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•••• M••••••••• P•• L•••
Latest filing Aug 11, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Feb 23, 2012
RAUM
$1.1B
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
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.1B as of Aug 11, 2026
Jun 29, 2012$841M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 11, 2026
Jun 12, 20130 then
Employees (5.A)16 as of Aug 11, 2026
Jun 12, 201313 then
Private funds4 as of Aug 11, 2026
Jun 29, 20121 then
RAUM -38% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 11, 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
- $150MderivedRAUM 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
- +4.8%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$687M65%
- Corporations and businesses$365M35%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.65 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•••• E••••••• A••• M••••• F••• | Hedge Fund | $388M | 36 | Feb 14, 2012 |
| A•••• E••••••• I•••• M••••• F••• | Hedge Fund | $383M | 19 | Jun 26, 2017 |
| A••••• L••• | Hedge Fund | $326M | 3 | Jun 12, 2018 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• B•••••• · Chief Investment Officercontrolsince 12/2021 · owns 75% or more
- S•••••• C••••••••• · Chief Financial Officer And Chief Executive Officercontrolsince 12/2021 · owns less than 5%
- C•••••• B•••• · Chief Compliance Officersince 12/2018 · owns less than 5%
- C•••••• K•••• · Executive Directorsince 11/2022 · owns less than 5%
Related persons
Schedule D 7.A
- I•••• I••••••••• M••••••••• P•••••• L••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Sep 4, 2025 to Jun 29, 2026
- Advisory employees · 11 to 8Sep 4, 2025 to Jun 29, 2026
- Corporate clients · 2 to 3Sep 4, 2025 to Jun 29, 2026
- Employees · 20 to 16Sep 4, 2025 to Jun 29, 2026
- Discretionary RAUM · $1.4B to $1.1BSep 4, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $1.1B to $687MSep 4, 2025 to Jun 29, 2026
- RAUM · $1.4B to $1.1BSep 4, 2025 to Jun 29, 2026
- Accounts · 7 to 6Jun 27, 2025 to Sep 4, 2025
- Advisory employees · 10 to 11Jun 27, 2025 to Sep 4, 2025
- Pooled vehicle clients · 3 to 4Jun 27, 2025 to Sep 4, 2025
- Employees · 18 to 20Jun 27, 2025 to Sep 4, 2025
- Private funds · 3 to 4Jun 27, 2025 to Sep 4, 2025
- Discretionary RAUM · $1.3B to $1.4BJun 27, 2025 to Sep 4, 2025
- Pooled vehicle RAUM · $1.0B to $1.1BJun 27, 2025 to Sep 4, 2025
- RAUM · $1.3B to $1.4BJun 27, 2025 to Sep 4, 2025
- Advisory employees · 11 to 10Jun 28, 2024 to Jun 27, 2025
- Corporate clients · unset to 2.0Jun 28, 2024 to Jun 27, 2025
- Employees · 19 to 18Jun 28, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jun 28, 2024 to Jun 27, 2025
- HQ state · unset to Jun 28, 2024 to Jun 27, 2025
- Discretionary RAUM · $1.8B to $1.3BJun 28, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $1.1B to $1.0BJun 28, 2024 to Jun 27, 2025
- RAUM · $1.8B to $1.3BJun 28, 2024 to Jun 27, 2025
- Discretionary RAUM · $1.7B to $1.8BJun 28, 2023 to Jun 28, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BJun 28, 2023 to Jun 28, 2024
- RAUM · $1.7B to $1.8BJun 28, 2023 to Jun 28, 2024
- Advisory employees · 12 to 11Dec 21, 2022 to Jun 28, 2023
- Corporate clients · 1.0 to unsetDec 21, 2022 to Jun 28, 2023
- Employees · 18 to 19Dec 21, 2022 to Jun 28, 2023
- Discretionary RAUM · $2.0B to $1.7BDec 21, 2022 to Jun 28, 2023
- Pooled vehicle RAUM · $1.2B to $1.1BDec 21, 2022 to Jun 28, 2023
- RAUM · $2.0B to $1.7BDec 21, 2022 to Jun 28, 2023
- Accounts · 6 to 7Dec 7, 2021 to Jun 20, 2022
- Advisory employees · 10 to 12Dec 7, 2021 to Jun 20, 2022
- Corporate clients · unset to 1.0Dec 7, 2021 to Jun 20, 2022
- Employees · 17 to 18Dec 7, 2021 to Jun 20, 2022
- Discretionary RAUM · $2.0B to $2.0BDec 7, 2021 to Jun 20, 2022
- Pooled vehicle RAUM · $1.1B to $1.2BDec 7, 2021 to Jun 20, 2022
- RAUM · $2.0B to $2.0BDec 7, 2021 to Jun 20, 2022
- Advisory employees · 11 to 10Jun 18, 2020 to Jun 16, 2021
Signals
3 dated events
- A•••• A•••• M••••••••• P•• L••• reported RAUM $2.0B, up 96% from $1.0B (2020-06-18 to 2021-06-16)Jun 16, 2021 · RAUM change · derived
- A•••• A•••• M••••••••• P•• L••• reported RAUM $945.1M, up 29% from $734.7M (2019-03-29 to 2019-06-25)Jun 25, 2019 · RAUM change · derived
- A•••• A•••• M••••••••• P•• L••• reported RAUM $734.7M, up 43% from $512.8M (2017-06-28 to 2018-06-12)Jun 12, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (65) 6535 6171reportedpublic record, Form ADV, Aug 11, 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