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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••• F•••• M••••••••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 158186SEC 801-74407IAPD
Legal name A••• F•••• M••••••••• L•••••
Latest filing Mar 31, 2021
First filing on the tape Feb 23, 2012 · 15 filings
RAUM
$50.9M
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
37
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$50.9M gross assets
History
15 filings and snapshots on the tape
RAUM$50.9M as of Mar 31, 2021
Mar 28, 2013$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 28, 20130 then
Employees (5.A)37 as of Mar 31, 2021
Mar 28, 20130 then
Private funds3 as of Mar 31, 2021
Mar 28, 201313 then
RAUM -4.1% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$17.0MderivedRAUM 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
-4.1%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
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)
  • 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$50.9M100%
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
noreported
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••••••••• P••••••• I•• L•••Private Equity Fund$44.8M28Feb 23, 2012
      A••••••••• P••••••• I• ••••••••• L•••Private Equity Fund$6.1M19Feb 23, 2012
      A••• I••••••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$1.0M27Feb 23, 2012
      A••• R••••••• P•••••••• L•••••no longer reportedPrivate Equity Fund$793,67912Feb 23, 2012
      A••• P•••• L•••••no longer reportedPrivate Equity Fund$697,1513Mar 31, 2015
      A••• I••••••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$281,6296Feb 23, 2012
      A••• A•••• F••• L•no longer reportedPrivate Equity Fund$218,1803Feb 23, 2012
      A••• I••••••••• P••••••• I•••• L•••no longer reportedPrivate Equity Fund$198,6383Feb 23, 2012
      A••• I••••••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$143,6498Feb 23, 2012
      A••• I••••••••• P••••••• V• L•••no longer reportedPrivate Equity Fund$34,0574Feb 23, 2012
      A••• I••••••••• P••••••• V•• L•••Private Equity Fund$014Feb 23, 2012
      A••• I••••••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$036Feb 23, 2012
      A••• I••••••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$05Feb 23, 2012
      A••• I••••••••• P••••••• I••••• L•••no longer reportedPrivate Equity Fund$04Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• B•••••• · Managing Membercontrol
        since 08/2006 · owns 25% to 50%
      • B••••••••• T•••••• Y•••• · Coo, Gc, Ccocontrol
        since 01/2019 · owns less than 5%
      • B•••• W•••••• · Managing Membercontrol
        since 08/2006 · owns 10% to 25%
      • B••••••• K••••••• R••• · Managing Membercontrol
        since 08/2006 · owns 25% to 50%
      • G••••• J••••••• · Managing Membercontrol
        since 08/2006 · owns 25% to 50%
      • J•••••• D••••• · Managing Membercontrol
        since 08/2006 · owns less than 5%
      • W••••• M••••• · Chief Financial Officercontrol
        since 08/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••• B••••••• L•••••
        pooled vehicle sponsorn
      • A••• A•••• G••••• L•••
        pooled vehicle sponsorn
      • A••• A•••• I• G•••••• L•••
        pooled vehicle sponsorn
      • A••• A•••• G•• L•••••
        pooled vehicle sponsorn
      • A••• A•••• G•• S•••
        pooled vehicle sponsorn
      • A••• B•••••• G••••• L•••••
        pooled vehicle sponsorn
      • A••• B••••• M••••••• L•••••
        pooled vehicle sponsorn
      • A••• B••• G•••••• L•••••
        pooled vehicle sponsorn
      • A••• B••••• I•••• H••••••• G•• L•••••
        pooled vehicle sponsorn
      • A••• B••••• N•••• H••••••• G•• L•••••
        pooled vehicle sponsorn
      • A••• C•••••••• ••••• G•• L•••••
        pooled vehicle sponsorn
      • A••• C••••••• G• S•••••••
        pooled vehicle sponsorn
      • A••• E••••• G•••••• L•••••
        pooled vehicle sponsorn
      • A••• E••••• I• G•••••• L•••••
        pooled vehicle sponsorn
      • A••• E••••• M••••••••• L•••••
        investment adviserpooled vehicle sponsornRAUM $4.2B
      • A••• E••••• G•• L•••••
        pooled vehicle sponsorn
