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•••••• M••••••••• L•

Former SEC-registered adviserOld Greenwich, ConnecticutCRD 164793SEC 801-77712IAPD
Latest filing Mar 27, 2019
First filing on the tape Feb 28, 2013 · 9 filings
RAUM
$1.2B
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
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$191M gross assets
History
9 filings and snapshots on the tape
RAUM$1.2B as of Mar 27, 2019
Mar 12, 2014$376M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 12, 20140 then
Employees (5.A)18 as of Mar 27, 2019
Mar 12, 20149 then
Private funds3 as of Mar 27, 2019
Mar 12, 20143 then
RAUM -48% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2019; 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
$307MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-48%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$129M, 3 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
  • Pooled investment vehicles$1.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$129M for 3 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• C••••• M••••• F•••• L•••Hedge Fund$129M15Jul 17, 2012
      A•••• C••••• P•••••••• L•Hedge Fund$56.2M11Jul 17, 2012
      A•••• C••••• O•••••••• L•••Hedge Fund$5.8M4Jul 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• S•••••• M•••••• · Chief Compliance Officercontrol
        since 01/2012 · owns 10% to 25%
      • F••••••• M•••• S••••• · Managing Member Of The General Partner Of The Investment Advisercontrol
        since 01/2012 · owns 75% or more
      • N•••••• E•••• M•••••• · Partnercontrol
        since 01/2012 · owns 10% to 25%
      • R••••••••• S••••• · Chief Financial Officercontrol
        since 01/2012 · owns less than 5%
      • F••••••• M•••• S••••• · Managing Membercontrol
        since 12/2014 · owns 75% or more of A•••• C•••••• M••••••••• G•• L••
      Entity owners
      • A•••• C•••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••• C••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Charlotte, NC1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 10
        Mar 28, 2018 to Mar 27, 2019
      • Assets in custody · $162M to $129M
        Mar 28, 2018 to Mar 27, 2019
      • Employees · 19 to 18
        Mar 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $2.3B to $1.2B
        Mar 28, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $2.3B to $1.2B
        Mar 28, 2018 to Mar 27, 2019
      • RAUM · $2.3B to $1.2B
        Mar 28, 2018 to Mar 27, 2019
      • Pooled vehicle clients · unset to 4.0
        Mar 31, 2017 to Mar 28, 2018
      • Assets in custody · $122M to $162M
        Mar 31, 2017 to Mar 28, 2018
      • Employees · 18 to 19
        Mar 31, 2017 to Mar 28, 2018
      • Financial planning clients · unset to 0
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $1.2B to $2.3B
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 2345641361.0
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $1.2B to $2.3B
        Mar 31, 2017 to Mar 28, 2018
      • Advisory employees · 9 to 11
        Mar 24, 2016 to Mar 31, 2017
      • Business name · A•••• C•••••• M••••••••• L•• to A•••• C•••••• M••••••••• L•
        Mar 24, 2016 to Mar 31, 2017
      • Assets in custody · unset to 122484000.0
        Mar 24, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Mar 24, 2016 to Mar 31, 2017
      • Employees · 15 to 18
        Mar 24, 2016 to Mar 31, 2017
      • Discretionary RAUM · $750M to $1.2B
        Mar 24, 2016 to Mar 31, 2017
      • RAUM · $750M to $1.2B
        Mar 24, 2016 to Mar 31, 2017
      • Advisory employees · 8 to 9
        Mar 30, 2015 to Mar 24, 2016
      • Employees · 13 to 15
        Mar 30, 2015 to Mar 24, 2016
      • Discretionary RAUM · $1.4B to $750M
        Mar 30, 2015 to Mar 24, 2016
      • RAUM · $1.4B to $750M
        Mar 30, 2015 to Mar 24, 2016
      • Related bank · true to false
        Mar 30, 2015 to Mar 24, 2016
      • Accounts · 3 to 4
        Jan 9, 2015 to Mar 30, 2015
      • Advisory employees · 5 to 8
        Jan 9, 2015 to Mar 30, 2015
      • Employees · 9 to 13
        Jan 9, 2015 to Mar 30, 2015
      • Legal name · A•••• C•••••• M••••••••• L•• to A•••• C•••••• M••••••••• L•
        Jan 9, 2015 to Mar 30, 2015
      • Discretionary RAUM · $376M to $1.4B
        Jan 9, 2015 to Mar 30, 2015
      • RAUM · $376M to $1.4B
        Jan 9, 2015 to Mar 30, 2015
      • Succession · true to false
        Jan 9, 2015 to Mar 30, 2015
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 12, 2014 to Jan 9, 2015
      • Succession · false to true
        Mar 12, 2014 to Jan 9, 2015
      • Advisory employees · 6 to 5
        Mar 4, 2013 to Mar 12, 2014
      • Employees · 10 to 9
        Mar 4, 2013 to Mar 12, 2014
      • Discretionary RAUM · $183M to $376M
        Mar 4, 2013 to Mar 12, 2014
      • RAUM · $183M to $376M
        Mar 4, 2013 to Mar 12, 2014
      • Private funds · 6 to 3
        Feb 28, 2013 to Mar 4, 2013
      Signals
      4 dated events
      • A•••• C•••••• M••••••••• L• reported RAUM $1.2B, down 48% from $2.3B (2018-03-28 to 2019-03-27)
        Mar 27, 2019 · RAUM change · derived
      • A•••• C•••••• M••••••••• L• reported RAUM $2.3B, up 101% from $1.2B (2017-03-31 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • A•••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 9, 2015 · Succession (Item 4) · fact
      • A•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 28, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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