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.

Former SEC-registered adviser

A•••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 168755SEC 801-78592IAPD
Latest filing Mar 24, 2017
First filing on the tape Sep 16, 2013 · 8 filings
RAUM
$484M
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
10
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$484M gross assets
History
8 filings and snapshots on the tape
RAUM$484M as of Mar 24, 2017
Mar 31, 2014$98.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 31, 20140 then
Employees (5.A)10 as of Mar 24, 2017
Mar 31, 201410 then
Private funds1 as of Mar 24, 2017
Mar 31, 20141 then
RAUM +12% over the last fiscal year+70% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
$161MderivedRAUM 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
+12%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
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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• G••••• E••••• M••••• F••• L•••Hedge Fund$484M15Sep 16, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M•••••• K•••••• · General Counsel And Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • C•••••••• J•••••• A•••••• · President And Chief Operating Officercontrol
        since 10/2013 · owns less than 5%
      • G•••••••• L••••• F•••••• · Controllercontrol
        since 05/2015 · owns less than 5%
      • K••••• B•••• · Chief Executive Officer And Chief Investment Officercontrol
        since 10/2013 · owns less than 5%
      • K••••• B•••• · Managing Member, Chief Executive Officer, Chief Operating Officercontrol
        since 02/2016 · owns 50% to 75% of A•••••••• F•••••••• H••••••• L••
      Entity owners
      • A•••••••• F•••••••• H••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · R•••••• A•••••••• L•• to A•••••••• I••••••••• M••••••••• L••
        Apr 8, 2016 to Mar 24, 2017
      • Discretionary RAUM · $432M to $484M
        Apr 8, 2016 to Mar 24, 2017
      • RAUM · $432M to $484M
        Apr 8, 2016 to Mar 24, 2017
      • Legal name · R•••••• A•••••••• L•• to A•••••••• I••••••••• M••••••••• L••
        Mar 4, 2016 to Mar 25, 2016
      • Accounts · 29 to 3
        Aug 19, 2015 to Mar 4, 2016
      • Advisory activities · 3 to 1
        Aug 19, 2015 to Mar 4, 2016
      • Assets in custody · 166634325.0 to unset
        Aug 19, 2015 to Mar 4, 2016
      • Custody of client assets · true to false
        Aug 19, 2015 to Mar 4, 2016
      • Employees · 6 to 10
        Aug 19, 2015 to Mar 4, 2016
      • HQ city · BELLEVUE to CHICAGO
        Aug 19, 2015 to Mar 4, 2016
      • HQ state · WA to IL
        Aug 19, 2015 to Mar 4, 2016
      • Discretionary RAUM · $431M to $432M
        Aug 19, 2015 to Mar 4, 2016
      • RAUM · $431M to $432M
        Aug 19, 2015 to Mar 4, 2016
      • Related adviser · true to false
        Aug 19, 2015 to Mar 4, 2016
      • Related bank · true to false
        Aug 19, 2015 to Mar 4, 2016
      • Accounts · 23 to 29
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 4
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $43.5M to $167M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 10 to 6
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $98.7M to $431M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $98.7M to $431M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 0 to 23
        Sep 16, 2013 to Mar 31, 2014
      • Advisory employees · 2 to 3
        Sep 16, 2013 to Mar 31, 2014
      • Assets in custody · $0 to $43.5M
        Sep 16, 2013 to Mar 31, 2014
      • Employees · 8 to 10
        Sep 16, 2013 to Mar 31, 2014
      • Discretionary RAUM · $0 to $98.7M
        Sep 16, 2013 to Mar 31, 2014
      • RAUM · $0 to $98.7M
        Sep 16, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • R•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 16, 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