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•••••••• C•••••• P•••••••• L•••
Latest filing Apr 29, 2026
First filing on the tape Feb 14, 2012 · 28 filings
SEC status approved since Mar 30, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$626M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
14
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.3B as of Apr 29, 2026
Apr 2, 2013$709M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 29, 2026
Apr 2, 20132 then
Employees (5.A)12 as of Apr 29, 2026
Apr 2, 201315 then
Private funds14 as of Apr 29, 2026
Apr 2, 20135 then
RAUM +24% over the last fiscal year-2.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 29, 2026; every figure names its basis
- RAUM per advisor
- $626MderivedRAUM 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
- $78.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $947M, 16 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $947M for 16 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•••••• T••••••• | Houston, Tx | Aug 2, 2016 | 13 y | 0 |
| W•••••• P• C••••••• | Houston, Tx | Aug 2, 2016 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• C•••••• F••• I•• L••• | Private Equity Fund | $379M | 22 | Mar 31, 2023 |
| I•••••••• C•••••• F••• I••• L••• | Private Equity Fund | $215M | 44 | Mar 31, 2015 |
| I•••••••• C•••••• F••• I•• L••• | Private Equity Fund | $136M | 31 | Feb 14, 2012 |
| I•••••• C•••••••• I•• L••• | Private Equity Fund | $88.5M | 4 | Mar 31, 2023 |
| B• C•••••••• F•••• L••• | Private Equity Fund | $79.4M | 12 | Mar 30, 2022 |
| A•••••••• C•••••• F•••• L••• | Private Equity Fund | $45.5M | 30 | Mar 30, 2022 |
| I•••••••• C•••••• F••• I•••• L••• | Private Equity Fund | $44.7M | 19 | Apr 2, 2013 |
| I•••••• C•••••••• F•••• L••• | Private Equity Fund | $21.0M | 8 | Mar 30, 2020 |
| I•••••••• C•••••• C••••••••• F••• I•• L••• | Private Equity Fund | $4.1M | 7 | Feb 14, 2012 |
| I•••••••• C•••••• C••••••••• F••• I••• L••• | Private Equity Fund | $3.2M | 6 | Mar 31, 2015 |
| I•••••••• C•••••• F•••• L••• | Private Equity Fund | $887,000 | 33 | Feb 14, 2012 |
| I••••••••• I••••••• L•• | Private Equity Fund | $66,000 | 9 | Mar 31, 2015 |
| I•••••••• C•••••• C••••••••• F•••• L••• | Private Equity Fund | $16,000 | 10 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• W••••••• P• · Co-Managing Partnercontrolsince 10/2020 · owns less than 5%
- G••••••••• W•••••• C•••••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- R••••• M••••••• D•••• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- T•••••••• J••••• R•••••• · Co-Managing Partnercontrolsince 10/2020 · owns less than 5%
- C•••••••• W••••••• P• · Managercontrolsince 01/2021 · owns 50% to 75% of A•••••••• M••••••••• L••
- R••••• M••••••• D•••• · Chief Financial Officercontrolsince 05/2021 · owns F of A•••••••• M••••••••• L••
- T•••••••• J••••• R•••••• · Managercontrolsince 01/2021 · owns 50% to 75% of A•••••••• M••••••••• L••
Entity owners
- A•••••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•••••••• C•••••• A••••••••• I•• L••pooled vehicle sponsory
- A•••••••• C•••••• A••••••••• L••pooled vehicle sponsory
- A•••••••• C•••••• G• I•• L•••pooled vehicle sponsory
- A•••••••• C•••••• G•• L•••pooled vehicle sponsory
- B• C•••••••• A••••••••• L••pooled vehicle sponsory
- B• C•••••••• F••• G•• L•••pooled vehicle sponsory
- I•••••• C•••••••• A••••••••• L••pooled vehicle sponsory
- I•••••• C•••••••• F••• G•• L•••pooled vehicle sponsory
- I•••••• C•••••••• G• I•• L•••pooled vehicle sponsory
- I•••••••• C•••••• A••••••••• I•• L••pooled vehicle sponsory
- I•••••••• C•••••• A••••••••• I••• L••pooled vehicle sponsory
- I•••••••• C•••••• G• I•• L••pooled vehicle sponsory
- I•••••••• C•••••• G• I••• L•••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $930M to $947MMar 31, 2026 to Apr 29, 2026
- Discretionary RAUM · $1.2B to $1.3BMar 31, 2026 to Apr 29, 2026
