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•••••• P•••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 169380SEC 801-79286IAPD
Legal name A•••••• C•••••• P••••••• L•••
Latest filing Mar 29, 2019
First filing on the tape Feb 25, 2014 · 9 filings
RAUM
$147M
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
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
14
$147M gross assets
History
9 filings and snapshots on the tape
RAUM$147M as of Mar 29, 2019
Mar 30, 2015$854M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20150 then
Employees (5.A)4 as of Mar 29, 2019
Mar 30, 201511 then
Private funds14 as of Mar 29, 2019
Mar 30, 201523 then
RAUM -58% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$10.5MderivedRAUM 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
-58%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
  • 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)
  • 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$147M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
14reported
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
      26 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•• M••••••• B•••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$189M172Mar 30, 2012
      M•• I• A•••• F•••• L•••no longer reportedPrivate Equity Fund$73.2M8Jul 2, 2014
      D•••• O••••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$62.9M172Mar 30, 2012
      M•• I•• P••• I••••••••• L•••no longer reportedPrivate Equity Fund$31.3M2Mar 28, 2014
      D•• O••••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$18.3M26Mar 30, 2012
      D•• O••••••• P••••••• I••••• C•••no longer reportedPrivate Equity Fund$4.7M5Mar 30, 2012
      M•• I•• A••• L•••no longer reportedPrivate Equity Fund$3.6M140Mar 30, 2012
      D•• O••••••• P••••••• I••••• C•••no longer reportedPrivate Equity Fund$3.3M5Mar 30, 2012
      D•• M• P••••••• I•• G••• • C••••no longer reportedPrivate Equity Fund$2.2M7Mar 30, 2012
      M• O••••••• P••••••• I•• L•••Private Equity Fund$2.1M106Mar 30, 2012
      M••••••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$1.6M25Mar 30, 2012
      I•••• L•••no longer reportedPrivate Equity Fund$1.6M21Mar 30, 2012
      A•••••• C•••••• P••••••• E• I••••••••• L•Private Equity Fund$1.6M5Mar 30, 2016
      O••••••• P••••••• I•• L•••Private Equity Fund$1.5M56Mar 30, 2012
      U•• A•• ••••••••• L•••no longer reportedPrivate Equity Fund$1.0M14Mar 30, 2012
      G•••• L•Private Equity Fund$1.0M36Mar 30, 2016
      M•• I• P••• I••••••••• L•••Private Equity Fund$798,0002Mar 28, 2014
      M••••••• B•••••• P••••••• I•• L•••Private Equity Fund$689,952107Mar 30, 2012
      A•••••• C•••••• P••••••• C•••••••• L•••Private Equity Fund$220,0008Jul 2, 2014
      M••••••• B•••••• P••••••• I• ••••••••• L•••Private Equity Fund$213,85022Mar 30, 2012
      G•••• C••••••• 1• L•Private Equity Fund$46,4648Mar 30, 2016
      M• H•• C••••••••• L•••Private Equity Fund$4,5364Mar 30, 2012
      D• ••••• L•••Private Equity Fund$0106Mar 30, 2012
      M• O••••••• I• A••• L•••Private Equity Fund$0100Mar 30, 2012
      M•• I• E•••• H••••••• I• L••Private Equity Fund$07Mar 30, 2012
      W•• H•••••••• L••Private Equity Fund$05Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••••• R•••••• P••• · Chief Finanical Officercontrol
        since 01/2014 · owns less than 5%
      • S•••••••• S••••• C••••••• · Co-Headcontrol
        since 01/2014 · owns less than 5%
      • T•••••• C•••• · Partnercontrol
        since 01/2014 · owns 50% to 75%
      • P••••••• E•••••• L••••• · Trusteecontrol
        since 08/2007 · owns F of P•••••• S••••••• F••••• T•••• U•• 8•••••
      • S•••••••• S••••• C••••••• · Trusteecontrol
        since 08/2007 · owns F of P•••••• S••••••• F••••• T•••• U•• 8•••••
      • S•••••••• S••••• C••••••• · Membercontrol
        since 01/2014 · owns 50% to 75% of A•••••• C•••••• P••••••• L••
      • T•••••• C•••• · Membercontrol
        since 01/2014 · owns 50% to 75% of A•••••• C•••••• P••••••• L••
      Entity owners
      • A•••••• C•••••• P••••••• L•• · General Partner
        direct · owns less than 5%
      • P•••••• S••••••• F••••• T•••• U•• 8••••• · Partner
        direct · owns 50% to 75%
      • A•••••• C•••••• P••••••• · Shareholder
        indirect · owns 75% or more of A•••••• C•••••• P••••••• Uk Service Co Ltd
      Related persons
      Schedule D 7.A
      • A•••••• C•••••• P••••••• G• L••
        bankpooled vehicle sponsory
      • A•••••• C•••••• P••••••• I• L••
        pooled vehicle sponsory
      • A•••••• C•••••• P••••••• I• L•
        pooled vehicle sponsory
      • G•••• G• L••
        pooled vehicle sponsory
      • M•• I• P••• I••••••••• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 3
        Jul 17, 2018 to Mar 29, 2019
      • Employees · 9 to 4
        Jul 17, 2018 to Mar 29, 2019
      • Discretionary RAUM · $352M to $147M
        Jul 17, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $352M to $147M
        Jul 17, 2018 to Mar 29, 2019
      • RAUM · $352M to $147M
        Jul 17, 2018 to Mar 29, 2019
      • Accounts · 15 to 14
        Mar 30, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 14.0
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 30, 2018
      • Private funds · 15 to 14
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $431M to $352M
        Mar 30, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 352491929.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $431M to $352M
        Mar 30, 2017 to Mar 30, 2018
      • Advisory employees · 8 to 6
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 11 to 9
        Mar 30, 2016 to Mar 30, 2017
      • HQ city · NEW YORK to LOS ANGELES
        Mar 30, 2016 to Mar 30, 2017
      • HQ state · NY to CA
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $477M to $431M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $477M to $431M
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 23 to 15
        Mar 30, 2015 to Mar 30, 2016
      • Private funds · 23 to 15
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $854M to $477M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $854M to $477M
        Mar 30, 2015 to Mar 30, 2016
      • Related bank · false to true
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.3B to $854M
        Oct 9, 2014 to Mar 30, 2015
      • RAUM · $1.3B to $854M
        Oct 9, 2014 to Mar 30, 2015
      • Business name · M••••••• B•••••• P••••••• to A•••••• C•••••• P•••••••
        Jul 2, 2014 to Oct 9, 2014
      • Accounts · 0 to 23
        Feb 25, 2014 to Jul 2, 2014
      • Advisory employees · 10 to 8
        Feb 25, 2014 to Jul 2, 2014
      • Assets in custody · 0.0 to unset
        Feb 25, 2014 to Jul 2, 2014
      • Employees · 15 to 11
        Feb 25, 2014 to Jul 2, 2014
      • Legal name · M••••••• B•••••• P••••••• to A•••••• C•••••• P••••••• L.P.
        Feb 25, 2014 to Jul 2, 2014
      • Private funds · unset to 23
        Feb 25, 2014 to Jul 2, 2014
      Signals
      2 dated events
      • A•••••• C•••••• P••••••• reported RAUM $147.3M, down 58% from $352.5M (2018-07-17 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • M••••••• B•••••• P••••••• filed its initial SEC registration (Form ADV)
        Feb 25, 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