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•••• C•••••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Nov 21, 2013 · 26 filings
SEC status approved since Jan 2, 2014
RAUM
$857M
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
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$857M as of Mar 30, 2026
Mar 27, 2015$702M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20150 then
Employees (5.A)12 as of Mar 30, 2026
Mar 27, 201510 then
Private funds5 as of Mar 30, 2026
Mar 27, 20152 then
RAUM +7.8% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $61.2MderivedRAUM 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
- +7.8%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
- Custody
- $857M, 14 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$857M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $857M for 14 clientsreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• M••••••••• F••• L• | Hedge Fund | $481M | 10 | Nov 21, 2013 |
| A•••• M•••••••• F••• L•no longer reported | Hedge Fund | $167M | 2 | Aug 18, 2016 |
| A•••• A••••••••• E••••• F••• L• | Hedge Fund | $132M | 9 | Mar 30, 2020 |
| A•••• M••••• N•••••• F••• L• | Hedge Fund | $106M | 10 | Nov 21, 2013 |
| A•••• V••••••• L• | Venture Capital Fund | $16.0M | 16 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• T•••• A••••• · Chief Executive Officercontrolsince 08/2013 · owns 50% to 75%
- J•••••• A••••••• A•••• · Portfolio Managercontrolsince 08/2013 · owns 25% to 50%
- O••••••• M•••• T••••• · Chief Financial Officercontrolsince 07/2022 · owns less than 5%
- R•••••• D•••••• S•••• · Chief Operating Officer, General Counsel And Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- B••••••••• T•••• A••••• · Managing Membercontrolsince 08/2013 · owns 50% to 75% of A•••• C•••••• M••••••••• G• L••
- J•••••• A••••••• A•••• · Membercontrolsince 08/2013 · owns 25% to 50% of A•••• C•••••• M••••••••• G• L••
Entity owners
- A•••• C•••••• M••••••••• G• L•• · General Partner (A•••• C•••••• M••••••••• L•)direct · owns less than 5%
Related persons
Schedule D 7.A
- A•••• C•••••• M••••••••• A••••••••• E••••• F••• G• L••investment adviserbankpooled vehicle sponsorn
- A•••• C•••••• M••••••••• M••••• N•••••• G• I• L••investment adviserbankpooled vehicle sponsorn
- A•••• C•••••• M••••••••• M••••••••• G• L••investment adviserbankpooled vehicle sponsorn
- A•••• V••••••• G• L••investment adviserpooled vehicle sponsorn
- C••••••• A••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Advisory employees · 8 to 6Dec 10, 2025 to Mar 30, 2026
- Assets in custody · $795M to $857MDec 10, 2025 to Mar 30, 2026
- Employees · 13 to 12Dec 10, 2025 to Mar 30, 2026
- Other offices · 0 to 1Dec 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $795M to $857MDec 10, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $795M to $857MDec 10, 2025 to Mar 30, 2026
- RAUM · $795M to $857MDec 10, 2025 to Mar 30, 2026
- Other offices · 1 to 0May 15, 2025 to Aug 8, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 15, 2025
- Accounts · 11 to 14Jan 10, 2025 to Mar 28, 2025
- Advisory employees · 9 to 8Jan 10, 2025 to Mar 28, 2025
- Pooled vehicle clients · 11 to 14Jan 10, 2025 to Mar 28, 2025
- Assets in custody · $727M to $795MJan 10, 2025 to Mar 28, 2025
- Employees · 15 to 13Jan 10, 2025 to Mar 28, 2025
- Private funds · 4 to 5Jan 10, 2025 to Mar 28, 2025
- Discretionary RAUM · $727M to $795MJan 10, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $727M to $795MJan 10, 2025 to Mar 28, 2025
- RAUM · $727M to $795MJan 10, 2025 to Mar 28, 2025
- HQ city · NEW YORK to MIAMI BEACHMar 28, 2024 to Jan 10, 2025
- HQ state · NY to FLMar 28, 2024 to Jan 10, 2025
- Other offices · 2 to 1Mar 28, 2024 to Jan 10, 2025
- Assets in custody · $976M to $727MMar 31, 2023 to Mar 28, 2024
- Employees · 16 to 15Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $976M to $727MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $976M to $727MMar 31, 2023 to Mar 28, 2024
- RAUM · $976M to $727MMar 31, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $931M to $976MMar 30, 2022 to Mar 31, 2023
- Employees · 17 to 16Mar 30, 2022 to Mar 31, 2023
- Financial planning clients · 0 to unsetMar 30, 2022 to Mar 31, 2023
- Other offices · 1 to 2Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $931M to $976MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $931M to $976MMar 30, 2022 to Mar 31, 2023
- RAUM · $931M to $976MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 8 to 10Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $1.1B to $931MMar 30, 2021 to Mar 30, 2022
- Employees · 15 to 17Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.1B to $931MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.1B to $931MMar 30, 2021 to Mar 30, 2022
- RAUM · $1.1B to $931MMar 30, 2021 to Mar 30, 2022
Signals
8 dated events
- A•••• C•••••• M••••••••• L• reported RAUM $727.2M, down 25% from $975.6M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Thomas Marc O'Brien (Chief Financial Officer) appeared on Schedule A of A•••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- James Jeff Baisley (Chief Operating Officer) no longer on Schedule A of A•••• C•••••• M••••••••• L• (listed 2022-03-30, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Howard Jonathan Feiler (General Counsel, Chief Compliance Officer) no longer on Schedule A of A•••• C•••••• M••••••••• L• (listed 2020-07-29, absent 2020-11-25)Nov 25, 2020 · Control person left · inference
- Scott Daniel Radden (General Counsel And Chief Compliance Officer) appeared on Schedule A of A•••• C•••••• M••••••••• L•Nov 25, 2020 · Control person joined · fact
- A•••• C•••••• M••••••••• L• reported RAUM $981.4M, down 31% from $1.4B (2019-01-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- A•••• C•••••• M••••••••• L• reported RAUM $1.4B, down 33% from $2.1B (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- A•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 21, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- A•••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- A•••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-218-0550reportedpublic record, Form ADV, Mar 30, 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