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•••• G••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170157SEC 801-100458IAPD
Latest filing Mar 18, 2022
First filing on the tape Jun 25, 2015 · 12 filings
RAUM
$518M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$410M gross assets
History
12 filings and snapshots on the tape
RAUM$518M as of Mar 18, 2022
Mar 24, 2016$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2022
Mar 24, 20160 then
Employees (5.A)7 as of Mar 18, 2022
Mar 24, 201615 then
Private funds2 as of Mar 18, 2022
Mar 24, 20161 then
RAUM -22% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2022; 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
$64.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%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)
  • 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$410M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• G••••• M••••• F••• L•••Hedge Fund$327M32Jan 31, 2014
      A•••• G••••• Z••• M••••• F••• L•••Hedge Fund$82.8M58Mar 26, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• L•••••••• A•••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 10/2019 · owns less than 5%
      • L•••• W••• Y•• · Managing Member/Portfolio Managercontrol
        since 04/2013 · owns less than 5%
      • L•••• W••• Y•• · Managing Membercontrol
        since 08/2013 · owns 75% or more of L••• H••••••• L••
      Entity owners
      • L••• H••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • K•• H••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 8
        Mar 26, 2021 to Mar 18, 2022
      • Employees · 6 to 7
        Mar 26, 2021 to Mar 18, 2022
      • Discretionary RAUM · $660M to $518M
        Mar 26, 2021 to Mar 18, 2022
      • Pooled vehicle RAUM · $660M to $410M
        Mar 26, 2021 to Mar 18, 2022
      • RAUM · $660M to $518M
        Mar 26, 2021 to Mar 18, 2022
      • Accounts · 5 to 6
        Mar 27, 2020 to Mar 26, 2021
      • Advisory employees · 5 to 4
        Mar 27, 2020 to Mar 26, 2021
      • Pooled vehicle clients · 4 to 6
        Mar 27, 2020 to Mar 26, 2021
      • Assets in custody · 873633625.0 to unset
        Mar 27, 2020 to Mar 26, 2021
      • Custody of client assets · true to false
        Mar 27, 2020 to Mar 26, 2021
      • Employees · 7 to 6
        Mar 27, 2020 to Mar 26, 2021
      • Private funds · 1 to 2
        Mar 27, 2020 to Mar 26, 2021
      • Discretionary RAUM · $874M to $660M
        Mar 27, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $873M to $660M
        Mar 27, 2020 to Mar 26, 2021
      • RAUM · $874M to $660M
        Mar 27, 2020 to Mar 26, 2021
      • Accounts · 4 to 5
        Oct 14, 2019 to Mar 27, 2020
      • Assets in custody · $922M to $874M
        Oct 14, 2019 to Mar 27, 2020
      • Employees · 8 to 7
        Oct 14, 2019 to Mar 27, 2020
      • Discretionary RAUM · $922M to $874M
        Oct 14, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $922M to $873M
        Oct 14, 2019 to Mar 27, 2020
      • RAUM · $922M to $874M
        Oct 14, 2019 to Mar 27, 2020
      • Advisory employees · 9 to 5
        Mar 29, 2018 to Mar 20, 2019
      • Assets in custody · $557M to $922M
        Mar 29, 2018 to Mar 20, 2019
      • Employees · 13 to 8
        Mar 29, 2018 to Mar 20, 2019
      • Discretionary RAUM · $1.0B to $922M
        Mar 29, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $1.0B to $922M
        Mar 29, 2018 to Mar 20, 2019
      • RAUM · $1.0B to $922M
        Mar 29, 2018 to Mar 20, 2019
      • Pooled vehicle clients · unset to 4.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $927M to $557M
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.5B to $1.0B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1024339773.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $1.5B to $1.0B
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 11 to 9
        Mar 24, 2016 to Mar 31, 2017
      • Assets in custody · $1.1B to $927M
        Mar 24, 2016 to Mar 31, 2017
      • Employees · 15 to 13
        Mar 24, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.0B to $1.5B
        Mar 24, 2016 to Mar 31, 2017
      • RAUM · $2.0B to $1.5B
        Mar 24, 2016 to Mar 31, 2017
      • Advisory employees · 14 to 11
        Sep 30, 2015 to Mar 24, 2016
      • Assets in custody · $1.1B to $1.1B
        Sep 30, 2015 to Mar 24, 2016
      Signals
      5 dated events
      • Lawrence Thomas Hoban (Chief Operating Officer/Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of A•••• G••••• L•• (listed 2019-06-10, absent 2019-10-14)
        Oct 14, 2019 · Control person left · inference
      • Allen Lawrence Avitabile (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of A•••• G••••• L••
        Oct 14, 2019 · Control person joined · fact
      • (Nmn) Rameez Saleh (Member/Partner/Sr. Investment Analyst) no longer on Schedule A of A•••• G••••• L•• (listed 2018-03-29, absent 2019-03-20)
        Mar 20, 2019 · Control person left · inference
      • A•••• G••••• L•• reported RAUM $1.0B, down 34% from $1.5B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • A•••• G••••• L•• filed its initial SEC registration (Form ADV)
        Jun 25, 2015 · 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