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•••• R••••• C••••••••• M••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Apr 24, 2012
RAUM
$4.6B
reported, Item 5.F
Discretionary
98%
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
50
50 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$4.6B as of Feb 26, 2026
Feb 4, 2013$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2026
Feb 4, 20130 then
Employees (5.A)50 as of Feb 26, 2026
Feb 4, 20135 then
Private funds1 as of Feb 26, 2026
Feb 4, 20135 then
RAUM -22% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2026; 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
- $917MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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)
- 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
- Pooled investment vehicles$4.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
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•••• R••••• M••••••• S••••••••• S••••• 2•••••• L•••no longer reported | Securitized Asset Fund | $767M | 1 | Mar 30, 2012 |
| A•••• R••••• M••••••• S••••••••• S••••• 2•••••• L•••no longer reported | Securitized Asset Fund | $409M | 1 | Mar 30, 2012 |
| A•••• R••••• M••••••• S••••••••• S••••• 2•••••• L•••no longer reported | Securitized Asset Fund | $308M | 1 | Mar 30, 2012 |
| A•••• R••••• C••••••••• L••• O••••••••• 2•••••• L•••no longer reported | Other Private Fund | $260M | 1 | Feb 4, 2013 |
| A•••• R••••• C••••••••• L••• O••••••••• 2•••••• L•••no longer reported | Other Private Fund | $125M | 1 | Feb 4, 2013 |
| A•••• C•• R••• 2•••••• S•••••no longer reported | Other Private Fund | $100M | 1 | Dec 20, 2017 |
| A••• D•••• I• L•• | Real Estate Fund | $10.2M | 2 | Feb 5, 2024 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• P•••• A•••••• · Chief Financial Officercontrolsince 12/2006 · owns less than 5%
- J•••• N••••••• A• · Executive Vice President, Treasurycontrolsince 01/1995 · owns less than 5%
- K••••••• I•••• P••• · Chief Executive Officercontrolsince 12/2006 · owns less than 5%
- F•••••• L••• · Chief Compliance Officersince 03/2012 · owns less than 5%
- V•••••• M•••• · General Counselsince 05/2022 · owns less than 5%
Entity owners
- A•••• R••••• S• I••• · Sole Memberdirect · owns 75% or more
- A•••• R••••• G•••• I••• · General Partnerindirect · owns F of A•••• R••••• L•••••• P•••••••••
- A•••• R••••• L•••••• P••••••••• · Shareholder- Common Sharesindirect · owns 75% or more of A•••• R••••• S• I•••
- A•••• R••••• T••••• I••• · Shareholder- Common Sharesindirect · owns 75% or more of A•••• R••••• L•••• I••• · public reporting company
- A•••• R••••• L•••• I••• · L•••••• Partnerindirect · owns 75% or more of A•••• R••••• L•••••• P•••••••••
Related persons
Schedule D 7.A
- A•••• R••••• S• I•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 5Feb 25, 2025 to Feb 26, 2026
- Advisory employees · 54 to 50Feb 25, 2025 to Feb 26, 2026
- Pooled vehicle clients · 6 to 5Feb 25, 2025 to Feb 26, 2026
- Employees · 54 to 50Feb 25, 2025 to Feb 26, 2026
- Discretionary RAUM · $5.8B to $4.5BFeb 25, 2025 to Feb 26, 2026
- Pooled vehicle RAUM · $5.9B to $4.6BFeb 25, 2025 to Feb 26, 2026
- RAUM · $5.9B to $4.6BFeb 25, 2025 to Feb 26, 2026
- Accounts · 7 to 6Mar 13, 2024 to Feb 25, 2025
- Pooled vehicle clients · 7 to 6Mar 13, 2024 to Feb 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 13, 2024 to Feb 25, 2025
- Discretionary RAUM · $7.6B to $5.8BMar 13, 2024 to Feb 25, 2025
- Pooled vehicle RAUM · $7.6B to $5.9BMar 13, 2024 to Feb 25, 2025
- RAUM · $7.6B to $5.9BMar 13, 2024 to Feb 25, 2025
- Accounts · 8 to 7Mar 1, 2023 to Feb 5, 2024
- Advisory employees · 11 to 54Mar 1, 2023 to Feb 5, 2024
- Pooled vehicle clients · 8 to 7Mar 1, 2023 to Feb 5, 2024
- Employees · 36 to 54Mar 1, 2023 to Feb 5, 2024
- Private funds · unset to 1Mar 1, 2023 to Feb 5, 2024
- Discretionary RAUM · $8.6B to $7.6BMar 1, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $0 to $70.0MMar 1, 2023 to Feb 5, 2024
- Pooled vehicle RAUM · $8.6B to $7.6BMar 1, 2023 to Feb 5, 2024
- RAUM · $8.6B to $7.6BMar 1, 2023 to Feb 5, 2024
- Accounts · 7 to 8Jan 29, 2022 to Mar 1, 2023
- Pooled vehicle clients · 5 to 8Jan 29, 2022 to Mar 1, 2023
- Discretionary RAUM · $6.6B to $8.6BJan 29, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $6.6B to $8.6BJan 29, 2022 to Mar 1, 2023
- RAUM · $6.6B to $8.6BJan 29, 2022 to Mar 1, 2023
- Accounts · 5 to 7Jan 4, 2021 to Jan 29, 2022
- Advisory employees · 7 to 11Jan 4, 2021 to Jan 29, 2022
- Discretionary RAUM · $3.1B to $6.6BJan 4, 2021 to Jan 29, 2022
- Pooled vehicle RAUM · $3.1B to $6.6BJan 4, 2021 to Jan 29, 2022
- RAUM · $3.1B to $6.6BJan 4, 2021 to Jan 29, 2022
- Accounts · 6 to 5Jan 3, 2020 to Jan 4, 2021
- Advisory employees · 1 to 7Jan 3, 2020 to Jan 4, 2021
- Pooled vehicle clients · 1 to 5Jan 3, 2020 to Jan 4, 2021
- Employees · 3 to 36Jan 3, 2020 to Jan 4, 2021
- Financial planning clients · unset to 1-10Jan 3, 2020 to Jan 4, 2021
- Discretionary RAUM · $2.5B to $3.1BJan 3, 2020 to Jan 4, 2021
- Pooled vehicle RAUM · $2.5B to $3.1BJan 3, 2020 to Jan 4, 2021
- RAUM · $2.5B to $3.1BJan 3, 2020 to Jan 4, 2021
Signals
4 dated events
- A•••• R••••• C••••••••• M••••••••• L•• reported RAUM $8.6B, up 30% from $6.6B (2022-01-29 to 2023-03-01)Mar 1, 2023 · RAUM change · derived
- A•••• R••••• C••••••••• M••••••••• L•• reported RAUM $6.6B, up 113% from $3.1B (2021-01-04 to 2022-01-29)Jan 29, 2022 · RAUM change · derived
- Natalone A John (Executive Vice President, Treasury) appeared on Schedule A of A•••• R••••• C••••••••• M••••••••• L••Jan 4, 2021 · Control person joined · fact
- A•••• R••••• C••••••••• M••••••••• L•• reported RAUM $2.0B, up 33% from $1.5B (2017-12-20 to 2018-01-08)Jan 8, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-800-878-5160reportedpublic record, Form ADV, Feb 26, 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
Across the graphs
A•••• R••••• C••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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