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• O•• A•••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 159469SEC 801-72875IAPD
Latest filing Jun 24, 2019
First filing on the tape Nov 9, 2011 · 14 filings
RAUM
$14.8M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$14.8M as of Jun 24, 2019
Jun 28, 2013$6.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 24, 2019
Jun 28, 20120 then
Employees (5.A)4 as of Jun 24, 2019
Jun 28, 20136 then
Private funds: no history
RAUM -2.4% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2019; 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
$14.8MderivedRAUM 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
-2.4%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$14.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• W••• S••• · Co-Presidentcontrol
        since 10/2011 · owns less than 5%
      • P•••••• P••••••• C•••• · Co-Presidentcontrol
        since 10/2011 · owns less than 5%
      • R••••• J•• F••••••••• J••• · Portfolio Managercontrol
        since 10/2011 · owns less than 5%
      • K•••• B••••••• · Chairman / A•••••••• I••••••••• M••••••••• C•• (South Korea)control
        since 01/2006 · owns 25% to 50% of A•••••••• I••••••••• M••••••••• C••
      • B••••• D•••••• W••••• · Chief Compliance Officer
        since 03/2014 · owns less than 5%
      Entity owners
      • A•••••••• I••••••••• M••••••••• C••• •••• · Managing Member
        direct · owns 25% to 50%
      • C•••••• C•••••• C•••••• · Managing Member
        direct · owns 50% to 75%
      • A•••••••• I••••••••• M••••••••• C•• · Shareholder / A•••••••• I••••••••• M••••••••• C••• ••••
        indirect · owns 75% or more of A•••••••• Investment Managment Corp (USA)
      • F•••••••• J• R••••• J•• T•••••• O• T•• R•••• F••••• T•••• D•••• 7•••••••• · Shareholder
        indirect · owns 50% to 75% of C•••••• C•••••• C••••••
      Related persons
      Schedule D 7.A
      Advisers that list A• O•• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Jun 8, 2018 to Jun 24, 2019
      • Employees · 5 to 4
        Jun 8, 2018 to Jun 24, 2019
      • Discretionary RAUM · $15.2M to $14.8M
        Jun 8, 2018 to Jun 24, 2019
      • RAUM · $15.2M to $14.8M
        Jun 8, 2018 to Jun 24, 2019
      • Other offices · unset to 0.0
        Jun 21, 2017 to Jun 8, 2018
      • Discretionary RAUM · $11.2M to $15.2M
        Jun 21, 2017 to Jun 8, 2018
      • RAUM · $11.2M to $15.2M
        Jun 21, 2017 to Jun 8, 2018
      • Employees · 6 to 5
        Jun 1, 2016 to Jun 21, 2017
      • Discretionary RAUM · $11.1M to $11.2M
        Jun 1, 2016 to Jun 21, 2017
      • RAUM · $11.1M to $11.2M
        Jun 1, 2016 to Jun 21, 2017
      • Discretionary RAUM · $12.5M to $11.1M
        Apr 22, 2016 to Jun 1, 2016
      • RAUM · $12.5M to $11.1M
        Apr 22, 2016 to Jun 1, 2016
      • Discretionary RAUM · $10.6M to $12.5M
        Aug 1, 2014 to Jun 25, 2015
      • RAUM · $10.6M to $12.5M
        Aug 1, 2014 to Jun 25, 2015
      • Discretionary RAUM · $6.1M to $10.6M
        Jun 28, 2013 to Aug 1, 2014
      • RAUM · $6.1M to $10.6M
        Jun 28, 2013 to Aug 1, 2014
      • Advisory employees · unset to 5.0
        Oct 5, 2012 to Jun 28, 2013
      • Employees · unset to 6.0
        Oct 5, 2012 to Jun 28, 2013
      • Discretionary RAUM · $2.7M to $6.1M
        Oct 5, 2012 to Jun 28, 2013
      • RAUM · $2.7M to $6.1M
        Oct 5, 2012 to Jun 28, 2013
      • Accounts · unset to 1.0
        Jun 28, 2012 to Oct 5, 2012
      • Advisory activities · 1 to 2
        Jun 28, 2012 to Oct 5, 2012
      • Discretionary RAUM · unset to 2676725.0
        Jun 28, 2012 to Oct 5, 2012
      • Non-discretionary RAUM · unset to 0.0
        Jun 28, 2012 to Oct 5, 2012
      • RAUM · unset to 2676725.0
        Jun 28, 2012 to Oct 5, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 9, 2011 to Feb 9, 2012
      • Legal name · P•••••, P•••••• C. to A• O•• A•••• M••••••••• L••
        Nov 9, 2011 to Feb 9, 2012
      Signals
      1 dated events
      • John Frederick Ruopp (Portfolio Manager) no longer on Schedule A of A• O•• A•••• M••••••••• L•• (listed 2018-06-08, absent 2019-06-24)
        Jun 24, 2019 · Control person left · inference
      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