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••••••• S••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2016 · 29 filings
SEC status approved since Apr 15, 2016
RAUM
$1.6B
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
18
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2026
Mar 27, 2017$295M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 27, 20170 then
Employees (5.A)18 as of Mar 31, 2026
Mar 27, 201713 then
Private funds5 as of Mar 31, 2026
Mar 27, 20173 then
RAUM +1.3% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.6BderivedRAUM 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
- $322MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 18.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• S••••• C•••••• I•• L• | Private Equity Fund | $684M | 39 | Mar 27, 2019 |
| S•••• C••••••••• F•••• L• | Private Equity Fund | $661M | 37 | May 13, 2022 |
| A••••••• S••••• C•••••• V• L• | Private Equity Fund | $558M | 43 | Mar 31, 2022 |
| A••••••• S••••• C•••••• I••• L• | Private Equity Fund | $334M | 21 | Mar 27, 2017 |
| A•••••• C• I•••••• L••no longer reported | Private Equity Fund | $196M | 17 | Mar 26, 2021 |
| A••••••• S••••• C•••••• I•• L• | Private Equity Fund | $99.9M | 13 | Feb 29, 2012 |
| A••••••• S••••• C•••••• I• L•• | Private Equity Fund | $8.8M | 4 | Feb 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•••••••• B•••••• M••••••• S••••• · Chief Financial Officercontrolsince 09/2024 · owns less than 5%
- R•••••• I•••• B••• · Chief Compliance Officercontrolsince 06/2011 · owns less than 5%
- S••••••••• P••••• J••• · Managing Partnercontrolsince 04/2009 · owns 25% to 50%
- W••••••• A•••••• C•••••• · Managing Partner & Chief I•••••Ment Officercontrolsince 01/2009 · owns 50% to 75%
- D••••• P••••••• N••••••• · Partnersince 12/2018 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• S••••• C•••••• G• I•• L•pooled vehicle sponsorn
- A••••••• S••••• C•••••• G• I••• L•pooled vehicle sponsorn
- A••••••• S••••• C•••••• G• I•• L•pooled vehicle sponsorn
- A••••••• S••••• C•••••• G• V• L••pooled vehicle sponsorn
- A••••••• S••••• C•••••• M•• L••pooled vehicle sponsorn
- S•••• C••••••••• F••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY8 employees
- West Palm Beach, FL3 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 5Aug 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 5Aug 27, 2025 to Mar 31, 2026
- Employees · 17 to 18Aug 27, 2025 to Mar 31, 2026
- Private funds · 6 to 5Aug 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $1.6BAug 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $1.6BAug 27, 2025 to Mar 31, 2026
- RAUM · $1.6B to $1.6BAug 27, 2025 to Mar 31, 2026
- Custody of client assets · true to falseSep 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.3B to $1.6BSep 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.3B to $1.6BSep 26, 2024 to Mar 31, 2025
- RAUM · $2.3B to $1.6BSep 26, 2024 to Mar 31, 2025
- Assets in custody · unset to 0.0Jan 30, 2024 to Mar 29, 2024
- Custody of client assets · false to trueJan 30, 2024 to Mar 29, 2024
- Employees · 20 to 17Jan 30, 2024 to Mar 29, 2024
- Discretionary RAUM · $2.6B to $2.3BJan 30, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $2.6B to $2.3BJan 30, 2024 to Mar 29, 2024
- RAUM · $2.6B to $2.3BJan 30, 2024 to Mar 29, 2024
- Advisory employees · 16 to 12Jan 9, 2024 to Jan 30, 2024
- Employees · 25 to 20Jan 9, 2024 to Jan 30, 2024
- Employees · 26 to 25Apr 10, 2023 to Jan 9, 2024
- Advisory employees · 15 to 16Nov 8, 2022 to Mar 30, 2023
- Assets in custody · 2539057000.0 to unsetNov 8, 2022 to Mar 30, 2023
- Custody of client assets · true to falseNov 8, 2022 to Mar 30, 2023
- Employees · 22 to 26Nov 8, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.5B to $2.6BNov 8, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $2.5B to $2.6BNov 8, 2022 to Mar 30, 2023
- RAUM · $2.5B to $2.6BNov 8, 2022 to Mar 30, 2023
- Advisory employees · 14 to 15Sep 22, 2022 to Nov 8, 2022
- Advisory employees · 15 to 14May 13, 2022 to Sep 22, 2022
- Assets in custody · $2.6B to $2.5BMay 13, 2022 to Sep 22, 2022
- Employees · 20 to 22May 13, 2022 to Sep 22, 2022
- Discretionary RAUM · $2.6B to $2.5BMay 13, 2022 to Sep 22, 2022
- Pooled vehicle RAUM · $2.6B to $2.5BMay 13, 2022 to Sep 22, 2022
- RAUM · $2.6B to $2.5BMay 13, 2022 to Sep 22, 2022
- Accounts · 5 to 6Mar 31, 2022 to May 13, 2022
- Pooled vehicle clients · 5 to 6Mar 31, 2022 to May 13, 2022
- Assets in custody · $1.7B to $2.6BMar 31, 2022 to May 13, 2022
- Private funds · 5 to 6Mar 31, 2022 to May 13, 2022
- Discretionary RAUM · $1.7B to $2.6BMar 31, 2022 to May 13, 2022
Signals
8 dated events
- A••••••• S••••• C•••••• M••••••••• L•• reported RAUM $1.6B, down 32% from $2.3B (2024-09-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Mohammad Sattar Baabur Khondker (Chief Financial Officer) appeared on Schedule A of A••••••• S••••• C•••••• M••••••••• L••Sep 26, 2024 · Control person joined · fact
- Heather Cristin Brown (Chief Financial Officer) no longer on Schedule A of A••••••• S••••• C•••••• M••••••••• L•• (listed 2024-03-29, absent 2024-05-03)May 3, 2024 · Control person left · inference
- Whitridge Peter Williams (Managing Partner) no longer on Schedule A of A••••••• S••••• C•••••• M••••••••• L•• (listed 2022-09-22, absent 2022-11-08)Nov 8, 2022 · Control person left · inference
- A••••••• S••••• C•••••• M••••••••• L•• reported RAUM $2.6B, up 51% from $1.7B (2022-03-31 to 2022-05-13)May 13, 2022 · RAUM change · derived
- Whitridge Peter Williams (Chief Operating Officer) appeared on Schedule A of A••••••• S••••• C•••••• M••••••••• L••Mar 26, 2021 · Control person joined · fact
- A••••••• S••••• C•••••• M••••••••• L•• reported RAUM $819.9M, up 161% from $314.1M (2018-04-18 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- A••••••• S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• S••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••••• S••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••••S•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-428-3150reportedpublic record, Form ADV, Mar 31, 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