      • A••• F••••• M••••••• L•••••
        pooled vehicle sponsorn
      • A••• F•••• M••••••• L•••••
        pooled vehicle sponsorn
      • A••• F•••• M••••••• L••
        pooled vehicle sponsorn
      • A••• G••••••• G•• L•••••
        pooled vehicle sponsorn
      • A••• G•••••••• S•••••••
        pooled vehicle sponsorn
      • A••• I•••• M••••••• L••
        pooled vehicle sponsorn
      • A••• Investments Management, LLC
        investment adviserpooled vehicle sponsornRAUM $193M
      • A••• I•• M••••••• L•••••
        pooled vehicle sponsorn
      • A••• L•••• M••••••••• L•••••
        investment adviserpooled vehicle sponsornRAUM $1.2B
      • A••• M••••• R••••• H••••••• G•••••• L•••••
        pooled vehicle sponsorn
      • A••• S••••••• M••••••• L••
        pooled vehicle sponsorn
      • A••• T• M••••••• L•••••
        pooled vehicle sponsorn
      • A•• I• L• C••••••••• G•••••• L•••••
        pooled vehicle sponsorn
      • A•• I• O•••• C••••••••• M••••••• L•••••
        pooled vehicle sponsorn
      Advisers that list A••• F•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 39 to 37
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $53.1M to $50.9M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $53.1M to $50.9M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $53.1M to $50.9M
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 40 to 39
        Mar 30, 2019 to Mar 30, 2020
      • Legal name · A••• F•••• M••••••••• L•• to A••• F•••• M••••••••• L•••••
        Mar 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $85.6M to $53.1M
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $85.6M to $53.1M
        Mar 30, 2019 to Mar 30, 2020
      • RAUM · $85.6M to $53.1M
        Mar 30, 2019 to Mar 30, 2020
      • Advisory employees · 25 to 24
        Mar 28, 2018 to Mar 30, 2019
      • Employees · 37 to 40
        Mar 28, 2018 to Mar 30, 2019
      • Discretionary RAUM · $110M to $85.6M
        Mar 28, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $110M to $85.6M
        Mar 28, 2018 to Mar 30, 2019
      • RAUM · $110M to $85.6M
        Mar 28, 2018 to Mar 30, 2019
      • Accounts · 7 to 3
        Mar 31, 2017 to Mar 28, 2018
      • Advisory employees · 20 to 25
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 28, 2018
      • Employees · 34 to 37
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Private funds · 7 to 3
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $125M to $110M
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 110180382.0
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $125M to $110M
        Mar 31, 2017 to Mar 28, 2018
      • Accounts · 10 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 0 to 20
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 0 to 34
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 10 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $202M to $125M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $202M to $125M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 14 to 10
        Nov 13, 2015 to Mar 30, 2016
      • Private funds · 14 to 10
        Nov 13, 2015 to Mar 30, 2016
      • Discretionary RAUM · $358M to $202M
        Nov 13, 2015 to Mar 30, 2016
      • RAUM · $358M to $202M
        Nov 13, 2015 to Mar 30, 2016
      • Accounts · 13 to 14
        Apr 7, 2014 to Mar 31, 2015
      • Private funds · 13 to 14
        Apr 7, 2014 to Mar 31, 2015
      • Discretionary RAUM · $319M to $358M
        Apr 7, 2014 to Mar 31, 2015
      • RAUM · $319M to $358M
        Apr 7, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.5B to $319M
        Aug 15, 2013 to Mar 31, 2014
      • RAUM · $1.5B to $319M
        Aug 15, 2013 to Mar 31, 2014
      • Accounts · 12 to 13
        May 2, 2012 to Mar 28, 2013
      Signals
      2 dated events
      • A•••• K•••• L•••• (Cfo) no longer on Schedule A of A••• F•••• M••••••••• L•• (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Masumi Waida (Chief Financial Officer) appeared on Schedule A of A••• F•••• M••••••••• L••
        Mar 30, 2020 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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