
| T•• P•••••••• L••• | Private Equity Fund | $681,342 | 6 | May 8, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• P••••• M••••• · Partner, Chief Compliance Officercontrolsince 02/2014 · owns less than 5%
- C•••••• D••••• F••• · Partner, Managercontrolsince 01/2013 · owns less than 5%
- H•••••• J••••••• · Chief Executive Officer, Partner, Manager, And Trustee - J••••••• M• H••••• R•••••••• T•••• U•• 1•••••••controlsince 12/2002 · owns less than 5%
- M••••• D••••• L•••• · Managercontrolsince 01/2007 · owns less than 5%
- Y•• S••••• M••• · Partnercontrolsince 01/2014 · owns less than 5%
- H•••••• J••••••• · Trusteecontrolsince 12/2002 · owns F of J••••••• M• H••••• R•••••••• T•••• U•• 1•••••••
- V••••••••• P••••••• · Partnersince 05/2022 · owns less than 5%
Entity owners
- J••••••• M• H••••• R•••••••• T•••• U•• 1••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• P••••••• S•• I• •••• L••investment adviserpooled vehicle sponsorn
- A••••••• P••••••• S•• I• •••• L••investment adviserpooled vehicle sponsorn
- T••••••• C•••••• A••••••••• L••investment adviserpooled vehicle sponsorn
- T••••••• C•••••• P•••••• E••••• A••••••••• 2•••• L••investment adviserpooled vehicle sponsorn
- T••••••• C•••••• P•••••• E••••• A••••••••• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 1• G•• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 3• G•• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 4• G•• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 5• G•• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 6• G•• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 7• G•• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 8• G• L••investment adviserpooled vehicle sponsorn
- T••••••• P••••••• P•••••• E••••• 9• G•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 14 to 12Jul 2, 2025 to Mar 30, 2026
- Assets in custody · $1.3B to $1.4BJul 2, 2025 to Mar 30, 2026
- Employees · 17 to 15Jul 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $1.8BJul 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BJul 2, 2025 to Mar 30, 2026
- RAUM · $1.7B to $1.8BJul 2, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 2, 2025
- Accounts · 21 to 24Dec 4, 2024 to Mar 28, 2025
- Pooled vehicle clients · 20 to 23Dec 4, 2024 to Mar 28, 2025
- Assets in custody · $1.5B to $1.3BDec 4, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $1.7BDec 4, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BDec 4, 2024 to Mar 28, 2025
- RAUM · $1.5B to $1.7BDec 4, 2024 to Mar 28, 2025
- Related adviser · true to falseDec 4, 2024 to Mar 28, 2025
- Private funds · 20 to 23Jul 16, 2024 to Dec 4, 2024
- Advisory activities · 2 to 3Jun 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 21 to 20Jun 30, 2023 to Mar 28, 2024
- Assets in custody · $1.2B to $1.5BJun 30, 2023 to Mar 28, 2024
- Employees · 18 to 17Jun 30, 2023 to Mar 28, 2024
- Private funds · 21 to 20Jun 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.5BJun 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.1BJun 30, 2023 to Mar 28, 2024
- RAUM · $1.2B to $1.5BJun 30, 2023 to Mar 28, 2024
- Assets in custody · $1.2B to $1.2BMar 31, 2023 to Apr 28, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2023 to Apr 28, 2023
- Pooled vehicle RAUM · $1.2B to $1.2BMar 31, 2023 to Apr 28, 2023
- RAUM · $1.2B to $1.2BMar 31, 2023 to Apr 28, 2023
- Accounts · 22 to 21Sep 16, 2022 to Mar 31, 2023
- Advisory employees · 15 to 14Sep 16, 2022 to Mar 31, 2023
- Pooled vehicle clients · 22 to 21Sep 16, 2022 to Mar 31, 2023
- Assets in custody · $1.4B to $1.2BSep 16, 2022 to Mar 31, 2023
- Employees · 19 to 18Sep 16, 2022 to Mar 31, 2023
- Private funds · 22 to 21Sep 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.5B to $1.2BSep 16, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.5B to $1.2BSep 16, 2022 to Mar 31, 2023
- RAUM · $1.5B to $1.2BSep 16, 2022 to Mar 31, 2023
- Accounts · 21 to 22Mar 29, 2021 to Mar 30, 2022
- Advisory employees · 14 to 15Mar 29, 2021 to Mar 30, 2022
- Pooled vehicle clients · 21 to 22Mar 29, 2021 to Mar 30, 2022
- Assets in custody · $1.3B to $1.4BMar 29, 2021 to Mar 30, 2022
Signals
6 dated events
- Francis Michael Benedetto (Partner) no longer on Schedule A of A••••••••• I••••••••• M••••••••• L•• (listed 2023-04-28, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- Alexander Daniel Federmann (Partner, Chief Financial Officer) no longer on Schedule A of A••••••••• I••••••••• M••••••••• L•• (listed 2022-07-21, absent 2022-09-16)Sep 16, 2022 · Control person left · inference
- A••••••••• I••••••••• M••••••••• L•• reported RAUM $1.5B, up 28% from $1.2B (2020-09-18 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Francis Michael Benedetto (Partner) appeared on Schedule A of A••••••••• I••••••••• M••••••••• L••Apr 30, 2020 · Control person joined · fact
- O. Leo Ehly (Chief Financial Officer) no longer on Schedule A of A••••••••• I••••••••• M••••••••• L•• (listed 2018-05-01, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Alexander Daniel Federmann (Chief Financial Officer) appeared on Schedule A of A••••••••• I••••••••• M••••••••• L••Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- A••••••••• I••••••••• M••••••••• L•• · Family Officesshared crd · office
- A••••••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- AIM13.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 557-6191reportedpublic record, Form ADV, Aug 11, 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