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•••• A•••••• L••
Latest filing Jun 29, 2026
First filing on the tape Feb 14, 2012 · 33 filings
SEC status approved since Mar 30, 2012
RAUM
$1.2B
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
60
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.2B as of Jun 29, 2026
Jun 29, 2012$727M then
HNW client RAUM$0 as of Jun 29, 2026
Jun 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 28, 20130 then
Employees (5.A)60 as of Jun 29, 2026
Jun 28, 201369 then
Private funds20 as of Jun 29, 2026
Jun 29, 20125 then
RAUM -19% over the last fiscal year-3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 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
- $58.8MderivedRAUM 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
- -34%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
31 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• C•••••• P••••••• I• L• •••• I• L•••no longer reported | Private Equity Fund | $197M | 16 | Feb 14, 2012 |
| C•••• R• L• | Private Equity Fund | $156M | 10 | Jun 29, 2023 |
| C•••• V•••••• F••• I• L••• | Private Equity Fund | $148M | 11 | Jun 29, 2023 |
| A•••• F••• A•• A••••••••• P••••••• I• L• •••• I•• | Private Equity Fund | $115M | 32 | Mar 10, 2016 |
| C•••• V• L••• | Private Equity Fund | $114M | 7 | Jun 29, 2023 |
| C•••• 7••• L• | Private Equity Fund | $101M | 33 | Mar 10, 2016 |
| A•••• L•••• A•••••• P••••••• B• L• | Private Equity Fund | $74.7M | 26 | Mar 31, 2014 |
| A•••• O••••••••• M••••• L•no longer reported | Hedge Fund | $69.6M | 29 | Feb 14, 2012 |
| A•••• B•• I•••••••• I•• L••• | Private Equity Fund | $68.5M | 15 | Jun 29, 2020 |
| C•••• V•••••• F••• I••• L••• | Private Equity Fund | $62.9M | 15 | Jun 29, 2023 |
| A••• I• C•••••••• L• | Private Equity Fund | $58.9M | 2 | Mar 10, 2016 |
| A•••• O••••••••• I•••••••• L•no longer reported | Hedge Fund | $54.2M | 17 | Feb 14, 2012 |
| A•••• L•••• A•••••• P••••••• A• L• | Private Equity Fund | $52.4M | 6 | Mar 31, 2014 |
| A•••• L•••• A•••••• P••••••• L•no longer reported | Private Equity Fund | $49.9M | 3 | Mar 31, 2014 |
| C•••• P•••• I••••••••• L••• | Private Equity Fund | $44.8M | 18 | Jun 28, 2022 |
| C••••••••• L• | Private Equity Fund | $41.6M | 62 | Jun 25, 2014 |
| C•••• B•••••• I••••••••• L••• | Private Equity Fund | $39.9M | 3 | Jun 29, 2023 |
| A•••• C•••••• P••••••• L• •••• L••• | Private Equity Fund | $29.2M | 14 | Feb 14, 2012 |
| A•••• L•••• A•••••• P••••••• C• L• | Private Equity Fund | $28.4M | 1 | Mar 10, 2016 |
| A•••• B•• I•••••••• F••• L• | Private Equity Fund | $25.8M | 2 | Jun 17, 2015 |
| C••••••••• H••••••• L•• | Private Equity Fund | $14.8M | 6 | Jun 25, 2014 |
| C•••• M••• I••••••••• L••• | Private Equity Fund | $13.5M | 3 | Jun 28, 2022 |
| A•••• F••• A•• A••••••••• P••••••• L• ••••• L••• | Private Equity Fund | $12.0M | 28 | Feb 14, 2012 |
| C•• C••••••••• O••••••••• Q•• L••• | Private Equity Fund | $10.6M | 22 | Jun 28, 2022 |
