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•••• M••••••••• L••

Former SEC-registered adviserBala Cynwyd, PennsylvaniaCRD 160888SEC 801-75177IAPD
Latest filing Mar 26, 2020
First filing on the tape Mar 28, 2012 · 9 filings
RAUM
$369M
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
8
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$369M gross assets
History
9 filings and snapshots on the tape
RAUM$369M as of Mar 26, 2020
Mar 28, 2013$432M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 28, 20130 then
Employees (5.A)8 as of Mar 26, 2020
Mar 28, 201314 then
Private funds1 as of Mar 26, 2020
Mar 28, 20131 then
RAUM -26% over the last fiscal year-6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2020; 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
$369MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-26%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$369M100%
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 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• P•••••••• L•Private Equity Fund$23.8M75Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• D••••• J••••• · Member, Managing Partnercontrol
        since 02/2007 · owns 50% to 75%
      • B••••••• W••••••• H••••• · Member, Managing Partnercontrol
        since 02/2007 · owns 50% to 75%
      • B••••••••• G••••• J••••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 02/2007 · owns less than 5%
      • B••••• S••••• G•••••• · Managing Director, General Counselcontrol
        since 02/2007 · owns less than 5%
      • G••••••••• R••••••• I•••• · Managing Directorcontrol
        since 02/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••••••• P••••••• G•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $497M to $369M
        Mar 29, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $497M to $369M
        Mar 29, 2019 to Mar 26, 2020
      • RAUM · $497M to $369M
        Mar 29, 2019 to Mar 26, 2020
      • Employees · 9 to 8
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $493M to $497M
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $493M to $497M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $493M to $497M
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $455M to $493M
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 492544885.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $455M to $493M
        Mar 30, 2017 to Mar 28, 2018
      • Advisory employees · 5 to 6
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $419M to $455M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $419M to $455M
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $448M to $419M
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $448M to $419M
        Mar 27, 2015 to Mar 29, 2016
      • Employees · 16 to 9
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $517M to $448M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $517M to $448M
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 14 to 16
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $432M to $517M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $432M to $517M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 5.0
        Mar 28, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 28, 2012 to Mar 28, 2013
      • Employees · unset to 14.0
        Mar 28, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 28, 2012 to Mar 28, 2013
      • Discretionary RAUM · $278M to $432M
        Mar 28, 2012 to Mar 28, 2013
      • RAUM · $278M to $432M
        Mar 28, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • A••••••••• G•••• M••••••••• L•• reported RAUM $369.2M, down 26% from $496.5M (2019-03-29 to 2020-03-26)
        Mar 26, 2020 · RAUM change · derived
      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