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••••• M••••••••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 168122SEC 801-78218IAPD
Legal name A••••• M••••••••• C•••••• L••
Latest filing Mar 30, 2020
First filing on the tape Jun 12, 2013 · 33 filings
RAUM
$130B
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
173
72 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$130B as of Mar 30, 2020
Mar 27, 2014$82B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 27, 20140 then
Employees (5.A)173 as of Mar 30, 2020
Mar 27, 2014109 then
Private funds: no history
RAUM +23% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$130BderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$130B, 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$130B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$130B for 1 clientsreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• T••••••• P•••••• · Chief Credit Officercontrol
        since 11/2016 · owns less than 5%
      • F••••••••• D••••• L••••••• · Chief Executive Officer, Chief Investment Officercontrol
        since 03/2020 · owns less than 5%
      • G••••• A••••••• C•••••• · Chief Corporate Officer And Chief Legal Officercontrol
        since 03/2017 · owns less than 5%
      • K••••••• M••• · Chief Compliance Officercontrol
        since 10/2018 · owns less than 5%
      • V••••• G••••• A• · Senior Advisorcontrol
        since 03/2020 · owns less than 5%
      • W••••• S••••• · Chief Financial Officercontrol
        since 12/2019 · owns less than 5%
      Entity owners
      • A••• M•••••• H••••••• L•• · Member
        direct · owns 75% or more
      • A••• H•••••• M••••••••• C•••••• L•• · General Partner
        indirect · owns F of A••• L• H•••••• C•••••• L•
      • A••• L• H•••••• C•••••• L• · Member
        indirect · owns 75% or more of A••• M•••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list A••••• M••••••••• C•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 66 to 72
        Jan 7, 2020 to Mar 30, 2020
      • BD registered reps · 16 to 19
        Jan 7, 2020 to Mar 30, 2020
      • Assets in custody · $106B to $130B
        Jan 7, 2020 to Mar 30, 2020
      • Employees · 159 to 173
        Jan 7, 2020 to Mar 30, 2020
      • Discretionary RAUM · $106B to $130B
        Jan 7, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $106B to $130B
        Jan 7, 2020 to Mar 30, 2020
      • RAUM · $106B to $130B
        Jan 7, 2020 to Mar 30, 2020
      • Advisory employees · 67 to 66
        Nov 2, 2018 to Mar 29, 2019
      • BD registered reps · 17 to 16
        Nov 2, 2018 to Mar 29, 2019
      • Assets in custody · $106B to $106B
        Nov 2, 2018 to Mar 29, 2019
      • Employees · 161 to 159
        Nov 2, 2018 to Mar 29, 2019
      • Discretionary RAUM · $106B to $106B
        Nov 2, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $106B to $106B
        Nov 2, 2018 to Mar 29, 2019
      • RAUM · $106B to $106B
        Nov 2, 2018 to Mar 29, 2019
      • Related adviser · false to true
        Nov 2, 2018 to Mar 29, 2019
      • Advisory employees · 63 to 67
        Jun 18, 2018 to Nov 2, 2018
      • BD registered reps · 16 to 17
        Jun 18, 2018 to Nov 2, 2018
      • Assets in custody · $100B to $106B
        Jun 18, 2018 to Nov 2, 2018
      • Employees · 150 to 161
        Jun 18, 2018 to Nov 2, 2018
      • Discretionary RAUM · $100B to $106B
        Jun 18, 2018 to Nov 2, 2018
      • Pooled vehicle RAUM · $100B to $106B
        Jun 18, 2018 to Nov 2, 2018
      • RAUM · $100B to $106B
        Jun 18, 2018 to Nov 2, 2018
      • Advisory employees · 57 to 63
        Mar 28, 2018 to Jun 18, 2018
      • Assets in custody · $102B to $100B
        Mar 28, 2018 to Jun 18, 2018
      • Employees · 137 to 150
        Mar 28, 2018 to Jun 18, 2018
      • Discretionary RAUM · $102B to $100B
        Mar 28, 2018 to Jun 18, 2018
      • Pooled vehicle RAUM · $102B to $100B
        Mar 28, 2018 to Jun 18, 2018
      • RAUM · $102B to $100B
        Mar 28, 2018 to Jun 18, 2018
      • BD registered reps · 18 to 16
        Nov 21, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Nov 21, 2017 to Mar 28, 2018
      • Assets in custody · $98B to $102B
        Nov 21, 2017 to Mar 28, 2018
      • Discretionary RAUM · $98B to $102B
        Nov 21, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 101760050000.0
        Nov 21, 2017 to Mar 28, 2018
      • RAUM · $98B to $102B
        Nov 21, 2017 to Mar 28, 2018
      • Advisory employees · 59 to 57
        Oct 23, 2017 to Nov 21, 2017
      • BD registered reps · 17 to 18
        Oct 23, 2017 to Nov 21, 2017
      • Assets in custody · $85B to $98B
        Oct 23, 2017 to Nov 21, 2017
      • Employees · 138 to 137
        Oct 23, 2017 to Nov 21, 2017
      • Discretionary RAUM · $85B to $98B
        Oct 23, 2017 to Nov 21, 2017
      • RAUM · $85B to $98B
        Oct 23, 2017 to Nov 21, 2017
      Signals
      5 dated events
      • Helen Crossen (Member) no longer on Schedule A of A••••• M••••••••• C•••••• (listed 2019-12-13, absent 2020-01-07)
        Jan 7, 2020 · Control person left · inference
      • S••••• W•••• (Chief Financial Officer) appeared on Schedule A of A••••• M••••••••• C••••••
        Dec 13, 2019 · Control person joined · fact
      • Gerard Kevin Keyes (Chief Executive Officer And President, Elected Manager) no longer on Schedule A of A••••• M••••••••• C•••••• (listed 2019-03-29, absent 2019-12-05)
        Dec 5, 2019 · Control person left · inference
      • Helen Crossen (Member) appeared on Schedule A of A••••• M••••••••• C••••••
        Dec 5, 2019 · Control person joined · fact
      • A••••• M••••••••• C•••••• filed its initial SEC registration (Form ADV)
        Jun 12, 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