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••• P••• C••••••• L•
Latest filing Apr 9, 2026
First filing on the tape Mar 31, 2017 · 19 filings
SEC status approved since May 4, 2017
RAUM
$1.8B
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
16
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.8B as of Apr 9, 2026
Mar 29, 2018$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2026
Mar 29, 20180 then
Employees (5.A)16 as of Apr 9, 2026
Mar 29, 20189 then
Private funds6 as of Apr 9, 2026
Mar 29, 20182 then
RAUM +28% over the last fiscal year+0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 2026; 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
- $198MderivedRAUM 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
- +28%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-based, otherreportedItem 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)
- 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
- Pooled investment vehicles$1.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• P••• F•••• L• | Hedge Fund | $1.2B | 341 | Oct 3, 2014 |
| A••• P••• G••••• E••••• I•• L• | Private Equity Fund | $197M | 139 | Mar 29, 2022 |
| A••• P••• F••• O•••••••• L••no longer reported | Hedge Fund | $93.1M | 5 | Oct 3, 2014 |
| A••• P••• G••••• E•••••• L• | Private Equity Fund | $87.1M | 83 | Mar 31, 2021 |
| A••• P••• F••• O••••••• L•no longer reported | Hedge Fund | $55.6M | 32 | Oct 3, 2014 |
| A••• P••• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $49.0M | 20 | Jun 16, 2015 |
| H•••••• A••• N•• L• | Private Equity Fund | $25.6M | 17 | Mar 30, 2020 |
| A••• P••• P•••••• O••••••••• F•••• L• • S••••• I• | Private Equity Fund | $14.1M | 29 | Feb 23, 2022 |
| A••• P••• P•••••• O••••••••• F•••• L• • S••••• I•no longer reported | Private Equity Fund | $4.2M | 33 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••••• N•••••• · Partnercontrolsince 08/2013 · owns 25% to 50%
- J••••• C•••••• P•••••• · Chief Financial Officercontrolsince 04/2022 · owns less than 5%
- K•••••• J••••••••• •••• · Partnercontrolsince 08/2013 · owns 25% to 50%
- M•••••••• B••••• S•••••• · Partnercontrolsince 08/2013 · owns 10% to 25%
- N••••••• R•••• •••• · Chief Operating Officercontrolsince 01/2020 · owns less than 5%
- P••••••• D••••• M•• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- B••••••• J•••••• N•••••• · Member & Managercontrolsince 08/2013 · owns 25% to 50% of A••• P••• M••••••••• L••
- K•••••• J••••••••• •••• · Member & Managercontrolsince 08/2013 · owns 25% to 50% of A••• P••• M••••••••• L••
Entity owners
- A••• P••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••• P••• P•••••••• L••pooled vehicle sponsorn
- A••• P••• P•••••• P••••••• I•• L••pooled vehicle sponsorn
- A••• P••• P•••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.8B to $1.8BMar 26, 2026 to Apr 9, 2026
- Pooled vehicle RAUM · $1.8B to $1.8BMar 26, 2026 to Apr 9, 2026
- RAUM · $1.8B to $1.8BMar 26, 2026 to Apr 9, 2026
- Advisory employees · 9 to 10Apr 10, 2025 to Mar 26, 2026
- Employees · 13 to 16Apr 10, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.4B to $1.8BApr 10, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.4B to $1.8BApr 10, 2025 to Mar 26, 2026
- RAUM · $1.4B to $1.8BApr 10, 2025 to Mar 26, 2026
- Accounts · 7 to 9Mar 28, 2024 to Apr 10, 2025
- Pooled vehicle clients · 7 to 9Mar 28, 2024 to Apr 10, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 10, 2025
- Private funds · 4 to 6Mar 28, 2024 to Apr 10, 2025
- Discretionary RAUM · $1.5B to $1.4BMar 28, 2024 to Apr 10, 2025
- Pooled vehicle RAUM · $1.5B to $1.4BMar 28, 2024 to Apr 10, 2025
- RAUM · $1.5B to $1.4BMar 28, 2024 to Apr 10, 2025
- Accounts · 8 to 7Apr 10, 2023 to Mar 28, 2024
- Advisory employees · 11 to 9Apr 10, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8 to 7Apr 10, 2023 to Mar 28, 2024
- Employees · 15 to 13Apr 10, 2023 to Mar 28, 2024
- Private funds · 5 to 4Apr 10, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $1.5BApr 10, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.7B to $1.5BApr 10, 2023 to Mar 28, 2024
- RAUM · $1.7B to $1.5BApr 10, 2023 to Mar 28, 2024
- Advisory employees · 9 to 11Mar 29, 2022 to Mar 29, 2023
- Employees · 13 to 15Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.4B to $1.7BMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $2.4B to $1.7BMar 29, 2022 to Mar 29, 2023
- RAUM · $2.4B to $1.7BMar 29, 2022 to Mar 29, 2023
- Accounts · 6 to 8Feb 23, 2022 to Mar 29, 2022
- Advisory employees · 7 to 9Feb 23, 2022 to Mar 29, 2022
- Pooled vehicle clients · 6 to 8Feb 23, 2022 to Mar 29, 2022
- Employees · 10 to 13Feb 23, 2022 to Mar 29, 2022
- Discretionary RAUM · $1.8B to $2.4BFeb 23, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $1.8B to $2.4BFeb 23, 2022 to Mar 29, 2022
- RAUM · $1.8B to $2.4BFeb 23, 2022 to Mar 29, 2022
- Private funds · 4 to 5Jul 13, 2021 to Feb 23, 2022
- Accounts · 5 to 6May 13, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 6May 13, 2020 to Mar 31, 2021
- Private funds · 3 to 4May 13, 2020 to Mar 31, 2021
- Discretionary RAUM · $780M to $1.8BMay 13, 2020 to Mar 31, 2021
Signals
9 dated events
- A••• P••• C••••••• L• reported RAUM $1.8B, up 28% from $1.4B (2025-04-10 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- A••• P••• C••••••• L• reported RAUM $1.7B, down 29% from $2.4B (2022-03-29 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Patrick Connor Joyce (Chief Financial Officer) appeared on Schedule A of A••• P••• C••••••• L•Mar 29, 2023 · Control person joined · fact
- A••• P••• C••••••• L• reported RAUM $2.4B, up 35% from $1.8B (2022-02-23 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A••• P••• C••••••• L• reported RAUM $1.8B, up 132% from $780.1M (2020-05-13 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A••• P••• C••••••• L• reported RAUM $780.1M, up 98% from $394.5M (2020-01-08 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Mah Diana Pirrone (Chief Compliance Officer) appeared on Schedule A of A••• P••• C••••••• L•Jan 8, 2020 · Control person joined · fact
- A••• P••• C••••••• L• reported RAUM $394.5M, up 110% from $188.0M (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- A••• P••• C••••••• L• filed its initial SEC registration (Form ADV)Mar 31, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• P••• C••••••• L• · Independent Sponsorsshared crd · capital_provider
- A••• P••• C••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/3636225reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••P•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-835-3890reportedpublic record, Form ADV, Apr 9, 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
- Asset manager (funds and pooled vehicles)deriveda 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