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•••••• M••••••••• L••
Latest filing Dec 10, 2024
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$252M
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
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$252M gross assets
History
19 filings and snapshots on the tape
RAUM$252M as of Mar 29, 2024
Mar 28, 2013$876M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 28, 20130 then
Employees (5.A)12 as of Mar 29, 2024
Mar 28, 201314 then
Private funds3 as of Mar 29, 2024
Mar 28, 20134 then
RAUM +282% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 10, 2024; 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
- $252MderivedRAUM 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
- +282%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
- $65.7M, 2 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)
- 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$252M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.7M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• O••••••••• F••• I•• L••• | Private Equity Fund | $183M | 70 | Feb 14, 2012 |
| A•••••• I• A••••••••• I••••••••• L••• | Private Equity Fund | $60.6M | 70 | Mar 31, 2014 |
| A••••••• S••••••••• O••••••••• F•••• L•no longer reported | Private Equity Fund | $48.4M | 48 | Feb 14, 2012 |
| A•••••• O••••••••• F••• I• ••• L• | Private Equity Fund | $8.4M | 31 | Feb 14, 2012 |
| A••••••• S••••••••• O••••••••• F••• ••• L•no longer reported | Private Equity Fund | $3.0M | 30 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S••••••••• E•••• L• · Managing Director & General Counselcontrolsince 01/2006 · owns less than 5%
- B•••••• J•••••••• I••••• · Limited Partnercontrolsince 06/2021 · owns 50% to 75% of B•••• G•••• C•••••• H••••••• L•
- F••••• M••••••• G••••• · Trusteecontrolsince 02/2006 · owns F of M•••••• G• F•••• 2••• R•••••••• T••••
- B•••••• J•••••••• I••••• · Chief Executive Officer/Chief Investment Officersince 06/2021 · owns less than 5%
- E••••••• R•••• D•••• · Chief Financial Officersince 06/2021 · owns less than 5%
- F•••• A•••••• A••• · Presidentsince 06/2021 · owns less than 5%
- M•••• J•••••• B• · Chief Compliance Officersince 01/2018 · owns less than 5%
- F•••• A•••••• A••• · Limited Partnersince 06/2021 · owns 25% to 50% of B•••• G•••• C•••••• H••••••• L•
Entity owners
- A••••••• S••••••••• L•• · Managing Managerdirect · owns 50% to 75%
- A••••••• S••••••••• H•••••••• L•• · Sole Memberindirect · owns 75% or more of A••••••• S••••••••• L••
- A•••• L•• · Managing Memberindirect · owns F of A••••••• S••••••••• H•••••••• L••
- B• C•••••• G• L•• · General Partnerindirect · owns F of B•••• G•••• C•••••• H••••••• L•
- M•••••• G• F•••• 2••• R•••••••• T•••• · Managing Memberindirect · owns F of A••••••• S••••••••• L••
- B•••• G•••• C•••••• H••••••• L• · Non-Managing Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••••• S••••••••• L••investment adviseryRAUM $19B
- A•••••• C•••••• L••investment advisernRAUM $1.1B
- A•••••• A••••••••• I• L••pooled vehicle sponsorn
- A• B•••• G•••• L•investment advisernRAUM $6.0B
Advisers that list 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 4Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $66.1M to $65.7MMar 31, 2023 to Mar 29, 2024
- Employees · 9 to 12Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $66.1M to $252MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $66.1M to $252MMar 31, 2023 to Mar 29, 2024
- RAUM · $66.1M to $252MMar 31, 2023 to Mar 29, 2024
- Accounts · 3 to 1Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $121M to $66.1MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $121M to $66.1MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $121M to $66.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $121M to $66.1MMar 31, 2022 to Mar 31, 2023
- Accounts · 2 to 3Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 10 to 5Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $204M to $121MMar 30, 2021 to Mar 31, 2022
- Employees · 11 to 9Mar 30, 2021 to Mar 31, 2022
- Financial planning clients · 11-25 to 1-10Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $204M to $121MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $204M to $121MMar 30, 2021 to Mar 31, 2022
- RAUM · $204M to $121MMar 30, 2021 to Mar 31, 2022
- Accounts · 5 to 2Mar 31, 2020 to Mar 30, 2021
- Assets in custody · $280M to $204MMar 31, 2020 to Mar 30, 2021
- Financial planning clients · 1-10 to 11-25Mar 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $280M to $204MMar 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $280M to $204MMar 31, 2020 to Mar 30, 2021
- RAUM · $280M to $204MMar 31, 2020 to Mar 30, 2021
- Advisory employees · 12 to 10Mar 31, 2019 to Mar 31, 2020
- Assets in custody · $409M to $280MMar 31, 2019 to Mar 31, 2020
- Employees · 13 to 11Mar 31, 2019 to Mar 31, 2020
- Discretionary RAUM · $409M to $280MMar 31, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $409M to $280MMar 31, 2019 to Mar 31, 2020
- RAUM · $409M to $280MMar 31, 2019 to Mar 31, 2020
- Assets in custody · $584M to $409MMay 8, 2018 to Mar 31, 2019
- Employees · 12 to 13May 8, 2018 to Mar 31, 2019
- Discretionary RAUM · $584M to $409MMay 8, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $584M to $409MMay 8, 2018 to Mar 31, 2019
- RAUM · $584M to $409MMay 8, 2018 to Mar 31, 2019
- Advisory employees · 10 to 12Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $688M to $584MMar 31, 2017 to Mar 29, 2018
- Financial planning clients · unset to 1-10Mar 31, 2017 to Mar 29, 2018
Signals
6 dated events
- A•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $252.4M)Mar 6, 2025 · Left the SEC roster · derived
- A•••••• M••••••••• L•• reported RAUM $252.4M, up 282% from $66.1M (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Alan Lawrence First (Managing Director/Chief Investment Officer) no longer on Schedule A of A•••••• M••••••••• L•• (listed 2021-03-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Israel Jonathan Berger (Limited Partner) appeared on Schedule A of A•••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- A•••••• M••••••••• L•• reported RAUM $280.1M, down 32% from $409.0M (2019-03-31 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- A•••••• M••••••••• L•• reported RAUM $409.0M, down 30% from $584.3M (2018-05-08 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••••• M••••••••• L•• · Private Equityshared crd · organization
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