| C•• C••••••••• O••••••••• L••• | Private Equity Fund | $9.4M | 32 | Jun 28, 2022 |
| A•• C••••••••• M••••• L•no longer reported | Hedge Fund | $9.2M | 2 | Feb 14, 2012 |
| A•• C••••••••• L•no longer reported | Hedge Fund | $8.1M | 7 | Feb 14, 2012 |
| A•••• O••••••••• O••••••• L•••no longer reported | Hedge Fund | $3.6M | 4 | Feb 14, 2012 |
| A•••• B•• I•••••••• L•• | Private Equity Fund | $1.8M | 11 | Jun 17, 2015 |
| C•••• G••••••••• I•••••••• L• | Private Equity Fund | $1.2M | 4 | Jun 28, 2021 |
| A•• C••••••••• O••••••• L•••no longer reported | Hedge Fund | $402,613 | 1 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• M••••••• R••• · Chief Compliance Officer And Secretarycontrolsince 09/2011 · owns less than 5%
- D•••••••• D••••• W•••••• · Vice Presidentsince 10/2014 · owns less than 5%
- E•••••••• S••••• P•••••• · Vice Presidentsince 06/2016 · owns less than 5%
- J•••••• J•••••••• F••••• · Compliance Officer And Assistant Secretarysince 02/2012 · owns less than 5%
- M•••••••• S••••• E•••• · Compliance Administratorsince 02/2012 · owns less than 5%
Entity owners
- C••••••••• G•••• C•••••• · Sole Memberdirect · owns 75% or more
- F••••••• E••••••••• L•• · G•••••• Partner/Ownerindirect · owns 25% to 50% of F••••••• G••••••••• F••••• L•
- F••••••• G••••••••• F••••• L• · Ownerindirect · owns 25% to 50% of C••••••••• G•••• C••••••
Related persons
Schedule D 7.A
- A••••• A••••••••• L•pooled vehicle sponsorn
- A••••• S••• H••••• L•pooled vehicle sponsory
- A•••• B•• I• L••pooled vehicle sponsorn
- A•••• B•• L••pooled vehicle sponsorn
- A•••• C•••••• P••••••• G•••••• P•••••• I• L•pooled vehicle sponsory
- A•••• C•••••• P••••••• G•••••• P•••••• L•pooled vehicle sponsory
- A•••• C•••••• P••••••• M••••••••• C•••••• L••pooled vehicle sponsory
- A•••• F••• A•• A••••••••• A••••••• I• L••pooled vehicle sponsory
- A•••• F••• A•• A••••••••• A••••••••• I• L•pooled vehicle sponsory
- C•• C••••••••• O••••••••• G•• L••pooled vehicle sponsorn
- C•••• B••••••• L••pooled vehicle sponsorn
- C•••• G••••••••• L••pooled vehicle sponsorn
- C•••• M•••• L••pooled vehicle sponsorn
- C•••• P••••• L••pooled vehicle sponsorn
- C•••• R•• L••pooled vehicle sponsorn
- C•••• V• L••••••pooled vehicle sponsorn
- C•••• V•••••• G• I• L•••pooled vehicle sponsorn
- C••••••••• L••pooled vehicle sponsorn
- C••••••••• G•••• C••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.0B to $1.2BJun 26, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $1.0B to $1.2BJun 26, 2025 to Jun 29, 2026
- RAUM · $1.0B to $1.2BJun 26, 2025 to Jun 29, 2026
- Accounts · 21 to 20Jul 1, 2024 to Jun 26, 2025
- Pooled vehicle clients · 21 to 20Jul 1, 2024 to Jun 26, 2025
- Financial planning clients · unset to Jul 1, 2024 to Jun 26, 2025
- Private funds · 21 to 20Jul 1, 2024 to Jun 26, 2025
- Discretionary RAUM · $1.1B to $1.0BJul 1, 2024 to Jun 26, 2025
- Pooled vehicle RAUM · $1.1B to $1.0BJul 1, 2024 to Jun 26, 2025
