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•••• G•••• L••
Latest filing May 26, 2026
First filing on the tape Feb 16, 2012 · 27 filings
SEC status approved since Mar 12, 2012
RAUM
$289M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$972,489 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$289M as of May 26, 2026
Mar 27, 2013$536M then
HNW client RAUM$972,489 as of May 26, 2026
Mar 13, 2020$116,014 then
State-registered IARs (5.B.3)0 as of May 26, 2026
Mar 27, 20130 then
Employees (5.A)10 as of May 26, 2026
Mar 27, 201320 then
Private funds1 as of Mar 5, 2025
Mar 27, 20132 then
RAUM -17% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 26, 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
- $972,489derivedHNW RAUM over HNW clients
- Average account
- $96.4MderivedRAUM 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
- -17%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$288M100%
- High-net-worth individuals$972,4890.3%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• E•••• D••••• F••• T•••• | Hedge Fund | $26.6M | 1 | Feb 16, 2012 |
| I•• I••••••••• U••• T•••• I•no longer reported | Hedge Fund | $22.2M | 2 | Feb 16, 2012 |
| A•••• S••••• F••• T••••no longer reported | Hedge Fund | $10.6M | 4 | Feb 16, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• T•••••• N•• · President & Ceocontrolsince 01/2001 · owns 75% or more
- H••••••• M•••••• J• · Chief Compliance Officercontrolsince 04/2018 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• A•••• M••••••••• C••• L•••investment adviserbanky
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Feb 27, 2026institutional share of RAUM moved from 20.0% to 0.0% between the annual amendments of 2025-03-05 and 2026-02-27peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- HQ city · WHITE PLAINS to RYEFeb 27, 2026 to May 26, 2026
- Accounts · 5 to 3Mar 5, 2025 to Feb 27, 2026
- Pension plan clients · 2.0 to unsetMar 5, 2025 to Feb 27, 2026
- Employees · 11 to 10Mar 5, 2025 to Feb 27, 2026
- Private funds · 1 to unsetMar 5, 2025 to Feb 27, 2026
- Discretionary RAUM · $349M to $289MMar 5, 2025 to Feb 27, 2026
- HNW RAUM · $1.0M to $972,489Mar 5, 2025 to Feb 27, 2026
- Pension RAUM · 70839359.0 to unsetMar 5, 2025 to Feb 27, 2026
- Pooled vehicle RAUM · $278M to $288MMar 5, 2025 to Feb 27, 2026
- RAUM · $349M to $289MMar 5, 2025 to Feb 27, 2026
- Advisory employees · 8 to 6Nov 22, 2024 to Mar 5, 2025
- Employees · 14 to 11Nov 22, 2024 to Mar 5, 2025
- Financial planning clients · unset to Nov 22, 2024 to Mar 5, 2025
- Discretionary RAUM · $442M to $349MNov 22, 2024 to Mar 5, 2025
- HNW RAUM · $1.0M to $1.0MNov 22, 2024 to Mar 5, 2025
- Pension RAUM · $157M to $70.8MNov 22, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · $285M to $278MNov 22, 2024 to Mar 5, 2025
- RAUM · $442M to $349MNov 22, 2024 to Mar 5, 2025
- Accounts · 8 to 5Mar 2, 2023 to Feb 28, 2024
- Employees · 17 to 14Mar 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $626M to $442MMar 2, 2023 to Feb 28, 2024
- HNW RAUM · $908,535 to $1.0MMar 2, 2023 to Feb 28, 2024
- Pension RAUM · $420M to $157MMar 2, 2023 to Feb 28, 2024
- Pooled vehicle RAUM · $204M to $285MMar 2, 2023 to Feb 28, 2024
- RAUM · $626M to $442MMar 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $691M to $626MMar 8, 2022 to Mar 2, 2023
- HNW RAUM · $671,281 to $908,535Mar 8, 2022 to Mar 2, 2023
- Pension RAUM · $449M to $420MMar 8, 2022 to Mar 2, 2023
- Pooled vehicle RAUM · $241M to $204MMar 8, 2022 to Mar 2, 2023
- RAUM · $691M to $626MMar 8, 2022 to Mar 2, 2023
- Accounts · 7 to 8Feb 26, 2021 to Mar 8, 2022
- HNW clients · unset to 1.0Feb 26, 2021 to Mar 8, 2022
- Pooled vehicle clients · 4 to 2Feb 26, 2021 to Mar 8, 2022
- Discretionary RAUM · $688M to $691MFeb 26, 2021 to Mar 8, 2022
- HNW RAUM · unset to 671281.0Feb 26, 2021 to Mar 8, 2022
- Pension RAUM · $426M to $449MFeb 26, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $262M to $241MFeb 26, 2021 to Mar 8, 2022
- RAUM · $688M to $691MFeb 26, 2021 to Mar 8, 2022
- Accounts · 8 to 7Jan 28, 2021 to Feb 26, 2021
- Pension plan clients · unset to 2.0Jan 28, 2021 to Feb 26, 2021
Signals
4 dated events
- A•••• G•••• L•• reported RAUM $442.4M, down 29% from $625.5M (2023-03-02 to 2024-02-28)Feb 28, 2024 · RAUM change · derived
- Michael J Hanisch (Chief Compliance Officer) appeared on Schedule A of A•••• G•••• L••Mar 12, 2019 · Control person joined · fact
- Mia-Margaret Laabs (Chief Compliance Officer) no longer on Schedule A of A•••• G•••• L•• (listed 2018-03-26, absent 2019-03-12)Mar 12, 2019 · Control person left · inference
- A•••• G•••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 2, 2018 · Succession (Item 4) · 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••••INC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-682-6100reportedpublic record, Form ADV, May 26, 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