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•••••• E••••• P•••••••• L••

Asset manager (funds and pooled vehicles)West Palm Beach, FloridaCRD 170597SEC 801-79337websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 5, 2014 · 19 filings
SEC status approved since Mar 18, 2014
RAUM
$842M
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
11
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$842M as of Mar 31, 2026
Mar 18, 2015$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 18, 20150 then
Employees (5.A)11 as of Mar 31, 2026
Mar 18, 20156 then
Private funds13 as of Mar 31, 2026
Mar 18, 20152 then
RAUM -4.9% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$64.8MderivedRAUM 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
-4.9%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
Custody
$842M, 13 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$842M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$842M for 13 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=false 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
      Every departureEvery arrival
      Private funds
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• P•••••• E••••• F••• I•• L•Private Equity Fund$253M67Mar 30, 2020
      A•• P•••••• E••••• P••••••• F••• I•• L•Private Equity Fund$88.6M8Mar 30, 2020
      A•• C••••••• P•••••••• L••Private Equity Fund$87.8M11Mar 29, 2024
      A•• S••••••••• H•••••••• L••Private Equity Fund$49.6M20Mar 29, 2024
      A•• P•••••• E••••• F•••• L•Private Equity Fund$34.4M50Mar 5, 2014
      A•• P•••••• E••••• P••••••• F•••• L•Private Equity Fund$24.9M13Mar 18, 2015
      A•• P•••••• E••••• P••••••• F••• I• B• L•Private Equity Fund$6.4M9Oct 7, 2021
      A•• B•••••• C•••••••••no longer reportedPrivate Equity Fund$6.1M2Mar 30, 2016
      A•• P•••••• P•••••••Private Equity Fund$4.9M6Mar 29, 2024
      A•• D•••• P•••••••• L••Private Equity Fund$1.8M4Mar 29, 2024
      A•• N•••••••• P•••••••• L••Private Equity Fund$1.5M5Mar 29, 2024
      A•• P• C••••••••• F••• ••• L••Private Equity Fund$119,79710Mar 30, 2016
      A•• G•••••• I•••••••• I•• L••no longer reportedPrivate Equity Fund$47,12716Mar 30, 2016
      A•• E••••• H•••••••• L••Private Equity Fund$24,7558Mar 29, 2024
      A•• B•••••• P•••••••• L••Private Equity Fund$4,7929Mar 29, 2024
      A•• G•••••• I•••••••• I••• L••no longer reportedPrivate Equity Fund$3784Mar 30, 2016
      A•• G•••••• I•••••••• I•• C•••• H•••••••• L••no longer reportedPrivate Equity Fund$02Mar 30, 2016
      A•• I•••••• C•••••••••no longer reportedPrivate Equity Fund$03Mar 30, 2017
      A•• G•••••• I•••••••• I• L••no longer reportedPrivate Equity Fund$01Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• D•••• · Partnercontrol
        since 11/2011 · owns 10% to 25%
      • C••••• K•••• B•• · Managing Directorcontrol
        since 11/2011 · owns 5% to 10%
      • F••••• S•••••• A••••• · Partner/Ccocontrol
        since 11/2011 · owns 10% to 25%
      • U•••••• A••••• · Managing Membercontrol
        since 11/2011 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • A•• P•••••• E••••• I••••••••• G• I• L•
        pooled vehicle sponsorn
      • A•• P•••••• E••••• I••••••••• G• I•• L•
        pooled vehicle sponsorn
      • A••• L••
        investment advisern
      Advisers that list A•• P•••••• E••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 13
        Apr 30, 2025 to Mar 31, 2026
      • Advisory employees · 11 to 10
        Apr 30, 2025 to Mar 31, 2026
      • Pooled vehicle clients · 16 to 13
        Apr 30, 2025 to Mar 31, 2026
      • Assets in custody · $885M to $842M
        Apr 30, 2025 to Mar 31, 2026
      • Employees · 12 to 11
        Apr 30, 2025 to Mar 31, 2026
      • Private funds · 16 to 13
        Apr 30, 2025 to Mar 31, 2026
      • Discretionary RAUM · $885M to $842M
        Apr 30, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $885M to $842M
        Apr 30, 2025 to Mar 31, 2026
      • RAUM · $885M to $842M
        Apr 30, 2025 to Mar 31, 2026
      • Related adviser · true to false
