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•••• E••• A••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Nov 14, 2014 · 26 filings
RAUM
$1.0B
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
212
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.0B as of Mar 27, 2024
Mar 25, 2015$15.5M then
HNW client RAUM$0 as of Mar 27, 2024
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 25, 20150 then
Employees (5.A)212 as of Mar 27, 2024
Mar 25, 20153 then
Private funds: no history
RAUM -11% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
- $347MderivedRAUM 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
- -11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• S•••••• B••• · Managing Directorcontrolsince 03/2016 · owns less than 5%
- G••••••• K••••• L••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- R••••• A•••• M••• · Managing Directorcontrolsince 08/2014 · owns less than 5%
Entity owners
- A•••• I••• · Shareholderdirect · owns 75% or more
- A•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•••• I•••
- A•••• P•• · Shareholderindirect · owns 75% or more of A•••• H••••••• L••••••
Related persons
Schedule D 7.A
- A••••••• C•••••• M••••••• G• L••pooled vehicle sponsorn
- A••••••• C••••• A••••••••• I••n
- A••••••• E••••• • R•••••••• C•••••• I•• L••pooled vehicle sponsorn
- A••••••• E••••• • R•••••••• C•••••• V• L••pooled vehicle sponsorn
- A••••••• F••• D••••••••• L••broker-dealern
- A•••• A••••••••• F•••• L••••••investment adviserpooled vehicle sponsornRAUM $4.2B
- A•••• A••• L••••••investment advisernRAUM $40B
- A•••• B••••• I••••••••• L•••investment advisern
- A•••• C••••• L••••••investment advisern
- Patria Capital Partners Llpinvestment adviserbankpooled vehicle sponsornRAUM $3.3B
- A•••• E••• S•••••• L••pooled vehicle sponsorn
- A•••• I•••investment adviserbankyRAUM $41B
- A•••• I••••••••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- A•••• I••••••••• I•••••• L••••••investment advisern
- A•••• I••••••••• L••••••investment advisernRAUM $207B
- A•••• I••••••••• L••••••••• S•investment advisern
- F••• A••• C•••••• I••• L•••pooled vehicle sponsorn
- F••• E••••• • R•••••••• C•••••• I•• L••pooled vehicle sponsorn
- F••• E••••• • R•••••••• C•••••• I••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 3Mar 10, 2023 to Mar 27, 2024
- BD registered reps · 68 to 62Mar 10, 2023 to Mar 27, 2024
- Employees · 266 to 212Mar 10, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $1.0BMar 10, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.0BMar 10, 2023 to Mar 27, 2024
- Accounts · 3 to 1Dec 5, 2022 to Mar 10, 2023
- Advisory employees · 1 to 2Dec 5, 2022 to Mar 10, 2023
- BD registered reps · 79 to 68Dec 5, 2022 to Mar 10, 2023
- Employees · 291 to 266Dec 5, 2022 to Mar 10, 2023
- Discretionary RAUM · $737M to $1.2BDec 5, 2022 to Mar 10, 2023
- RAUM · $737M to $1.2BDec 5, 2022 to Mar 10, 2023
- Business name · A••••••• S••••••• I••••••••• E••• A••••••• L•• to A•••• E••• A••••••• L••Mar 2, 2022 to Jun 28, 2022
- HQ city · NEW YORK to PHILADELPIHAMar 2, 2022 to Jun 28, 2022
- HQ state · NY to PAMar 2, 2022 to Jun 28, 2022
- Legal name · A••••••• S••••••• I••••••••• E••• A••••••• L•• to A•••• E••• A••••••• L••Mar 2, 2022 to Jun 28, 2022
- Other offices · 1 to 0Mar 2, 2022 to Jun 28, 2022
- HQ city · PHILADELPIHA to PHILADELPHIAJun 28, 2022 to Jun 28, 2022
- Accounts · 2 to 3Jan 7, 2022 to Mar 2, 2022
- BD registered reps · 89 to 79Jan 7, 2022 to Mar 2, 2022
- Employees · 359 to 291Jan 7, 2022 to Mar 2, 2022
- Discretionary RAUM · $349M to $737MJan 7, 2022 to Mar 2, 2022
- RAUM · $349M to $737MJan 7, 2022 to Mar 2, 2022
- Accounts · 3 to 2Mar 8, 2020 to Mar 17, 2021
- BD registered reps · 101 to 89Mar 8, 2020 to Mar 17, 2021
- Employees · 415 to 359Mar 8, 2020 to Mar 17, 2021
- Other offices · 0 to 1Mar 8, 2020 to Mar 17, 2021
- Discretionary RAUM · $184M to $349MMar 8, 2020 to Mar 17, 2021
- RAUM · $184M to $349MMar 8, 2020 to Mar 17, 2021
- Advisory employees · 2 to 1Mar 25, 2019 to Mar 8, 2020
- BD registered reps · 104 to 101Mar 25, 2019 to Mar 8, 2020
- Employees · 422 to 415Mar 25, 2019 to Mar 8, 2020
- Discretionary RAUM · $202M to $184MMar 25, 2019 to Mar 8, 2020
- RAUM · $202M to $184MMar 25, 2019 to Mar 8, 2020
- BD registered reps · 3 to 104Jan 8, 2019 to Mar 25, 2019
- Employees · 3 to 422Jan 8, 2019 to Mar 25, 2019
- Discretionary RAUM · $155M to $202MJan 8, 2019 to Mar 25, 2019
- RAUM · $155M to $202MJan 8, 2019 to Mar 25, 2019
- Business name · E•• S••••••••• A••••••• L•• to A••••••• S••••••• I••••••••• E••• A••••••• L••Oct 2, 2018 to Jan 8, 2019
- Legal name · E•• S••••••••• A••••••• L•• to A••••••• S••••••• I••••••••• E••• A••••••• L••Oct 2, 2018 to Jan 8, 2019
- BD registered reps · 2 to 3Mar 22, 2018 to Apr 27, 2018
Signals
5 dated events
- A•••• E••• A••••••• L•• reported RAUM $1.2B, up 59% from $737.3M (2022-12-05 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- Lynn Katie Gebauer (Chief Compliance Officer) appeared on Schedule A of A•••• E••• A••••••• L••Mar 10, 2023 · Control person joined · fact
- A•••• E••• A••••••• L•• reported RAUM $737.3M, up 111% from $348.8M (2022-01-07 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- A•••• E••• A••••••• L•• reported RAUM $348.8M, up 89% from $184.2M (2020-03-08 to 2021-03-17)Mar 17, 2021 · RAUM change · derived
- E•• S••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 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