DFX Intelligence

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A•••••• C•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $549M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2013-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $549M
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2013-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 160943 · SEC 801-73508 · 9 filingsShow

CRD 160943SEC 801-73508First filing on the tape Feb 13, 2012, latest Mar 27, 2013IAPD

RAUM

$549M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$550M gross assets

History

9 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 13, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$549M as of Mar 27, 2013

Jun 13, 2012$634M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2013

Nov 9, 20120 then

Employees (5.A)10 as of Mar 27, 2013

Nov 9, 201210 then

Private funds1 as of Mar 27, 2013

Feb 13, 20121 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 27, 2013; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $183MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 3reported
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

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A•••••• C•••••••• S••••••••• L•••	Hedge Fund	$550M	62	Feb 13, 2012

Owners and control persons

Schedule A and B, latest filing

F••• J••••••• · Limited Partner/Chief Investment Officercontrol
since 12/2011 · owns 75% or more
L••• S••••••• · Cco/Ceo/General Counselcontrol
since 12/2011 · owns less than 5%
M••• E••••• · Cfocontrol
since 04/2012 · owns less than 5%

Entity owners

A•••••• C•••••• G•• L•• · General Partner
direct · 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

Advisory employees · 3 to 4
Jan 7, 2013 to Mar 27, 2013
Discretionary RAUM · $634M to $549M
Jan 7, 2013 to Mar 27, 2013
RAUM · $634M to $549M
Jan 7, 2013 to Mar 27, 2013
Succession · true to false
Jan 7, 2013 to Mar 27, 2013
Business name · A•••••• C•••••• M••••••••• L•• to A•••••• C•••••• M••••••••• L•
Jan 2, 2013 to Jan 7, 2013

Full history · 20 changes

Legal name · A•••••• C•••••• M••••••••• L•• to A•••••• C•••••• M••••••••• L•
Jan 2, 2013 to Jan 7, 2013
Succession · false to true
Jan 2, 2013 to Jan 7, 2013
Organization form · Limited Liability Company to Partnership
Nov 9, 2012 to Jan 2, 2013
Advisory employees · unset to 3.0
Jul 23, 2012 to Nov 9, 2012
BD registered reps · unset to 0.0
Jul 23, 2012 to Nov 9, 2012
Employees · unset to 10.0
Jul 23, 2012 to Nov 9, 2012
State-registered IARs · unset to 0.0
Jul 23, 2012 to Nov 9, 2012
Business name · A•••••• C••••••• L•• to A•••••• C•••••• M••••••••• L••
Jun 13, 2012 to Jul 16, 2012
HQ city · DARIEN to NEW YORK
Jun 13, 2012 to Jul 16, 2012
HQ state · CT to NY
Jun 13, 2012 to Jul 16, 2012
Accounts · unset to 3.0
Mar 13, 2012 to Jun 13, 2012
Discretionary RAUM · unset to 633554879.0
Mar 13, 2012 to Jun 13, 2012
Non-discretionary RAUM · unset to 0.0
Mar 13, 2012 to Jun 13, 2012
RAUM · unset to 633554879.0
Mar 13, 2012 to Jun 13, 2012
Legal name · A•••••• C••••••• L•• to A•••••• C•••••• M••••••••• L••
Feb 13, 2012 to Mar 13, 2012

Signals

1 dated events

••• Locked
Jan 7, 2013 · Succession (Item 4) · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026