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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••••••••• P••••••• I•• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 170142SEC 801-79231IAPD
Latest filing Jan 16, 2024
First filing on the tape Feb 13, 2014 · 14 filings
SEC status approved since Feb 20, 2014
RAUM
$66.3M
reported, Item 5.F
Discretionary
0.0%
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$66.3M as of Jan 16, 2024
Mar 29, 2018$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 16, 2024
Mar 31, 20150 then
Employees (5.A)3 as of Jan 16, 2024
Mar 31, 20152 then
Private funds: no history
RAUM -6.1% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 16, 2024; 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
$66.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-6.1%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 companies, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$66.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • K••••••••• M••••••• N•• · President, Ceo And Managing Membercontrol
        since 12/2013 · owns less than 5%
      • K••••••••• M••••••• N•• · President, Ceo And Managing Membercontrol
        since 12/2013 · owns 75% or more of A••••••••• Group, LLC
      • G••••••••• A•••• J•• · Chief Compliance Officer
        since 12/2013 · owns less than 5%
      Entity owners
      • A••••••••• G•••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • F•••••••• L••• S••••••• L••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $70.6M to $66.3M
        Jan 16, 2023 to Jan 16, 2024
      • RAUM · $70.6M to $66.3M
        Jan 16, 2023 to Jan 16, 2024
      • Non-discretionary RAUM · $78.5M to $70.6M
        Mar 3, 2022 to Jan 16, 2023
      • RAUM · $78.5M to $70.6M
        Mar 3, 2022 to Jan 16, 2023
      • Employees · 4 to 3
        Mar 1, 2021 to Mar 3, 2022
      • Non-discretionary RAUM · $18.2M to $78.5M
        Mar 1, 2021 to Mar 3, 2022
      • RAUM · $18.2M to $78.5M
        Mar 1, 2021 to Mar 3, 2022
      • Non-discretionary RAUM · $184M to $18.2M
        Mar 3, 2020 to Mar 1, 2021
      • RAUM · $184M to $18.2M
        Mar 3, 2020 to Mar 1, 2021
      • Non-discretionary RAUM · $169M to $184M
        Mar 28, 2019 to Mar 3, 2020
      • RAUM · $169M to $184M
        Mar 28, 2019 to Mar 3, 2020
      • Non-discretionary RAUM · $150M to $169M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $150M to $169M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 2 to 1
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · unset to 150400000.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · unset to 150400000.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 2 to 4
        Mar 31, 2015 to Mar 29, 2016
      • HQ city · GREENWICH to BOCA RATON
        Aug 6, 2014 to Mar 31, 2015
      • HQ state · CT to FL
        Aug 6, 2014 to Mar 31, 2015
      • Advisory employees · 1 to 2
        Jun 19, 2014 to Aug 6, 2014
      • Advisory activities · 1 to 2
        Feb 18, 2014 to Jun 19, 2014
      • BD registered reps · 1 to 0
        Feb 18, 2014 to Jun 19, 2014
      • Insurance-licensed employees · 1 to 0
        Feb 18, 2014 to Jun 19, 2014
      • State-registered IARs · 1 to 0
        Feb 18, 2014 to Jun 19, 2014
      • Business name · A•• F•••••••• P••••••• I•• L•• to A••••••••• P••••••• I•• L••
        Feb 13, 2014 to Feb 18, 2014
      • Legal name · A•• F•••••••• P••••••• I•• L•• to A••••••••• P••••••• I•• L••
        Feb 13, 2014 to Feb 18, 2014
      Signals
      3 dated events
      • A••••••••• P••••••• I•• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $66.3M)
        Feb 3, 2025 · Left the SEC roster · derived
      • A••••••••• P••••••• I•• L•• reported RAUM $18.2M, down 90% from $183.5M (2020-03-03 to 2021-03-01)
        Mar 1, 2021 · RAUM change · derived
      • A•• F•••••••• P••••••• I•• L•• filed its initial SEC registration (Form ADV)
        Feb 13, 2014 · 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