DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••• C•••••• L••
Latest filing May 8, 2026
First filing on the tape Jun 14, 2016 · 18 filings
SEC status approved since Jun 30, 2016
RAUM
$1.1B
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
12
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.1B as of May 8, 2026
Mar 29, 2017$213M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 8, 2026
Mar 29, 20171 then
Employees (5.A)12 as of May 8, 2026
Mar 29, 20174 then
Private funds2 as of May 8, 2026
Mar 29, 20171 then
RAUM +8.3% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.1BderivedRAUM 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
- $534MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $1.1B, 2 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
- 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)
- 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$1.1B100%
- 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
- $1.1B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• O••••••••• F••• L• | Hedge Fund | $506M | 84 | Jun 14, 2016 |
| A•••••• T••••••• F••• L• | Hedge Fund | $278M | 42 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••••• P••• · Chief Financial Officercontrolsince 04/2023 · owns less than 5%
- M•••• R•••••• D••• · Managing Principal; Member; Chief Compliance Officercontrolsince 01/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $0 to $1.1BDec 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $986M to $1.1BDec 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $986M to $1.1BDec 26, 2025 to Mar 31, 2026
- RAUM · $986M to $1.1BDec 26, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Mar 28, 2024 to Mar 28, 2025
- Employees · 11 to 12Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $784M to $986MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $784M to $986MMar 28, 2024 to Mar 28, 2025
- RAUM · $784M to $986MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $665M to $0Mar 20, 2024 to Mar 28, 2024
- Employees · 10 to 11Mar 20, 2024 to Mar 28, 2024
- Advisory employees · 8 to 7May 30, 2023 to Mar 20, 2024
- Employees · 9 to 10May 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $665M to $784MMay 30, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $665M to $784MMay 30, 2023 to Mar 20, 2024
- RAUM · $665M to $784MMay 30, 2023 to Mar 20, 2024
- Assets in custody · $608M to $665MMar 31, 2022 to Mar 7, 2023
- Employees · 8 to 9Mar 31, 2022 to Mar 7, 2023
- Other offices · 0 to 1Mar 31, 2022 to Mar 7, 2023
- Discretionary RAUM · $608M to $665MMar 31, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $608M to $665MMar 31, 2022 to Mar 7, 2023
- RAUM · $608M to $665MMar 31, 2022 to Mar 7, 2023
- Advisory employees · 6 to 8Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $474M to $608MMar 31, 2021 to Mar 31, 2022
- Employees · 6 to 8Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $474M to $608MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $474M to $608MMar 31, 2021 to Mar 31, 2022
- RAUM · $474M to $608MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $439M to $474MMar 30, 2020 to Mar 31, 2021
- Employees · 5 to 6Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $439M to $474MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $439M to $474MMar 30, 2020 to Mar 31, 2021
- RAUM · $439M to $474MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $346M to $439MMar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $346M to $439MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $346M to $439MMar 28, 2019 to Mar 30, 2020
- RAUM · $346M to $439MMar 28, 2019 to Mar 30, 2020
- Accounts · 1 to 2Aug 8, 2018 to Mar 28, 2019
Signals
4 dated events
- A•••••• C•••••• L•• reported RAUM $985.7M, up 26% from $783.7M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- P••• M•••••• G•••• (Chief Financial Officer) appeared on Schedule A of A•••••• C•••••• L••Mar 20, 2024 · Control person joined · fact
- A•••••• C•••••• L•• reported RAUM $607.5M, up 28% from $474.5M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A•••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 14, 2016 · 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.
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 310-573-4343reportedpublic record, Form ADV, May 8, 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