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• G••••• F••••• I••••••••• O•••••

Former SEC-registered adviserWest Palm Beach, FloridaCRD 159319SEC 801-78445IAPD
Latest filing Mar 29, 2018
First filing on the tape Aug 9, 2013 · 9 filings
RAUM
$368M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$368M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$70.2M gross assets
History
9 filings and snapshots on the tape
RAUM$368M as of Mar 29, 2018
Mar 25, 2014$227M then
HNW client RAUM: $350M
State-registered IARs (5.B.3)6 as of Mar 29, 2018
Mar 25, 20144 then
Employees (5.A)8 as of Mar 29, 2018
Mar 25, 20146 then
Private funds1 as of Mar 29, 2018
Mar 25, 20141 then
RAUM -13% over the last fiscal year+13% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$61.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$23.3MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$314M, 23 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$350M95%
  • Individuals$17.8M4.8%
Individual clients
8reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
152reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$314M for 23 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• S••••••• E••••• · Chief Operating Officercontrol
      since 02/2013 · owns less than 5%
    • M••••••• A•••••• P•••••• · President/Chief Compliance Officercontrol
      since 09/2011 · owns less than 5%
    • B•••••• S••••••• E••••• · Membercontrol
      since 01/2013 · owns 25% to 50% of Am Global Holdings LLC
    • M••••••• A•••••• P•••••• · Membercontrol
      since 05/2012 · owns 50% to 75% of Am Global Holdings LLC
    • H•••••• A••• L•••• · Member
      since 09/2013 · owns less than 5%
    • H•••••• C••••• J•••• · Member
      since 05/2014 · owns less than 5%
    Entity owners
    • A• G••••• H•••••••• L•• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • A• G••••• A•••• M••••••••• L••
      pooled vehicle sponsorn
    • A• G••••• C••• F••• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 142 to 152
      Mar 30, 2017 to Mar 29, 2018
    • HNW clients · unset to 15.0
      Mar 30, 2017 to Mar 29, 2018
    • Individual clients · unset to 8.0
      Mar 30, 2017 to Mar 29, 2018
    • Assets in custody · $286M to $314M
      Mar 30, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Mar 29, 2018
    • Discretionary RAUM · $265M to $289M
      Mar 30, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 349733508.0
      Mar 30, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 17774772.0
      Mar 30, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $158M to $78.4M
      Mar 30, 2017 to Mar 29, 2018
    • RAUM · $423M to $368M
      Mar 30, 2017 to Mar 29, 2018
    • Accounts · 122 to 142
      Mar 29, 2016 to Mar 30, 2017
    • Assets in custody · $251M to $286M
      Mar 29, 2016 to Mar 30, 2017
    • Discretionary RAUM · $256M to $265M
      Mar 29, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $78.3M to $158M
      Mar 29, 2016 to Mar 30, 2017
    • RAUM · $335M to $423M
      Mar 29, 2016 to Mar 30, 2017
    • Accounts · 78 to 122
      Mar 30, 2015 to Mar 29, 2016
    • Assets in custody · $162M to $251M
      Mar 30, 2015 to Mar 29, 2016
    • Discretionary RAUM · $172M to $256M
      Mar 30, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $83.1M to $78.3M
      Mar 30, 2015 to Mar 29, 2016
    • RAUM · $255M to $335M
      Mar 30, 2015 to Mar 29, 2016
    • Accounts · 64 to 78
      Mar 25, 2014 to Mar 30, 2015
    • Advisory employees · 4 to 6
      Mar 25, 2014 to Mar 30, 2015
    • Assets in custody · $104M to $162M
      Mar 25, 2014 to Mar 30, 2015
    • Employees · 6 to 8
      Mar 25, 2014 to Mar 30, 2015
    • State-registered IARs · 4 to 6
      Mar 25, 2014 to Mar 30, 2015
    • Discretionary RAUM · $106M to $172M
      Mar 25, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $121M to $83.1M
      Mar 25, 2014 to Mar 30, 2015
    • RAUM · $227M to $255M
      Mar 25, 2014 to Mar 30, 2015
    • Accounts · 52 to 64
      Nov 7, 2013 to Mar 25, 2014
    • Advisory employees · 3 to 4
      Nov 7, 2013 to Mar 25, 2014
    • Business name · A• G••••• W••••• M••••••••• L•• to A• G••••• F••••• I••••••••• O•••••
      Nov 7, 2013 to Mar 25, 2014
    • Assets in custody · $75.1M to $104M
      Nov 7, 2013 to Mar 25, 2014
    • Employees · 5 to 6
      Nov 7, 2013 to Mar 25, 2014
    • Legal name · A• G••••• W••••• M••••••••• L•• to A• G••••• F••••• I••••••••• O•••••
      Nov 7, 2013 to Mar 25, 2014
    • Discretionary RAUM · $77.1M to $106M
      Nov 7, 2013 to Mar 25, 2014
    • Non-discretionary RAUM · $25.3M to $121M
      Nov 7, 2013 to Mar 25, 2014
    • RAUM · $102M to $227M
      Nov 7, 2013 to Mar 25, 2014
    • Related adviser · true to false
      Nov 7, 2013 to Mar 25, 2014
    Signals
    1 dated events
    • A• G••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 9, 2013 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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