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•••••• A••••••• L•
Latest filing Jun 26, 2023
First filing on the tape Aug 29, 2017 · 18 filings
RAUM
$10.0M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$10.0M as of May 17, 2023
Mar 15, 2018$217M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 17, 2023
Mar 15, 20181 then
Employees (5.A)3 as of May 17, 2023
Mar 15, 20184 then
Private funds2 as of Mar 29, 2022
Mar 15, 20181 then
RAUM -97% over the last fiscal year-63% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2023; every figure names its basis
- RAUM per advisor
- $10.0MderivedRAUM 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
- $10.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -97%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$10.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• D••••• F•••• L••• | Hedge Fund | $69.8M | 101 | Mar 29, 2022 |
| A•••••• V••• F•••• L••• | Hedge Fund | $67.6M | 124 | Aug 29, 2017 |
| A•••••• H••••••• • T•• F•• L•no longer reported | Hedge Fund | $6.1M | 10 | Feb 3, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C•••• C••••••••• R•••••• · Chief Compliance Officer And Partnercontrolsince 06/2014 · owns 75% or more
- C•••• C••••••••• R•••••• · Managing Membercontrolsince 06/2014 · owns 75% or more of A•••••• C•••••• L••
Entity owners
- A•••••• C•••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- State-registered IARs · 0 to 1May 17, 2023 to May 23, 2023
- Advisory employees · 2 to 1Apr 19, 2023 to May 17, 2023
- Assets in custody · 10000000.0 to unsetApr 19, 2023 to May 17, 2023
- Custody of client assets · true to falseApr 19, 2023 to May 17, 2023
- Accounts · 12 to 1Aug 25, 2022 to Apr 19, 2023
- Advisory employees · 4 to 2Aug 25, 2022 to Apr 19, 2023
- Advisory activities · 2 to 1Aug 25, 2022 to Apr 19, 2023
- Corporate clients · 5.0 to unsetAug 25, 2022 to Apr 19, 2023
- Pooled vehicle clients · 4.0 to unsetAug 25, 2022 to Apr 19, 2023
- Assets in custody · unset to 10000000.0Aug 25, 2022 to Apr 19, 2023
- Custody of client assets · false to trueAug 25, 2022 to Apr 19, 2023
- Employees · 7 to 3Aug 25, 2022 to Apr 19, 2023
- State-registered IARs · 1 to 0Aug 25, 2022 to Apr 19, 2023
- Private funds · 2 to unsetAug 25, 2022 to Apr 19, 2023
- Discretionary RAUM · $344M to $10.0MAug 25, 2022 to Apr 19, 2023
- Pooled vehicle RAUM · 137384844.0 to unsetAug 25, 2022 to Apr 19, 2023
- RAUM · $344M to $10.0MAug 25, 2022 to Apr 19, 2023
- Related bank · true to falseAug 25, 2022 to Apr 19, 2023
- Accounts · 8 to 12Mar 9, 2021 to Mar 29, 2022
- Pooled vehicle clients · 1 to 4Mar 9, 2021 to Mar 29, 2022
- Assets in custody · 95253009.0 to unsetMar 9, 2021 to Mar 29, 2022
- Custody of client assets · true to falseMar 9, 2021 to Mar 29, 2022
- Employees · 8 to 7Mar 9, 2021 to Mar 29, 2022
- Private funds · 1 to 2Mar 9, 2021 to Mar 29, 2022
- Discretionary RAUM · $318M to $344MMar 9, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $95.3M to $137MMar 9, 2021 to Mar 29, 2022
- RAUM · $318M to $344MMar 9, 2021 to Mar 29, 2022
- Accounts · 6 to 8Mar 12, 2020 to Mar 9, 2021
- Corporate clients · 3 to 5Mar 12, 2020 to Mar 9, 2021
- Pooled vehicle clients · 2 to 1Mar 12, 2020 to Mar 9, 2021
- Assets in custody · $45.8M to $95.3MMar 12, 2020 to Mar 9, 2021
- Employees · 6 to 8Mar 12, 2020 to Mar 9, 2021
- Private funds · 2 to 1Mar 12, 2020 to Mar 9, 2021
- Discretionary RAUM · $205M to $318MMar 12, 2020 to Mar 9, 2021
- Pooled vehicle RAUM · $45.8M to $95.3MMar 12, 2020 to Mar 9, 2021
- RAUM · $205M to $318MMar 12, 2020 to Mar 9, 2021
- Advisory employees · 5 to 4Mar 27, 2019 to Feb 3, 2020
- Corporate clients · 2 to 3Mar 27, 2019 to Feb 3, 2020
- Assets in custody · $50.5M to $45.8MMar 27, 2019 to Feb 3, 2020
- Employees · 9 to 6Mar 27, 2019 to Feb 3, 2020
Signals
7 dated events
- A•••••• C•••••• A••••••• L• reported RAUM $10.0M, down 97% from $343.6M (2022-08-25 to 2023-04-19)Apr 19, 2023 · RAUM change · derived
- J Marc Ortiz (Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• A••••••• L• (listed 2022-05-18, absent 2022-08-25)Aug 25, 2022 · Control person left · inference
- J Marc Ortiz (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• A••••••• L•May 18, 2022 · Control person joined · fact
- C••••••• L••••• F•••••• (Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• A••••••• L• (listed 2021-03-09, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- A•••••• C•••••• A••••••• L• reported RAUM $318.4M, up 55% from $205.3M (2020-03-12 to 2021-03-09)Mar 9, 2021 · RAUM change · derived
- C••••••• L••••• F•••••• (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• A••••••• L•Feb 3, 2020 · Control person joined · fact
- A•••••• C•••••• A••••••• L• filed its initial SEC registration (Form ADV)Aug 29, 2017 · 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