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•••••••• L•••••• L••
Latest filing Aug 10, 2026
First filing on the tape Mar 22, 2018 · 18 filings
SEC status approved since Apr 23, 2018
RAUM
$1.2B
reported, Item 5.F
Discretionary
81%
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
52
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.2B as of Aug 10, 2026
Mar 15, 2019$339M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 10, 2026
Mar 15, 20190 then
Employees (5.A)52 as of Aug 10, 2026
Mar 15, 201953 then
Private funds1 as of Aug 10, 2026
Mar 15, 20191 then
RAUM -35% over the last fiscal year-4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 10, 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
- $607MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%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
- -27%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $985M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$985M81%
- Corporations and businesses$229M19%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $985M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.81 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• L•••••• F•••• L•• | Hedge Fund | $1.4B | 226 | Jul 18, 2012 |
| A•••••••• L••• F•••• L• | Private Equity Fund | $25.0M | 31 | Mar 28, 2024 |
| B•••••• S•••• H••• Y•••• F••• B• L••no longer reported | Other Private Fund | $2.7M | 5 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J•••• K•••• · Chief Compliance Officer/Chief Accounting Officercontrolsince 06/2020 · owns less than 5%
- E•••••• C•••••••• A• · Evp, Chief Strategy And Risk Officercontrolsince 07/2017 · owns less than 5%
- K••••••• D•••••• A• · Evp, Chief Financial Officercontrolsince 08/2018 · owns less than 5%
- M•••••• M••••••• T• · Evp, Chief Revenue Officercontrolsince 01/2016 · owns less than 5%
- P••••••• B••••• G••••• · Chairman/Chief Executive Officercontrolsince 01/2016 · owns less than 5%
- M•••••• K•••••••• W•••••• · Trusteecontrolsince 04/2023 · owns F of K••••••• W•••••• M••••• F••••• T••••
- M•••••• M••••••• T• · Trusteecontrolsince 04/2023 · owns F of M•••••• T• M••••• D•••••• T••••
- M•••••• M••••••• T• · Trusteecontrolsince 04/2023 · owns F of K••••••• W•••••• M••••• F••••• T••••
- P••••••• B••••••• H• · Trusteecontrolsince 04/2022 · owns F of B•••••• P•••••• F••••• T••••
- P••••••• B••••• G••••• · Trusteecontrolsince 04/2022 · owns F of B•••• P•••••• D•••••• T••••
- P••••••• B••••• G••••• · Trusteecontrolsince 04/2022 · owns F of B•••••• P•••••• F••••• T••••
Entity owners
- A•••••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
- B•••••• P•••••• F••••• T•••• · Beneficial Ownerindirect · owns 50% to 75% of L••• O•• P••••••••• I•••
- B•••• P•••••• D•••••• T•••• · Beneficial Ownerindirect · owns 50% to 75% of L••• O•• P••••••••• I•••
- G•••• M••••••••• L•• · Managing Memberindirect · owns 50% to 75% of A•••••••• H••••••• L••
- K••••••• W•••••• M••••• F••••• T•••• · Beneficial Ownerindirect · owns 50% to 75% of M••••• E••••••••• O• P••• C•••••• L••
- L••• O•• P••••••••• I••• · Managing Memberindirect · owns 50% to 75% of G•••• M••••••••• L••
- M•••••• T• M••••• D•••••• T•••• · Beneficial Ownerindirect · owns 50% to 75% of M••••• E••••••••• O• P••• C•••••• L••
- M••••• E••••••••• O• P••• C•••••• L•• · Memberindirect · owns 25% to 50% of G•••• M••••••••• L••
Related persons
Schedule D 7.A
- A•••••••• L••• F••• I••••••••• M••••••• L•pooled vehicle sponsorn
- A•••••••• R•••••• L••investment companyn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 111.0 to 62.0 (-44.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 1.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,109) · 1.2% percentile
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,874,000,000 to $1,373,000,000 (-27.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 4.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 3.9% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 31, 2026 to Aug 10, 2026
- Advisory employees · 18 to 15Mar 31, 2026 to Aug 10, 2026
- Pooled vehicle clients · 2 to 1Mar 31, 2026 to Aug 10, 2026
- Assets in custody · $1.1B to $985MMar 31, 2026 to Aug 10, 2026
- Employees · 62 to 52Mar 31, 2026 to Aug 10, 2026
- Private funds · 2 to 1Mar 31, 2026 to Aug 10, 2026
