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•••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 22, 2011 · 25 filings
SEC status approved since Jan 5, 2012
RAUM
$648M
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
20
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$648M as of Mar 30, 2026
Mar 28, 2013$387M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)20 as of Mar 30, 2026
Mar 28, 201311 then
Private funds2 as of Mar 30, 2026
Mar 28, 20131 then
RAUM -16% over the last fiscal year-5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $162MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%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
- Custody
- $232M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$648M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $232M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• C••••• M••••• F•••• L••• | Hedge Fund | $694M | 105 | Feb 10, 2012 |
| A•••• C••••••••• V•••••• I• L•• | Hedge Fund | $49.7M | 3 | Mar 27, 2018 |
| A•••• C••••• E••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $46.5M | 20 | Aug 6, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••• A••••• · Chief Financial Officercontrolsince 07/2019 · owns less than 5%
- H••••• M•••••••• E•••• · Managing Member, Chief Executive Officercontrolsince 11/2011 · owns 75% or more
- M•••••• T•••••• T•••••• · Chief Compliance Officer And Chief Operating Officercontrolsince 06/2012 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• C•••••• C•• I• G•• L••pooled vehicle sponsorn
- A•••• C•••••• G• ••••••• L••••••pooled vehicle sponsorn
- A•••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 30, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-26, no on the filing of 2026-03-30peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Assets in custody · $310M to $232MMar 26, 2025 to Mar 30, 2026
- Employees · 21 to 20Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $771M to $648MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $771M to $648MMar 26, 2025 to Mar 30, 2026
- RAUM · $771M to $648MMar 26, 2025 to Mar 30, 2026
- Related bank · true to falseMar 26, 2025 to Mar 30, 2026
- Assets in custody · $322M to $310MMar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $744M to $771MMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $744M to $771MMar 26, 2024 to Mar 26, 2025
- RAUM · $744M to $771MMar 26, 2024 to Mar 26, 2025
- Related adviser · false to trueMar 26, 2024 to Mar 26, 2025
- Assets in custody · $320M to $322MMar 29, 2023 to Mar 26, 2024
- Employees · 17 to 21Mar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $761M to $744MMar 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $761M to $744MMar 29, 2023 to Mar 26, 2024
- RAUM · $761M to $744MMar 29, 2023 to Mar 26, 2024
- Advisory employees · 6 to 5Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $422M to $320MMar 30, 2022 to Mar 29, 2023
- Employees · 16 to 17Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $959M to $761MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $959M to $761MMar 30, 2022 to Mar 29, 2023
- RAUM · $959M to $761MMar 30, 2022 to Mar 29, 2023
- Employees · 17 to 16Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.1B to $959MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.1B to $959MMar 30, 2021 to Mar 30, 2022
- RAUM · $1.1B to $959MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $380M to $422MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $432M to $380MMar 23, 2020 to Mar 30, 2021
- Employees · 16 to 17Mar 23, 2020 to Mar 30, 2021
- Discretionary RAUM · $959M to $1.1BMar 23, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $959M to $1.1BMar 23, 2020 to Mar 30, 2021
- RAUM · $959M to $1.1BMar 23, 2020 to Mar 30, 2021
- Accounts · 8 to 4Oct 16, 2019 to Mar 23, 2020
- Advisory activities · 2 to 1Oct 16, 2019 to Mar 23, 2020
- Corporate clients · 1.0 to unsetOct 16, 2019 to Mar 23, 2020
- Pooled vehicle clients · 5 to 3Oct 16, 2019 to Mar 23, 2020
- Assets in custody · $500M to $432MOct 16, 2019 to Mar 23, 2020
- Private funds · 3 to 2Oct 16, 2019 to Mar 23, 2020
- Discretionary RAUM · $1.1B to $959MOct 16, 2019 to Mar 23, 2020
Signals
3 dated events
- Ashish Batra (Chief Financial Officer) appeared on Schedule A of A•••• C•••••• M••••••••• L••Oct 16, 2019 · Control person joined · fact
- A•••• C•••••• M••••••••• L•• reported RAUM $1.1B, up 29% from $841.4M (2018-05-11 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- A•••• C•••••• M••••••••• L•• reported RAUM $841.4M, up 43% from $588.7M (2017-03-13 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••CREDIT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-317-4000reportedpublic record, Form ADV, Mar 30, 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