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••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170931SEC 801-79601IAPD
Latest filing Mar 31, 2022
First filing on the tape Apr 7, 2014 · 17 filings
RAUM
$350M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$350M gross assets
History
17 filings and snapshots on the tape
RAUM$350M as of Mar 31, 2022
Apr 1, 2015$189M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 1, 20150 then
Employees (5.A)7 as of Mar 31, 2022
Apr 1, 20152 then
Private funds1 as of Mar 31, 2022
Apr 1, 20151 then
RAUM +28% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$117MderivedRAUM 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-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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$350M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• O••• · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • S••••• G••• S••••• · Chief Executive Officer; Managing Membercontrol
        since 11/2000 · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••••••• G• L•••
        investment advisern
      • A••••••••• Z••••• A•
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • Z•••••, Switzerland1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $273M to $350M
        Dec 8, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $273M to $350M
        Dec 8, 2021 to Mar 31, 2022
      • RAUM · $273M to $350M
        Dec 8, 2021 to Mar 31, 2022
      • HQ city · BOSTON to NEW YORK
        Apr 1, 2021 to Dec 8, 2021
      • HQ state · MA to NY
        Apr 1, 2021 to Dec 8, 2021
      • Advisory employees · 1 to 3
        Mar 30, 2020 to Apr 1, 2021
      • Employees · 2 to 7
        Mar 30, 2020 to Apr 1, 2021
      • Discretionary RAUM · $246M to $273M
        Mar 30, 2020 to Apr 1, 2021
      • Pooled vehicle RAUM · $246M to $273M
        Mar 30, 2020 to Apr 1, 2021
      • RAUM · $246M to $273M
        Mar 30, 2020 to Apr 1, 2021
      • Discretionary RAUM · $208M to $246M
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $208M to $246M
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $208M to $246M
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $237M to $208M
        Mar 31, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $237M to $208M
        Mar 31, 2018 to Mar 31, 2019
      • RAUM · $237M to $208M
        Mar 31, 2018 to Mar 31, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 29, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 31, 2018
      • Discretionary RAUM · $178M to $237M
        Mar 29, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 236647992.0
        Mar 29, 2017 to Mar 31, 2018
      • RAUM · $178M to $237M
        Mar 29, 2017 to Mar 31, 2018
      • Assets in custody · 150983801.0 to unset
        Jun 29, 2016 to Mar 29, 2017
      • Discretionary RAUM · $151M to $178M
        Jun 29, 2016 to Mar 29, 2017
      • RAUM · $151M to $178M
        Jun 29, 2016 to Mar 29, 2017
      • Assets in custody · $136M to $151M
        Mar 30, 2016 to Jun 29, 2016
      • HQ city · NEW YORK to BOSTON
        Mar 30, 2016 to Jun 29, 2016
      • HQ state · NY to MA
        Mar 30, 2016 to Jun 29, 2016
      • Discretionary RAUM · $136M to $151M
        Mar 30, 2016 to Jun 29, 2016
      • RAUM · $136M to $151M
        Mar 30, 2016 to Jun 29, 2016
      • Assets in custody · unset to 136397718.0
        Apr 1, 2015 to Mar 29, 2016
      • Discretionary RAUM · $189M to $136M
        Apr 1, 2015 to Mar 29, 2016
      • RAUM · $189M to $136M
        Apr 1, 2015 to Mar 29, 2016
      • Discretionary RAUM · $170M to $189M
        Jan 12, 2015 to Apr 1, 2015
      • RAUM · $170M to $189M
        Jan 12, 2015 to Apr 1, 2015
      Signals
      1 dated events
      • A••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 7, 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