- Discretionary RAUM · $1.1B to $985MMar 31, 2026 to Aug 10, 2026
- Pooled vehicle RAUM · $1.1B to $985MMar 31, 2026 to Aug 10, 2026
- RAUM · $1.4B to $1.2BMar 31, 2026 to Aug 10, 2026
- Advisory employees · 21 to 18Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $1.6B to $1.1BMar 27, 2025 to Mar 31, 2026
- Employees · 111 to 62Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $1.1BMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $316M to $229MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $1.1BMar 27, 2025 to Mar 31, 2026
- RAUM · $1.9B to $1.4BMar 27, 2025 to Mar 31, 2026
- Advisory employees · 22 to 21Mar 28, 2024 to Mar 27, 2025
- Advisory activities · 1 to 2Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $1.5B to $1.6BMar 28, 2024 to Mar 27, 2025
- Employees · 133 to 111Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.5B to $1.6BMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $310M to $316MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.5B to $1.6BMar 28, 2024 to Mar 27, 2025
- RAUM · $1.8B to $1.9BMar 28, 2024 to Mar 27, 2025
- Accounts · 2 to 3Mar 21, 2023 to Mar 28, 2024
- Advisory employees · 19 to 22Mar 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 1 to 2Mar 21, 2023 to Mar 28, 2024
- Assets in custody · $1.1B to $1.5BMar 21, 2023 to Mar 28, 2024
- Employees · 137 to 133Mar 21, 2023 to Mar 28, 2024
- Private funds · 1 to 2Mar 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.5BMar 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $1.5BMar 21, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.8BMar 21, 2023 to Mar 28, 2024
- Advisory employees · 14 to 19Mar 31, 2022 to Mar 21, 2023
- Assets in custody · $759M to $1.1BMar 31, 2022 to Mar 21, 2023
- Employees · 126 to 137Mar 31, 2022 to Mar 21, 2023
- Discretionary RAUM · $759M to $1.1BMar 31, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $60.0M to $310MMar 31, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $759M to $1.1BMar 31, 2022 to Mar 21, 2023
Signals
14 dated events
- A•••••••• L•••••• L•• reported RAUM $1.4B, down 27% from $1.9B (2025-03-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A•••••••• L•••••• L•• reported RAUM $1.8B, up 27% from $1.4B (2023-03-21 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- H Brandie Philpot (Trustee) appeared on Schedule A of A•••••••• L•••••• L••Mar 28, 2024 · Control person joined · fact
- Wilkins Kathleen Miller (Trustee) appeared on Schedule A of A•••••••• L•••••• L••Mar 28, 2024 · Control person joined · fact
- A•••••••• L•••••• L•• reported RAUM $1.4B, up 70% from $819.0M (2022-03-31 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- A•••••••• L•••••• L•• reported RAUM $740.0M, up 31% from $567.0M (2020-10-23 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Courtney Jennifer Goldfarb (Chief Compliance Officer) no longer on Schedule A of A•••••••• L•••••• L•• (listed 2020-06-03, absent 2020-08-05)Aug 5, 2020 · Control person left · inference
- Kevin John Culbreth (Chief Compliance Officer/Chief Accounting Officer) appeared on Schedule A of A•••••••• L•••••• L••Aug 5, 2020 · Control person joined · fact
- A•••••••• L•••••• L•• reported RAUM $567.0M, up 66% from $341.2M (2019-12-05 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Courtney Jennifer Goldfarb (Chief Compliance Officer) appeared on Schedule A of A•••••••• L•••••• L••Oct 28, 2019 · Control person joined · fact
- A•••••••• L•••••• L•• reported RAUM $338.6M, up 72% from $196.4M (2018-03-22 to 2019-03-15)Mar 15, 2019 · RAUM change · derived
- A Daniel Kashdin (Chief Financial Officer) appeared on Schedule A of A•••••••• L•••••• L••Mar 15, 2019 · Control person joined · fact
- Susanne Jacquelyn Toenes (Treasurer/Chief Operating Officer/Chief Compliance Officer) no longer on Schedule A of A•••••••• L•••••• L•• (listed 2018-03-22, absent 2019-03-15)Mar 15, 2019 · Control person left · inference
- A•••••••• L••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••••• L•••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••••• L•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 863-607-9500reportedpublic record, Form ADV, Aug 10, 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•••••••• L•••••• 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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