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•••••• A••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 169128SEC 801-78610IAPD
Latest filing Mar 30, 2016
First filing on the tape Sep 18, 2013 · 5 filings
RAUM
$236M
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
29
27 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$236M as of Mar 30, 2016
Mar 31, 2014$295M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20140 then
Employees (5.A)29 as of Mar 30, 2016
Mar 31, 201422 then
Private funds: no history
RAUM -17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$236MderivedRAUM 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
-17%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Custody
$282M, 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
  • 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)
  • 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
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
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$282M for 1 clientsreported
Compensation
% of AUMreported
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••••••• M••••••• A•••••• · Senior Vice Presidentcontrol
        since 08/2013 · owns less than 5%
      • D•••••• D•••• L•••• · Senior Vice Presidentcontrol
        since 01/2014 · owns less than 5%
      • E•••••••• J•••• R••••• · Manager, Executive Vice President And Treasurercontrol
        since 02/2013 · owns less than 5%
      • F•••• S•••••• A•••• · Manager, Executive Vice President, Chief Compliance Officer And Secretarycontrol
        since 02/2013 · owns less than 5%
      • P••••••••• M•••• S••••• · Presidentcontrol
        since 08/2013 · owns less than 5%
      • W•••••• M•••• · Manager And Chief Executive Officercontrol
        since 02/2013 · owns less than 5%
      Entity owners
      • A••••••• C•••••• L•••••••• F•••••• M••••••••• L•• · Sole Member
        direct · owns 75% or more
      • A••••••• C•••••• A•••• M••••••••• L•• · Sole Member
        indirect · owns 75% or more of A••••••• C•••••• L•••••••• F•••••• M••••••••• L••
      • A••••••• C••••••• L••• · Sole Member
        indirect · owns 75% or more of A••••••• C•••••• A•••• M••••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • A••• Management, LLC
        investment adviserbanknRAUM $82B
      • A••••••• C•••••• A•••• M••••••••• L••
        investment adviseryRAUM $4.8B
      • A••••••• C•••••• C•• G• I• L•
        investment adviserpooled vehicle sponsorn
      • A••••••• C•••••• C•• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • A••••••• C•••••• C•• M••••••••• L••
        pooled vehicle sponsorn
      • A••••••• C•••••• E••••• G• I••• L•
        investment adviserpooled vehicle sponsorn
      • A••••••• C•••••• E••••• M••••••••• I• L••
        investment adviserpooled vehicle sponsorn
      • A••••••• C•••••• E••••• M••••••••• I•• L••
        investment adviserpooled vehicle sponsorn
      • M••• Management, LLC
        investment adviserbanknRAUM $6.0B
      • E••••••• C•••••• A•••• M••••••••• L••••••
        investment advisern
      • E••••••• C•••••• F•••••••• S••••••• L••••••
        investment advisern
      Advisers that list A••••••• C•••••• A••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Bethesda, MD
      What changed
      consecutive filings, newest first
      • Advisory employees · 25 to 27
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 28 to 29
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $282M to $236M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $282M to $236M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 17 to 25
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · unset to 282476000.0
        Mar 31, 2014 to Mar 31, 2015
      • Custody of client assets · false to true
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 22 to 28
        Mar 31, 2014 to Mar 31, 2015
      • Financial planning clients · 0 to 1-10
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $295M to $282M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $295M to $282M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 0 to 1
        Sep 24, 2013 to Mar 31, 2014
      • Advisory employees · 0 to 17
        Sep 24, 2013 to Mar 31, 2014
      • Employees · 0 to 22
        Sep 24, 2013 to Mar 31, 2014
      • HQ city · BETHESDA to NEW YORK
        Sep 24, 2013 to Mar 31, 2014
      • HQ state · MD to NY
        Sep 24, 2013 to Mar 31, 2014
      • Discretionary RAUM · $0 to $295M
        Sep 24, 2013 to Mar 31, 2014
      • RAUM · $0 to $295M
        Sep 24, 2013 to Mar 31, 2014
      • Related bank · false to true
        Sep 24, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • A••••••• C•••••• A••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 18, 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