- Pooled vehicle RAUM · $1.2B to $1.3BMar 31, 2026 to Apr 29, 2026
- RAUM · $1.2B to $1.3BMar 31, 2026 to Apr 29, 2026
- Accounts · 15 to 16May 30, 2025 to Mar 31, 2026
- Advisory employees · 7 to 9May 30, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 16May 30, 2025 to Mar 31, 2026
- Assets in custody · $777M to $930MMay 30, 2025 to Mar 31, 2026
- Employees · 10 to 12May 30, 2025 to Mar 31, 2026
- Financial planning clients · to 0May 30, 2025 to Mar 31, 2026
- Private funds · 13 to 14May 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $1.2BMay 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.0B to $1.2BMay 30, 2025 to Mar 31, 2026
- RAUM · $1.0B to $1.2BMay 30, 2025 to Mar 31, 2026
- Related adviser · true to falseMay 30, 2025 to Mar 31, 2026
- Assets in custody · $767M to $777MMar 31, 2025 to May 30, 2025
- Financial planning clients · unset to Mar 31, 2025 to May 30, 2025
- Discretionary RAUM · $1.0B to $1.0BMar 31, 2025 to May 30, 2025
- Pooled vehicle RAUM · $1.0B to $1.0BMar 31, 2025 to May 30, 2025
- RAUM · $1.0B to $1.0BMar 31, 2025 to May 30, 2025
- Accounts · 13 to 15Jan 31, 2025 to Mar 31, 2025
- Advisory employees · 8 to 7Jan 31, 2025 to Mar 31, 2025
- Pooled vehicle clients · 13 to 15Jan 31, 2025 to Mar 31, 2025
- Assets in custody · $1.0B to $767MJan 31, 2025 to Mar 31, 2025
- Employees · 12 to 10Jan 31, 2025 to Mar 31, 2025
- State-registered IARs · 2 to 1Jan 31, 2025 to Mar 31, 2025
- Private funds · 11 to 13Jan 31, 2025 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.0BJan 31, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $1.2B to $1.0BJan 31, 2025 to Mar 31, 2025
- RAUM · $1.2B to $1.0BJan 31, 2025 to Mar 31, 2025
- Other offices · 1 to 2Apr 23, 2024 to Jan 31, 2025
- Accounts · 15 to 13May 8, 2023 to Mar 29, 2024
- Advisory employees · 7 to 8May 8, 2023 to Mar 29, 2024
- Pooled vehicle clients · 15 to 13May 8, 2023 to Mar 29, 2024
- Assets in custody · $1.1B to $1.0BMay 8, 2023 to Mar 29, 2024
- Employees · 11 to 12May 8, 2023 to Mar 29, 2024
- Private funds · 13 to 11May 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $1.2BMay 8, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.2BMay 8, 2023 to Mar 29, 2024
- RAUM · $1.4B to $1.2BMay 8, 2023 to Mar 29, 2024
Signals
8 dated events
- Christian Walter Grollitsch (Chief Compliance Officer) appeared on Schedule A of A•••••••• C•••••• P•••••••• L•••May 8, 2023 · Control person joined · fact
- A•••••••• C•••••• P•••••••• L••• reported RAUM $1.4B, up 36% from $1.0B (2022-04-21 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Diane Melissa Rocco (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of A•••••••• C•••••• P•••••••• L•••Jun 10, 2021 · Control person joined · fact
- Christine Smoragiewicz (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of A•••••••• C•••••• P•••••••• L••• (listed 2021-03-31, absent 2021-06-10)Jun 10, 2021 · Control person left · inference
- A•••••••• C•••••• P•••••••• L••• reported RAUM $900.2M, down 28% from $1.3B (2021-03-02 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- I•••••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 5, 2021 · Succession (Item 4) · fact
- Reed Charles Cherington (Chairman) no longer on Schedule A of A•••••••• C•••••• P•••••••• L••• (listed 2020-03-30, absent 2020-11-24)Nov 24, 2020 · Control person left · inference
- A•••••••• C•••••• P•••••••• L••• reported RAUM $1.1B, up 32% from $865.5M (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••••••• C•••••• P•••••••• L••• · Independent Sponsorsshared crd · capital_provider
- A•••••••• C•••••• P•••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/amberjackcapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-605-3900reportedpublic record, Form ADV, Apr 29, 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
- $626Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026