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••••• E••••• M•••••••••
Legal name A••••• E••••• M••••••••• L••
Latest filing Aug 14, 2026
First filing on the tape Nov 12, 2014 · 27 filings
SEC status approved since Dec 26, 2014
RAUM
$700M
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
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$700M as of Aug 14, 2026
Mar 28, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Mar 28, 20150 then
Employees (5.A)7 as of Aug 14, 2026
Mar 28, 201528 then
Private funds5 as of Aug 14, 2026
Mar 28, 20152 then
RAUM +4.0% over the last fiscal year+6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 14, 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
- $140MderivedRAUM 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
- +4.0%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 vehicles, otherreportedItem 5.G
- Custody
- $694M, 5 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$700M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $694M for 5 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• I••• C•••• A• L• | Private Equity Fund | $229M | 8 | Oct 28, 2016 |
| A••••• I••• L• | Private Equity Fund | $195M | 30 | Nov 12, 2014 |
| A••••• I•••• L• | Private Equity Fund | $133M | 13 | Mar 30, 2020 |
| A••••• I••• L• | Private Equity Fund | $132M | 1 | Nov 12, 2014 |
| A••••• I••• C••• A• L• | Private Equity Fund | $102M | 20 | Oct 28, 2016 |
| A••••• I••• C••• L•no longer reported | Private Equity Fund | $73.2M | 21 | May 14, 2015 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• A•••••• D•••••• · Partnercontrolsince 10/2014 · owns less than 5%
- H••••••••• G•••••• B••••• · Managing Member & Partnercontrolsince 10/2014 · owns 75% or more
- L••••• K••••••• W••••• · General Counselcontrolsince 08/2023 · owns less than 5%
- M••••••• D•••••• R•• · Chief Financial Officercontrolsince 08/2015 · owns less than 5%
- M•••••••• C••••••• F•••••• · Chief Administrative Officer & Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- P••••••• A•••••• D•••• · Chief Operating Officercontrolsince 08/2023 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• U••••• B• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 14 to 7Mar 31, 2026 to Aug 14, 2026
- Employees · 198 to 7Mar 31, 2026 to Aug 14, 2026
- Advisory employees · 12 to 14May 29, 2025 to Mar 31, 2026
- Assets in custody · $605M to $694MMay 29, 2025 to Mar 31, 2026
- Employees · 184 to 198May 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $611M to $700MMay 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $611M to $700MMay 29, 2025 to Mar 31, 2026
- RAUM · $611M to $700MMay 29, 2025 to Mar 31, 2026
- Assets in custody · $673M to $605MMar 31, 2025 to May 29, 2025
- Financial planning clients · unset to Mar 31, 2025 to May 29, 2025
- Discretionary RAUM · $673M to $611MMar 31, 2025 to May 29, 2025
- Pooled vehicle RAUM · $673M to $611MMar 31, 2025 to May 29, 2025
- RAUM · $673M to $611MMar 31, 2025 to May 29, 2025
- Advisory employees · 7 to 12Mar 30, 2024 to Mar 31, 2025
- Assets in custody · unset to 672913069.0Mar 30, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 30, 2024 to Mar 31, 2025
- Employees · 189 to 184Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $790M to $673MMar 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $790M to $673MMar 30, 2024 to Mar 31, 2025
- RAUM · $790M to $673MMar 30, 2024 to Mar 31, 2025
- Advisory employees · 8 to 7Mar 31, 2023 to Mar 30, 2024
- Employees · 12 to 189Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $579M to $790MMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $579M to $790MMar 31, 2023 to Mar 30, 2024
- RAUM · $579M to $790MMar 31, 2023 to Mar 30, 2024
- Advisory employees · 11 to 8Jan 3, 2023 to Mar 31, 2023
- Employees · 15 to 12Jan 3, 2023 to Mar 31, 2023
- Discretionary RAUM · $907M to $579MJan 3, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $907M to $579MJan 3, 2023 to Mar 31, 2023
- RAUM · $907M to $579MJan 3, 2023 to Mar 31, 2023
- Advisory employees · 9 to 11Mar 31, 2021 to Mar 31, 2022
- Employees · 11 to 15Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $694M to $907MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $694M to $907MMar 31, 2021 to Mar 31, 2022
- RAUM · $694M to $907MMar 31, 2021 to Mar 31, 2022
- Related bank · true to falseMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $459M to $694MMay 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $459M to $694MMay 28, 2020 to Mar 31, 2021
- RAUM · $459M to $694MMay 28, 2020 to Mar 31, 2021
- Accounts · 4 to 5Oct 1, 2019 to Mar 30, 2020
Signals
11 dated events
- A••••• E••••• M••••••••• reported RAUM $790.5M, up 36% from $579.3M (2023-03-31 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- Robert Paul Sander (Partner) no longer on Schedule A of A••••• E••••• M••••••••• (listed 2023-03-31, absent 2024-03-30)Mar 30, 2024 · Control person left · inference
- D•••• A••••• P•••••• (Chief Operating Officer) appeared on Schedule A of A••••• E••••• M•••••••••Mar 30, 2024 · Control person joined · fact
- W••••• K•••••• L•••• (General Counsel) appeared on Schedule A of A••••• E••••• M•••••••••Mar 30, 2024 · Control person joined · fact
- A••••• E••••• M••••••••• reported RAUM $579.3M, down 36% from $907.0M (2023-01-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Ardus Monty Ward (General Counsel & Chief Compliance Officer) no longer on Schedule A of A••••• E••••• M••••••••• (listed 2022-07-07, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- Francis Clayton Mcgratty (Chief Administrative Officer & Chief Compliance Officer) appeared on Schedule A of A••••• E••••• M•••••••••Jan 3, 2023 · Control person joined · fact
- A••••• E••••• M••••••••• reported RAUM $907.0M, up 31% from $694.1M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A••••• E••••• M••••••••• reported RAUM $694.1M, up 51% from $459.4M (2020-05-28 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A••••• E••••• M••••••••• reported RAUM $296.4M, up 56% from $190.4M (2017-05-11 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- A••••• E••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 12, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• E••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- A••••• E••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••E•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-750-3820reportedpublic record, Form ADV, Aug 14, 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