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•••••••••

Former SEC-registered adviserNew York, New YorkCRD 167139SEC 801-79248IAPD
Legal name A•••••• C•••••• M••••••••• L••
Latest filing Jan 25, 2018
First filing on the tape Feb 18, 2014 · 11 filings
RAUM
$252M
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$263M gross assets
History
11 filings and snapshots on the tape
RAUM$252M as of Jan 25, 2018
Feb 27, 2015$458M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 25, 2018
Feb 27, 20150 then
Employees (5.A)6 as of Jan 25, 2018
Feb 27, 20156 then
Private funds3 as of Jan 25, 2018
Feb 27, 20153 then
RAUM -20% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 25, 2018; 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
$50.4MderivedRAUM 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
-20%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
$131M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$252M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$131M 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• C•••••• M••••• F•••• L••Hedge Fund$131M23Mar 5, 2013
      A•••••• C•••••• O••••••• F•••• L••Hedge Fund$70.0M10Mar 5, 2013
      A•••••• C•••••• P••••••• L•Hedge Fund$61.6M13Mar 5, 2013
      A•••••• C•••••• O••••••• F••• I•• L•••Hedge Fund$00Mar 7, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• S•••••• I•••• · Managing Membercontrol
        since 07/2012 · owns 25% to 50%
      • F••• A•••• J• · Managing Membercontrol
        since 07/2012 · owns 50% to 75%
      • S••••••••• P••••• G•••••• · Chief Compliance Officer
        since 09/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••••• C•••••• ••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Apr 18, 2017 to Jan 25, 2018
      • Pooled vehicle clients · unset to 5.0
        Apr 18, 2017 to Jan 25, 2018
      • Assets in custody · $0 to $131M
        Apr 18, 2017 to Jan 25, 2018
      • Custody of client assets · false to true
        Apr 18, 2017 to Jan 25, 2018
      • Other offices · unset to 1.0
        Apr 18, 2017 to Jan 25, 2018
      • Private funds · 4 to 3
        Apr 18, 2017 to Jan 25, 2018
      • Discretionary RAUM · $315M to $252M
        Apr 18, 2017 to Jan 25, 2018
      • Pooled vehicle RAUM · unset to 251961118.0
        Apr 18, 2017 to Jan 25, 2018
      • RAUM · $315M to $252M
        Apr 18, 2017 to Jan 25, 2018
      • Accounts · 4 to 6
        Apr 12, 2016 to Mar 7, 2017
      • Employees · 7 to 6
        Apr 12, 2016 to Mar 7, 2017
      • Private funds · 3 to 4
        Apr 12, 2016 to Mar 7, 2017
      • Discretionary RAUM · $432M to $315M
        Apr 12, 2016 to Mar 7, 2017
      • RAUM · $432M to $315M
        Apr 12, 2016 to Mar 7, 2017
      • Accounts · 3 to 4
        Jan 4, 2016 to Feb 29, 2016
      • Employees · 6 to 7
        Jan 4, 2016 to Feb 29, 2016
      • Discretionary RAUM · $458M to $432M
        Jan 4, 2016 to Feb 29, 2016
      • RAUM · $458M to $432M
        Jan 4, 2016 to Feb 29, 2016
      • Discretionary RAUM · $283M to $458M
        Apr 29, 2014 to Feb 27, 2015
      • RAUM · $283M to $458M
        Apr 29, 2014 to Feb 27, 2015
      • Private funds · 6 to 3
        Feb 18, 2014 to Apr 29, 2014
      Signals
      1 dated events
      • A•••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Feb 18, 2014 · 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