        Apr 30, 2025 to Mar 31, 2026
      • Accounts · 12 to 16
        May 16, 2024 to Apr 30, 2025
      • Pooled vehicle clients · 12 to 16
        May 16, 2024 to Apr 30, 2025
      • Assets in custody · $552M to $885M
        May 16, 2024 to Apr 30, 2025
      • Financial planning clients · unset to
        May 16, 2024 to Apr 30, 2025
      • Private funds · 12 to 16
        May 16, 2024 to Apr 30, 2025
      • Discretionary RAUM · $552M to $885M
        May 16, 2024 to Apr 30, 2025
      • Pooled vehicle RAUM · $552M to $885M
        May 16, 2024 to Apr 30, 2025
      • RAUM · $552M to $885M
        May 16, 2024 to Apr 30, 2025
      • Accounts · 6 to 12
        May 11, 2023 to Mar 29, 2024
      • Advisory employees · 10 to 11
        May 11, 2023 to Mar 29, 2024
      • Pooled vehicle clients · 6 to 12
        May 11, 2023 to Mar 29, 2024
      • Assets in custody · unset to 552488089.0
        May 11, 2023 to Mar 29, 2024
      • Custody of client assets · false to true
        May 11, 2023 to Mar 29, 2024
      • Employees · 10 to 12
        May 11, 2023 to Mar 29, 2024
      • Private funds · 6 to 12
        May 11, 2023 to Mar 29, 2024
      • Discretionary RAUM · $312M to $552M
        May 11, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $312M to $552M
        May 11, 2023 to Mar 29, 2024
      • RAUM · $312M to $552M
        May 11, 2023 to Mar 29, 2024
      • Advisory employees · 9 to 10
        Jun 30, 2022 to Mar 29, 2023
      • Discretionary RAUM · $522M to $312M
        Jun 30, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $522M to $312M
        Jun 30, 2022 to Mar 29, 2023
      • RAUM · $522M to $312M
        Jun 30, 2022 to Mar 29, 2023
      • Accounts · 9 to 6
        Nov 10, 2021 to Mar 31, 2022
      • Advisory employees · 8 to 9
        Nov 10, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 9 to 6
        Nov 10, 2021 to Mar 31, 2022
      • Employees · 9 to 10
        Nov 10, 2021 to Mar 31, 2022
      • Private funds · 9 to 6
        Nov 10, 2021 to Mar 31, 2022
      • Discretionary RAUM · $544M to $522M
        Nov 10, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $544M to $522M
        Nov 10, 2021 to Mar 31, 2022
      • RAUM · $544M to $522M
        Nov 10, 2021 to Mar 31, 2022
      Signals
      9 dated events
      • A•• P•••••• E••••• P•••••••• L•• reported RAUM $884.7M, up 60% from $552.5M (2024-05-16 to 2025-04-30)
        Apr 30, 2025 · RAUM change · derived
      • A•• P•••••• E••••• P•••••••• L•• reported RAUM $552.5M, up 77% from $311.6M (2023-05-11 to 2024-03-29)
        Mar 29, 2024 · RAUM change · derived
      • A•• P•••••• E••••• P•••••••• L•• reported RAUM $311.6M, down 40% from $522.2M (2022-06-30 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • Lawrence Sean Gagnon (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of A•• P•••••• E••••• P•••••••• L•• (listed 2022-03-31, absent 2022-06-30)
        Jun 30, 2022 · Control person left · inference
      • A•• P•••••• E••••• P•••••••• L•• reported RAUM $543.7M, up 47% from $368.8M (2021-03-30 to 2021-10-07)
        Oct 7, 2021 · RAUM change · derived
      • Healey John Moore (Chief Compliance Officer) no longer on Schedule A of A•• P•••••• E••••• P•••••••• L•• (listed 2021-03-30, absent 2021-10-07)
        Oct 7, 2021 · Control person left · inference
      • Lawrence Sean Gagnon (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of A•• P•••••• E••••• P•••••••• L••
        Oct 7, 2021 · Control person joined · fact
      • A•• P•••••• E••••• P•••••••• L•• reported RAUM $458.7M, up 88% from $243.6M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • A•• P•••••• E••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 5, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/aua-private-equity-partnersreportedpublic record, Form ADV, Sep 18, 2026
      Website
      a••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      561-851-9500reportedpublic record, Form ADV, Mar 31, 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