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••• F••••••••• A••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Aug 29, 2014 · 26 filings
SEC status approved since Sep 12, 2014
RAUM
$466M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$466M as of Mar 24, 2026
Mar 31, 2015$279M then
HNW client RAUM$164,000 as of Mar 30, 2021
Mar 21, 2018$7.0M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 31, 20150 then
Employees (5.A)5 as of Mar 24, 2026
Mar 31, 20158 then
Private funds13 as of Mar 24, 2026
Mar 31, 20153 then
RAUM -29% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $25.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 67%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
- -29%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pension and profit-sharing plans$303M65%
- Pooled investment vehicles$154M33%
- Insurance companies$9.0M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.33 institutional_share=0.67 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
28 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• · Managing Membercontrolsince 01/2013 · owns 50% to 75%
- L•• G•••••• · Managing Membercontrolsince 01/2013 · owns 50% to 75%
- P••••••••• S••••• K••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
Related persons
Schedule D 7.A
- A••• F••••••••• A••••••• G• L••pooled vehicle sponsorn
- B•••••• M••••••••• C••••••• L••investment advisern
Advisers that list A••• F••••••••• A••••••• L•• as a related person
- 151024 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $659,599,000 to $465,759,000 (-29.0%) between the annual amendments of 2025-04-17 and 2026-03-24; the peer median change was +8.0% (161 comparable advisers, 9.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 8.8% percentile
What changed
consecutive filings, newest first
- Accounts · 21 to 18Apr 17, 2025 to Mar 24, 2026
- Private funds · 16 to 13Apr 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $645M to $466MApr 17, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $14.2M to $0Apr 17, 2025 to Mar 24, 2026
- Pension RAUM · $443M to $303MApr 17, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $202M to $154MApr 17, 2025 to Mar 24, 2026
- RAUM · $660M to $466MApr 17, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 5, 2025 to Apr 17, 2025
- Accounts · 22 to 21Jul 23, 2024 to Mar 5, 2025
- Advisory employees · 5 to 4Jul 23, 2024 to Mar 5, 2025
- Pooled vehicle clients · 19 to 18Jul 23, 2024 to Mar 5, 2025
- Employees · 6 to 5Jul 23, 2024 to Mar 5, 2025
- Private funds · 17 to 16Jul 23, 2024 to Mar 5, 2025
- Discretionary RAUM · $723M to $645MJul 23, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $628M to $14.2MJul 23, 2024 to Mar 5, 2025
- Pension RAUM · $440M to $443MJul 23, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · $836M to $202MJul 23, 2024 to Mar 5, 2025
- RAUM · $1.4B to $660MJul 23, 2024 to Mar 5, 2025
- Related adviser · false to trueMar 21, 2024 to Jul 23, 2024
- Accounts · 24 to 22Mar 31, 2023 to Mar 21, 2024
- Advisory employees · 4 to 5Mar 31, 2023 to Mar 21, 2024
- Pooled vehicle clients · 21 to 19Mar 31, 2023 to Mar 21, 2024
- Employees · 5 to 6Mar 31, 2023 to Mar 21, 2024
- Private funds · 19 to 17Mar 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $553M to $723MMar 31, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $1.3B to $628MMar 31, 2023 to Mar 21, 2024
- Pension RAUM · $364M to $440MMar 31, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $1.4B to $836MMar 31, 2023 to Mar 21, 2024
- RAUM · $1.8B to $1.4BMar 31, 2023 to Mar 21, 2024
- Accounts · 22 to 24Feb 21, 2023 to Mar 31, 2023
- Advisory employees · 3 to 4Feb 21, 2023 to Mar 31, 2023
- Pension plan clients · 2.0 to unsetFeb 21, 2023 to Mar 31, 2023
- Pooled vehicle clients · 20 to 21Feb 21, 2023 to Mar 31, 2023
- Employees · 4 to 5Feb 21, 2023 to Mar 31, 2023
- Private funds · 21 to 19Feb 21, 2023 to Mar 31, 2023
- Discretionary RAUM · $630M to $553MFeb 21, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $1.8B to $1.3BFeb 21, 2023 to Mar 31, 2023
- Pension RAUM · $382M to $364MFeb 21, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $2.0B to $1.4BFeb 21, 2023 to Mar 31, 2023
- RAUM · $2.4B to $1.8BFeb 21, 2023 to Mar 31, 2023
Signals
7 dated events
- A••• F••••••••• A••••••• L•• reported RAUM $465.8M, down 29% from $659.6M (2025-04-17 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- A••• F••••••••• A••••••• L•• reported RAUM $659.6M, down 51% from $1.4B (2024-07-23 to 2025-03-05)Mar 5, 2025 · RAUM change · derived
- A••• F••••••••• A••••••• L•• reported RAUM $1.4B, down 25% from $1.8B (2023-03-31 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- A••• F••••••••• A••••••• L•• reported RAUM $1.8B, down 26% from $2.4B (2023-02-21 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A••• F••••••••• A••••••• L•• reported RAUM $2.4B, down 36% from $3.8B (2021-08-26 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A••• F••••••••• A••••••• L•• reported RAUM $3.8B, up 1349% from $261.8M (2020-10-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- A••• F••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 29, 2014 · 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
- Principal office phone
- 212-319-1778reportedpublic record, Form ADV, Mar 24, 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
- Other 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