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•••••••

Former SEC-registered adviserPembroke, CRD 165909SEC 801-77896IAPD
Legal name A••••••• M••••••• L•••
Latest filing Mar 31, 2023
First filing on the tape Mar 28, 2013 · 26 filings
RAUM
$3.4B
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
23
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$2.8B gross assets
History
26 filings and snapshots on the tape
RAUM$3.4B as of Mar 31, 2023
Mar 26, 2014$986M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 26, 20140 then
Employees (5.A)23 as of Mar 31, 2023
Mar 26, 20149 then
Private funds9 as of Mar 31, 2023
Mar 26, 20145 then
RAUM -0.8% over the last fiscal year-7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$382MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
21%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
-0.8%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.7B79%
  • Pension and profit-sharing plans$736M21%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• P•••• F••• L•••Hedge Fund$1.1B5Mar 28, 2013
      A••••••• O••••••••• I• L•••Hedge Fund$400M15Mar 27, 2020
      A••••••• A•••••••• F•••• L•••Hedge Fund$243M29Jan 29, 2013
      A••••••• S•••••• F••• L••Hedge Fund$210M2Mar 31, 2015
      A••••••• 2•••••no longer reportedHedge Fund$131M2Mar 31, 2015
      A••••••• O••••••••• L•••Hedge Fund$122M21Mar 30, 2016
      A••••••• R••••••••• L•••no longer reportedOther Private Fund$112M1Jan 29, 2013
      A••••••• M••••• F••• L••Hedge Fund$72.1M1Dec 1, 2014
      A••••••• D••••••••• F••• I• L•••Hedge Fund$56.1M3Jun 15, 2022
      A••••••• M••••• F•••• L•••no longer reportedOther Private Fund$44.8M1Jan 29, 2013
      A••••••• D••••••••• F•••• L•••Hedge Fund$42.5M13Jan 29, 2013
      B•••••• F••• L••no longer reportedHedge Fund$25.7M1Mar 31, 2015
      A••••••• 2•••• L••Hedge Fund$4.4M4Mar 31, 2015
      A••••••• 2•••• L••no longer reportedHedge Fund$2.8M10Mar 26, 2014
      A••••••• 2•••• L••no longer reportedHedge Fund$1.4M5Mar 26, 2014
      B•••••• F••••• F••• I• L••no longer reportedHedge Fund$11Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• D••••• A••••• · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • L•••••• B••••• I••• · Director/Chief Opperating Officercontrol
        since 05/2021 · owns less than 5%
      • R••••••••• K•••• · Director/Chief Financial Officercontrol
        since 03/2021 · owns less than 5%
      • S••••••• C••••••••• T••••• · Director/Chief Executive Officercontrol
        since 12/2018 · owns less than 5%
      • S•••••••• A•••• G•••••• · Directorcontrol
        since 10/2021 · owns less than 5%
      Entity owners
      • V•••••• V•••••••• L••• · Corporate Owner
        direct · owns 75% or more
      • A••••••• I••••••••• G••••• I••• · Corporate Owner
        indirect · owns 75% or more of V•••••• H•••••••• L••• · public reporting company
      • V•••••• H•••••••• L••• · Corporate Owner
        indirect · owns 75% or more of V•••••• V•••••••• L••• · public reporting company
      Related persons
      Schedule D 7.A
      • A••••••• C•••••• I•••
        investment advisernRAUM $3.4B
      • A••••••• R••••••••• L•••
        real estatey
      • V•••••• H•••••••• L•••
        real estatey
      • V•••••• R••••••••• L•••
        real estaten
      Advisers that list A••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Jun 15, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 7 to 8
        Jun 15, 2022 to Mar 31, 2023
      • Discretionary RAUM · $3.5B to $3.4B
        Jun 15, 2022 to Mar 31, 2023
      • Pension RAUM · $536M to $736M
        Jun 15, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $2.9B to $2.7B
        Jun 15, 2022 to Mar 31, 2023
      • RAUM · $3.5B to $3.4B
        Jun 15, 2022 to Mar 31, 2023
      • Private funds · 8 to 9
        Mar 31, 2022 to Jun 15, 2022
      • Employees · 21 to 23
