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••• S••• M•••••• L•••••
Latest filing Mar 31, 2017
First filing on the tape Feb 24, 2012 · 9 filings
RAUM
$481,639
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
21
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$481,639 gross assets
History
9 filings and snapshots on the tape
RAUM$481,639 as of Mar 31, 2017
Mar 28, 2013$44.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)21 as of Mar 31, 2017
Mar 28, 20130 then
Private funds1 as of Mar 31, 2017
Mar 28, 20131 then
RAUM -99% over the last fiscal year-81% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
- $481,639derivedRAUM 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
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• A•••••• E••••• I••••••••• L••••• | Private Equity Fund | $481,639 | 3 | Feb 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• B•••••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- B••••••••• T•••••• Y•••• · Cco, Clocontrolsince 07/2013 · owns less than 5%
- B••••••• K••••••• R••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- G••••• J••••••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- L••••• K••••• A•••• · Acting Cfocontrolsince 12/2016 · owns less than 5%
Related persons
Schedule D 7.A
- A••• B••••••• L•••••pooled vehicle sponsorn
- A••• A•••• G••••• L•••pooled vehicle sponsorn
- A••• A•••• I• G•••••• L•••pooled vehicle sponsorn
- A••• B•••••• G••••• L•••••pooled vehicle sponsorn
- A••• B••••• I•••• H••••••• G•• L•••••pooled vehicle sponsorn
- A••• B••••• N•••• H••••••• G•• L•••••pooled vehicle sponsorn
- A••• C•••••••• ••••• G•• L•••••pooled vehicle sponsorn
- A••• C••••••• E••••••••• G••••• L•••••pooled vehicle sponsorn
- A••• E••••• G•••••• L•••••pooled vehicle sponsorn
- A••• E••••• I• G•••••• L•••••pooled vehicle sponsorn
- A••• E••••• M••••••••• L•••••investment adviserpooled vehicle sponsornRAUM $4.2B
- A••• F••••• M••••••• L•••••pooled vehicle sponsorn
- A••• F•••• M••••••••• L••investment advisernRAUM $50.9M
- A••• F•••• M••••••• L••pooled vehicle sponsorn
- A••• I•••• M••••••• L••pooled vehicle sponsorn
- A••• Investments Management, LLCinvestment adviserpooled vehicle sponsornRAUM $193M
- A••• I•• M••••••• L•••••pooled vehicle sponsorn
- A••• L•••• Management, L.L.C.investment advisernRAUM $1.2B
- A••• M••••• R••••• H••••••• G••••• L•••••pooled vehicle sponsorn
- A••• O•••••• G• L•••••pooled vehicle sponsorn
- A••• P•••• G•••••• L•••••pooled vehicle sponsorn
- A••• S••••••• M••••••• L••pooled vehicle sponsorn
- A••• V•••• G•• L•••••pooled vehicle sponsorn
- A•• I•• G••••• L•••••pooled vehicle sponsorn
- A•• I•••• G••••• L•••••pooled vehicle sponsorn
- A•• I• G••••• L•••••pooled vehicle sponsorn
- A•• V• G••••• L•••••pooled vehicle sponsorn
- A•• V• G••••• L•••••pooled vehicle sponsorn
- A•••• G•••••• L•••••pooled vehicle sponsorn
- A•••• I• G•••••• L•••••pooled vehicle sponsorn
Advisers that list A••• S••• M•••••• L••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 0 to 7Mar 30, 2016 to Mar 31, 2017
- Employees · 0 to 21Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $34.5M to $481,639Mar 30, 2016 to Mar 31, 2017
- RAUM · $34.5M to $481,639Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $47.4M to $34.5MMar 31, 2015 to Mar 30, 2016
- RAUM · $47.4M to $34.5MMar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $65.3M to $47.4MApr 7, 2014 to Mar 31, 2015
- RAUM · $65.3M to $47.4MApr 7, 2014 to Mar 31, 2015
- Discretionary RAUM · $44.6M to $65.3MAug 15, 2013 to Mar 31, 2014
- RAUM · $44.6M to $65.3MAug 15, 2013 to Mar 31, 2014
- Advisory employees · unset to 0.0May 2, 2012 to Mar 28, 2013
- BD registered reps · unset to 0.0May 2, 2012 to Mar 28, 2013
- Employees · unset to 0.0May 2, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0May 2, 2012 to Mar 28, 2013
- Discretionary RAUM · $60.0M to $44.6MMay 2, 2012 to Mar 28, 2013
- RAUM · $60.0M to $44.6MMay 2, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A••• S••• M•••••• L••••• · Private Equityshared crd · organization
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