- RAUM · $1.1B to $1.0BJul 1, 2024 to Jun 26, 2025
- Discretionary RAUM · $955M to $1.1BJun 27, 2024 to Jul 1, 2024
- Pooled vehicle RAUM · $955M to $1.1BJun 27, 2024 to Jul 1, 2024
- RAUM · $955M to $1.1BJun 27, 2024 to Jul 1, 2024
- Accounts · 23 to 21Jan 22, 2024 to Jun 27, 2024
- Advisory employees · 20 to 22Jan 22, 2024 to Jun 27, 2024
- Pooled vehicle clients · 23 to 21Jan 22, 2024 to Jun 27, 2024
- Private funds · 23 to 21Jan 22, 2024 to Jun 27, 2024
- Discretionary RAUM · $1.4B to $955MJan 22, 2024 to Jun 27, 2024
- Pooled vehicle RAUM · $1.4B to $955MJan 22, 2024 to Jun 27, 2024
- RAUM · $1.4B to $955MJan 22, 2024 to Jun 27, 2024
- Accounts · 18 to 23May 16, 2023 to Jun 29, 2023
- Pooled vehicle clients · 18 to 23May 16, 2023 to Jun 29, 2023
- Private funds · 18 to 23May 16, 2023 to Jun 29, 2023
- Discretionary RAUM · $1.1B to $1.4BMay 16, 2023 to Jun 29, 2023
- Pooled vehicle RAUM · $1.1B to $1.4BMay 16, 2023 to Jun 29, 2023
- RAUM · $1.1B to $1.4BMay 16, 2023 to Jun 29, 2023
- Accounts · 14 to 18Jun 28, 2021 to Jun 28, 2022
- Pooled vehicle clients · 14 to 18Jun 28, 2021 to Jun 28, 2022
- Employees · 50 to 60Jun 28, 2021 to Jun 28, 2022
- Private funds · 14 to 18Jun 28, 2021 to Jun 28, 2022
- Discretionary RAUM · $1.3B to $1.1BJun 28, 2021 to Jun 28, 2022
- Pooled vehicle RAUM · $1.3B to $1.1BJun 28, 2021 to Jun 28, 2022
- RAUM · $1.3B to $1.1BJun 28, 2021 to Jun 28, 2022
- Accounts · 13 to 14Jun 29, 2020 to Jun 28, 2021
- Pooled vehicle clients · 13 to 14Jun 29, 2020 to Jun 28, 2021
- Private funds · 13 to 14Jun 29, 2020 to Jun 28, 2021
- Discretionary RAUM · $1.2B to $1.3BJun 29, 2020 to Jun 28, 2021
- Pooled vehicle RAUM · $1.2B to $1.3BJun 29, 2020 to Jun 28, 2021
- RAUM · $1.2B to $1.3BJun 29, 2020 to Jun 28, 2021
- Accounts · 12 to 13Jun 28, 2019 to Jun 29, 2020
Signals
6 dated events
- A•••• A•••••• L•• reported RAUM $955.4M, down 34% from $1.4B (2024-01-22 to 2024-06-27)Jun 27, 2024 · RAUM change · derived
- A•••• A•••••• L•• reported RAUM $1.4B, up 27% from $1.1B (2023-05-16 to 2023-06-29)Jun 29, 2023 · RAUM change · derived
- Daniel Benjamin Fishman (Managing Director) no longer on Schedule A of A•••• A•••••• L•• (listed 2020-06-29, absent 2021-06-28)Jun 28, 2021 · Control person left · inference
- Geer Guillermo Bilbao (Managing Director) no longer on Schedule A of A•••• A•••••• L•• (listed 2020-06-29, absent 2021-06-28)Jun 28, 2021 · Control person left · inference
- M••••• T•••• R•••• (Managing Director) no longer on Schedule A of A•••• A•••••• L•• (listed 2020-06-29, absent 2021-06-28)Jun 28, 2021 · Control person left · inference
- M••••• T•••• R•••• (Managing Director) appeared on Schedule A of A•••• A•••••• L••Jun 29, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- A•••• A•••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••• A•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-207-5200reportedpublic record, Form ADV, Jun 29, 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