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••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170988SEC 801-113854IAPD
Latest filing Mar 15, 2022
First filing on the tape Jun 6, 2014 · 18 filings
RAUM
$3.5B
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
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$3.3B gross assets
History
18 filings and snapshots on the tape
RAUM$3.5B as of Mar 15, 2022
Mar 26, 2015$300M then
HNW client RAUM$0 as of Mar 15, 2022
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 15, 2022
Mar 26, 20150 then
Employees (5.A)15 as of Mar 15, 2022
Mar 26, 201514 then
Private funds1 as of Mar 15, 2022
Mar 28, 20191 then
RAUM +117% over the last fiscal year+69% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 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
$886MderivedRAUM 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
+117%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
yesreportedItem 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)
  • 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$3.5B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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••••••••• S••••••••• S••••••••• M••••• F••• L•••Hedge Fund$3.3B3Mar 29, 2018
      A••••••••• S••••••••• O••••••• F••• L••no longer reportedHedge Fund$00Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• J•••• J••••• · Chief Compliance Officer, Board Member Of A••••••••• C•••••• M••••••••• L••control
        since 05/2014 · owns less than 5%
      • L•••••• O••••••• R•••••• H•••• · Member, Board Member Of A••••••••• C•••••• S• G• L••control
        since 07/2018 · owns 5% to 10%
      • P•••••••• O••• C•••• · Board Member Of A••••••••• C•••••• S• G• L••control
        since 07/2018 · owns less than 5%
      • T•••••• M•••• A••••• · Managing Principal, Board Member Of A••••••••• C•••••• S• G• L••control
        since 12/2013 · owns 25% to 50%
      • B••••••• P•••••• P•••••• · Shareholdercontrol
        since 09/2010 · owns 75% or more of P•• H•••••• A•
      Entity owners
      • B•• A••••••• I••• · Member Of A••••••••• C•••••• M••••••••• L••
        direct · owns 25% to 50%
      • B•• I••••••••• 2• A• · Member Of A••••••••• C•••••• S• G• L••
        direct · owns 25% to 50%
      • B•• I••••••••• 2• A• · Shareholder
        indirect · owns 75% or more of B•• A••••••• I•••
      • B•••••• • P••••••• A• · Shareholder
        indirect · owns 75% or more of B•• I••••••••• 2• A•
      • P•• H•••••• A• · Shareholder
        indirect · owns 25% to 50% of B•••••• • P••••••• A•
      Related persons
      Schedule D 7.A
      • A••••••••• C•••••• S• G• L••
        investment adviserbankpooled vehicle sponsory
      • B•••••• • P••••••• A•
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 8
        Oct 8, 2021 to Mar 15, 2022
      • Discretionary RAUM · $1.6B to $3.5B
        Oct 8, 2021 to Mar 15, 2022
      • Pooled vehicle RAUM · $1.6B to $3.5B
        Oct 8, 2021 to Mar 15, 2022
      • RAUM · $1.6B to $3.5B
        Oct 8, 2021 to Mar 15, 2022
      • Accounts · 3 to 4
        Mar 25, 2020 to Mar 22, 2021
      • Pooled vehicle clients · 3 to 4
        Mar 25, 2020 to Mar 22, 2021
      • Discretionary RAUM · $1.7B to $1.6B
        Mar 25, 2020 to Mar 22, 2021
      • Pooled vehicle RAUM · $1.7B to $1.6B
        Mar 25, 2020 to Mar 22, 2021
      • RAUM · $1.7B to $1.6B
        Mar 25, 2020 to Mar 22, 2021
      • Advisory employees · 7 to 9
        Sep 6, 2019 to Mar 25, 2020
      • Employees · 14 to 15
        Sep 6, 2019 to Mar 25, 2020
      • Discretionary RAUM · $731M to $1.7B
        Sep 6, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $731M to $1.7B
        Sep 6, 2019 to Mar 25, 2020
      • RAUM · $731M to $1.7B
        Sep 6, 2019 to Mar 25, 2020
      • Employees · 12 to 14
        Nov 13, 2018 to Mar 28, 2019
      • Discretionary RAUM · $302M to $731M
        Nov 13, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $302M to $731M
        Nov 13, 2018 to Mar 28, 2019
      • RAUM · $302M to $731M
        Nov 13, 2018 to Mar 28, 2019
      • Accounts · unset to 3.0
        Jul 18, 2018 to Oct 11, 2018
      • Charity clients · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Corporate clients · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • HNW clients · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Individual clients · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Pension plan clients · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Pooled vehicle clients · unset to 3.0
        Jul 18, 2018 to Oct 11, 2018
      • Assets in custody · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Custody of client assets · false to true
        Jul 18, 2018 to Oct 11, 2018
      • Other offices · 1 to 0
        Jul 18, 2018 to Oct 11, 2018
      • Private funds · unset to 1
        Jul 18, 2018 to Oct 11, 2018
      • Discretionary RAUM · unset to 302000000.0
        Jul 18, 2018 to Oct 11, 2018
      • HNW RAUM · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Individual RAUM · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Non-discretionary RAUM · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Pension RAUM · unset to 0.0
        Jul 18, 2018 to Oct 11, 2018
      • Pooled vehicle RAUM · unset to 302000000.0
        Jul 18, 2018 to Oct 11, 2018
      • RAUM · unset to 302000000.0
        Jul 18, 2018 to Oct 11, 2018
      • Related adviser · false to true
        Jul 18, 2018 to Oct 11, 2018
      • Related bank · false to true
        Jul 18, 2018 to Oct 11, 2018
      • Accounts · 1.0 to unset
        Jun 2, 2017 to Jul 18, 2018
      • Advisory employees · 10 to 7
        Jun 2, 2017 to Jul 18, 2018
      Signals
      4 dated events
      • A••••••••• C•••••• M••••••••• L•• reported RAUM $3.5B, up 117% from $1.6B (2021-10-08 to 2022-03-15)
        Mar 15, 2022 · RAUM change · derived
      • A••••••••• C•••••• M••••••••• L•• reported RAUM $1.7B, up 129% from $730.7M (2019-09-06 to 2020-03-25)
        Mar 25, 2020 · RAUM change · derived
      • A••••••••• C•••••• M••••••••• L•• reported RAUM $730.7M, up 142% from $302.0M (2018-11-13 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • A••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 6, 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