        Nov 22, 2021 to Mar 31, 2022
      • Discretionary RAUM · $4.2B to $3.5B
        Nov 22, 2021 to Mar 31, 2022
      • Pension RAUM · $387M to $536M
        Nov 22, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $3.9B to $2.9B
        Nov 22, 2021 to Mar 31, 2022
      • RAUM · $4.2B to $3.5B
        Nov 22, 2021 to Mar 31, 2022
      • Accounts · 9 to 8
        Apr 13, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 8 to 7
        Apr 13, 2020 to Mar 31, 2021
      • Employees · 19 to 21
        Apr 13, 2020 to Mar 31, 2021
      • Discretionary RAUM · $4.4B to $4.2B
        Apr 13, 2020 to Mar 31, 2021
      • Pension RAUM · $462M to $387M
        Apr 13, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $3.9B to $3.9B
        Apr 13, 2020 to Mar 31, 2021
      • RAUM · $4.4B to $4.2B
        Apr 13, 2020 to Mar 31, 2021
      • Accounts · 10 to 9
        Nov 26, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 9 to 8
        Nov 26, 2019 to Mar 27, 2020
      • Employees · 16 to 19
        Nov 26, 2019 to Mar 27, 2020
      • Other offices · 1 to 0
        Nov 26, 2019 to Mar 27, 2020
      • Private funds · 9 to 8
        Nov 26, 2019 to Mar 27, 2020
      • Discretionary RAUM · $4.7B to $4.4B
        Nov 26, 2019 to Mar 27, 2020
      • Pension RAUM · $420M to $462M
        Nov 26, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $4.3B to $3.9B
        Nov 26, 2019 to Mar 27, 2020
      • RAUM · $4.7B to $4.4B
        Nov 26, 2019 to Mar 27, 2020
      • Accounts · 11 to 10
        Aug 6, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 10 to 9
        Aug 6, 2018 to Mar 29, 2019
      • Employees · 13 to 16
        Aug 6, 2018 to Mar 29, 2019
      • Private funds · 10 to 9
        Aug 6, 2018 to Mar 29, 2019
      • Discretionary RAUM · $4.5B to $4.7B
        Aug 6, 2018 to Mar 29, 2019
      • Pension RAUM · $549M to $420M
        Aug 6, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $4.0B to $4.3B
        Aug 6, 2018 to Mar 29, 2019
      • RAUM · $4.5B to $4.7B
        Aug 6, 2018 to Mar 29, 2019
      • Accounts · 12 to 11
        Sep 21, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 1.0
        Sep 21, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 10.0
        Sep 21, 2017 to Mar 29, 2018
      • Employees · 11 to 13
        Sep 21, 2017 to Mar 29, 2018
      Signals
      10 dated events
      • I••• B•••• L••••• (Director/Chief Opperating Officer) appeared on Schedule A of Alphacat
        Nov 22, 2021 · Control person joined · fact
      • G•••••• A••• S••••••• (Director) appeared on Schedule A of Alphacat
        Nov 22, 2021 · Control person joined · fact
      • Paschal Joseph Brooks (Chief Executive Officer) no longer on Schedule A of Alphacat (listed 2021-06-28, absent 2021-11-22)
        Nov 22, 2021 · Control person left · inference
      • K•••• R•••••••• (Director/Chief Financial Officer) appeared on Schedule A of Alphacat
        Jun 28, 2021 · Control person joined · fact
      • K•••• R•••••••• (Chief Financial Officer) appeared on Schedule A of Alphacat
        Mar 31, 2021 · Control person joined · fact
      • Paschal Joseph Brooks (Chief Executive Officer) appeared on Schedule A of Alphacat
        Apr 13, 2020 · Control person joined · fact
      • Lixin Zeng (Chief Executive Officer) no longer on Schedule A of Alphacat (listed 2020-03-27, absent 2020-04-13)
        Apr 13, 2020 · Control person left · inference
      • Thomas Christopher Schaper (Director) appeared on Schedule A of Alphacat
        Nov 26, 2019 · Control person joined · fact
      • Alphacat reported RAUM $4.5B, up 66% from $2.7B (2017-09-21 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • Alphacat filed its initial SEC registration (Form ADV)
        Mar 28, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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