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••••• G••••• I••••••••• L••

Former SEC-registered adviserReston, VirginiaCRD 160749SEC 801-79254IAPD
Latest filing Mar 31, 2021
First filing on the tape Feb 19, 2014 · 8 filings
RAUM
$36.4M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$36.4M as of Mar 31, 2021
Mar 31, 2015$151M then
HNW client RAUM$32.3M as of Apr 1, 2020
Mar 30, 2019$31.5M then
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Mar 31, 20151 then
Employees (5.A)2 as of Mar 31, 2021
Mar 31, 20152 then
Private funds1 as of Apr 5, 2018
Mar 31, 20152 then
RAUM +13% over the last fiscal year-4.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$36.4MderivedRAUM 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
$36.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$36.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• V•••• F••• L•no longer reportedHedge Fund$31.2M1Feb 19, 2014
      A••••• V•••• F••• L•no longer reportedOther Private Fund$21.0M1Feb 19, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• K••••• A••• · Managing Partnercontrol
        since 03/2009 · owns 75% or more
      • B••••••••• J•••• C••••••••• · Chief Compliance Officer
        since 07/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 1.0
        Apr 1, 2020 to Mar 31, 2021
      • Discretionary RAUM · $32.3M to $36.4M
        Apr 1, 2020 to Mar 31, 2021
      • HNW RAUM · 32296528.0 to unset
        Apr 1, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · unset to 36355978.0
        Apr 1, 2020 to Mar 31, 2021
      • RAUM · $32.3M to $36.4M
        Apr 1, 2020 to Mar 31, 2021
      • HNW clients · 1.0 to unset
        Mar 30, 2019 to Apr 1, 2020
      • Other offices · 1 to 0
        Mar 30, 2019 to Apr 1, 2020
      • Discretionary RAUM · $31.5M to $32.3M
        Mar 30, 2019 to Apr 1, 2020
      • HNW RAUM · $31.5M to $32.3M
        Mar 30, 2019 to Apr 1, 2020
      • RAUM · $31.5M to $32.3M
        Mar 30, 2019 to Apr 1, 2020
      • Accounts · 2 to 1
        Apr 5, 2018 to Mar 30, 2019
      • HNW clients · unset to 1.0
        Apr 5, 2018 to Mar 30, 2019
      • Pooled vehicle clients · 1.0 to unset
        Apr 5, 2018 to Mar 30, 2019
      • Private funds · 1 to unset
        Apr 5, 2018 to Mar 30, 2019
      • Discretionary RAUM · $42.2M to $31.5M
        Apr 5, 2018 to Mar 30, 2019
      • HNW RAUM · unset to 31526919.0
        Apr 5, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · 31227242.0 to unset
        Apr 5, 2018 to Mar 30, 2019
      • RAUM · $42.2M to $31.5M
        Apr 5, 2018 to Mar 30, 2019
      • Pooled vehicle clients · unset to 1.0
        May 24, 2017 to Apr 5, 2018
      • Other offices · unset to 1.0
        May 24, 2017 to Apr 5, 2018
      • Private funds · 2 to 1
        May 24, 2017 to Apr 5, 2018
      • Discretionary RAUM · $42.6M to $42.2M
        May 24, 2017 to Apr 5, 2018
      • Pooled vehicle RAUM · unset to 31227242.0
        May 24, 2017 to Apr 5, 2018
      • RAUM · $42.6M to $42.2M
        May 24, 2017 to Apr 5, 2018
      • Accounts · 6 to 2
        Mar 30, 2016 to May 24, 2017
      • Discretionary RAUM · $102M to $42.6M
        Mar 30, 2016 to May 24, 2017
      • RAUM · $102M to $42.6M
        Mar 30, 2016 to May 24, 2017
      • Discretionary RAUM · $151M to $102M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $151M to $102M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 4 to 6
        Feb 19, 2014 to Mar 31, 2015
      • Discretionary RAUM · $170M to $151M
        Feb 19, 2014 to Mar 31, 2015
      • RAUM · $170M to $151M
        Feb 19, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • A••••• G••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 19, 2014 · 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