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••••••

Former SEC-registered adviserNew York, New YorkCRD 161072SEC 801-73656IAPD
Legal name A•••• C•••••• M••••••••• L••
Latest filing Aug 28, 2013
First filing on the tape Feb 14, 2012 · 3 filings
RAUM
$2.1B
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
13
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$3.1B gross assets
History
3 filings and snapshots on the tape
RAUM$2.1B as of Aug 28, 2013
Feb 14, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 28, 2013
Apr 1, 20130 then
Employees (5.A)13 as of Aug 28, 2013
Apr 1, 201313 then
Private funds10 as of Aug 28, 2013
Feb 14, 20125 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 28, 2013; 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
$513MderivedRAUM 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
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
Custody
$305M, 1 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$305M for 1 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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• C•••••• A••••••••• L•no longer reportedHedge Fund$86.0M22Feb 14, 2012
      A•••• C•••••• G•••••• M••••• F•••• L•Hedge Fund$57.2M6Aug 28, 2013
      A•••• C•••••• M•••••• L•••Hedge Fund$49.0M179Feb 14, 2012
      A•••• C•••••• O•••••••• L•••Hedge Fund$25.4M60Feb 14, 2012
      A•••• C•••••• I••••••••• L•Hedge Fund$23.4M119Feb 14, 2012
      A•••• C•••••• G•••••• O••••••• F•••• L•••Hedge Fund$23.1M2Aug 28, 2013
      A•••• C•••••• G•••••• F•••• L•Hedge Fund$11.0M4Aug 28, 2013
      A•••• C••••••• L•Hedge Fund$6.8M52Feb 14, 2012
      A•••• C•••••• N•••••• M••••• F•••• L•Hedge Fund$1.3M5Aug 28, 2013
      A•••• C•••••• N•••••• O••••••• F•••• L•••Hedge Fund$951,7782Aug 28, 2013
      A•••• C•••••• N•••••• F•••• L•Hedge Fund$293,2963Aug 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• M•••• P•••••• · Managing Membercontrol
        since 09/2002 · owns 50% to 75%
      • A••••••••• E••••• I••• · Managing Membercontrol
        since 09/2002 · owns 50% to 75%
      • F•••••• C••••••• E••••• · General Counsel / Chief Compliance Officer
        since 03/2013 · owns less than 5%
      • M•••••• J••••• D••••• · Chief Financial Officer
        since 05/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••• C•••••• P••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 4 to 10
        Apr 1, 2013 to Aug 28, 2013
      • Accounts · 5 to 4
        Feb 14, 2012 to Apr 1, 2013
      • Advisory employees · unset to 7.0
        Feb 14, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Apr 1, 2013
      • Assets in custody · $457M to $305M
        Feb 14, 2012 to Apr 1, 2013
      • Employees · unset to 13.0
        Feb 14, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Apr 1, 2013
      • Private funds · 5 to 4
        Feb 14, 2012 to Apr 1, 2013
      • Discretionary RAUM · $3.0B to $2.1B
        Feb 14, 2012 to Apr 1, 2013
      • RAUM · $3.0B to $2.1B
        Feb 14, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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