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••••••• C•••••• A•••• M••••••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 160780SEC 801-74279IAPD
Latest filing Mar 30, 2016
First filing on the tape Feb 15, 2012 · 15 filings
RAUM
$4.8B
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
262
95 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
14
$4.8B gross assets
History
15 filings and snapshots on the tape
RAUM$4.8B as of Mar 30, 2016
Mar 27, 2013$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 27, 20130 then
Employees (5.A)262 as of Mar 30, 2016
Mar 27, 2013291 then
Private funds14 as of Mar 30, 2016
Mar 27, 20136 then
RAUM -1.0% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$343MderivedRAUM 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
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
-1.0%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
$1.6B, 6 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.6B for 6 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• C•••••• L••••••Hedge Fund$462M1Feb 15, 2012
      A••• C•• 2•••••• L••Securitized Asset Fund$193M10Feb 15, 2012
      A••• C•••••• 2•••••• L••Securitized Asset Fund$012Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••••• J•••• R••••• · Executive Vice President And Treasurercontrol
        since 02/2011 · owns less than 5%
      • F•••• S•••••• A•••• · Chief Compliance Officer, Executive Vice President And Secretarycontrol
        since 02/2011 · owns less than 5%
      • W•••••• M•••• · Chief Executive Officer And Presidentcontrol
        since 02/2011 · owns less than 5%
      Entity owners
      • A••••••• C••••••• L••• · Common Stock Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list A••••••• C•••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Annapolis, MD
      • Framingham, MA
      • London, United Kingdom
      • New York, NY
      • Paris, France
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 14
        Nov 2, 2015 to Mar 30, 2016
      • Advisory employees · 104 to 95
        Nov 2, 2015 to Mar 30, 2016
      • Assets in custody · $4.9B to $1.6B
        Nov 2, 2015 to Mar 30, 2016
      • Employees · 281 to 262
        Nov 2, 2015 to Mar 30, 2016
      • Private funds · 12 to 14
        Nov 2, 2015 to Mar 30, 2016
      • Discretionary RAUM · $4.9B to $4.8B
        Nov 2, 2015 to Mar 30, 2016
      • RAUM · $4.9B to $4.8B
        Nov 2, 2015 to Mar 30, 2016
      • Private funds · 11 to 12
        Mar 31, 2015 to Nov 2, 2015
      • Accounts · 8 to 11
        Sep 23, 2014 to Mar 31, 2015
      • Advisory employees · 117 to 104
        Sep 23, 2014 to Mar 31, 2015
      • Assets in custody · $3.5B to $4.9B
        Sep 23, 2014 to Mar 31, 2015
      • Employees · 326 to 281
        Sep 23, 2014 to Mar 31, 2015
      • Private funds · 10 to 11
        Sep 23, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.5B to $4.9B
        Sep 23, 2014 to Mar 31, 2015
      • RAUM · $3.5B to $4.9B
        Sep 23, 2014 to Mar 31, 2015
      • Private funds · 8 to 10
        Mar 27, 2014 to Sep 23, 2014
      • Accounts · 6 to 8
        Aug 8, 2013 to Mar 27, 2014
      • Advisory employees · 100 to 117
        Aug 8, 2013 to Mar 27, 2014
      • Assets in custody · $3.2B to $3.5B
        Aug 8, 2013 to Mar 27, 2014
      • Employees · 291 to 326
        Aug 8, 2013 to Mar 27, 2014
      • Private funds · 7 to 8
        Aug 8, 2013 to Mar 27, 2014
      • Discretionary RAUM · $3.2B to $3.5B
        Aug 8, 2013 to Mar 27, 2014
      • RAUM · $3.2B to $3.5B
        Aug 8, 2013 to Mar 27, 2014
      • Related bank · false to true
        Aug 8, 2013 to Mar 27, 2014
      • Private funds · 6 to 7
        Mar 27, 2013 to Aug 8, 2013
      • Accounts · 5 to 6
        Feb 4, 2013 to Mar 27, 2013
      • Advisory employees · 98 to 100
        Feb 4, 2013 to Mar 27, 2013
      • Business name · A••••••• C••••••• L•• to A••••••• C•••••• A•••• M••••••••• L••
        Feb 4, 2013 to Mar 27, 2013
      • Assets in custody · $2.7B to $3.2B
        Feb 4, 2013 to Mar 27, 2013
      • Employees · 265 to 291
        Feb 4, 2013 to Mar 27, 2013
      • Legal name · A••••••• C••••••• L•• to A••••••• C•••••• A•••• M••••••••• L••
        Feb 4, 2013 to Mar 27, 2013
      • Private funds · 5 to 6
        Feb 4, 2013 to Mar 27, 2013
      • Discretionary RAUM · $2.7B to $3.2B
        Feb 4, 2013 to Mar 27, 2013
      • RAUM · $2.7B to $3.2B
        Feb 4, 2013 to Mar 27, 2013
      • Advisory employees · unset to 98.0
        Apr 25, 2012 to Nov 29, 2012
      • BD registered reps · unset to 0.0
        Apr 25, 2012 to Nov 29, 2012
      • Employees · unset to 265.0
        Apr 25, 2012 to Nov 29, 2012
      • State-registered IARs · unset to 0.0
        Apr 25, 2012 to Nov 29, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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