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••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Oct 15, 2019 · 10 filings
SEC status approved since Nov 12, 2019
RAUM
$754M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$754M as of Mar 31, 2026
Mar 30, 2020$308M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20200 then
Employees (5.A)6 as of Mar 31, 2026
Mar 30, 20205 then
Private funds1 as of Mar 31, 2026
Mar 30, 20201 then
RAUM +35% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $189MderivedRAUM 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
- +35%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $833M, 3 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)
- 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$645M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $833M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.86 institutional_share=0.0 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• C•••••• M••••• F•••• L••• | Hedge Fund | $496M | 61 | Feb 25, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S•••••• N•••• · Chief Financial Officer & Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- P••••• D••••• M•••• · Chief Executive Officercontrolsince 09/2014 · owns less than 5%
- P••••• D••••• M•••• · Managing Membercontrolsince 11/2014 · owns 50% to 75% of S•••• H••• P••••••• L••
- P••••• D••••• M•••• · Managing Membercontrolsince 09/2014 · owns 75% or more of A••••• D• L••
- P••••• D••••• M•••• · Managing Membercontrolsince 09/2014 · owns 50% to 75% of A••••• C•••••• P••••••• L••
Entity owners
- A••••• C•••••• P••••••• L•• · General Partnerdirect · owns less than 5%
- A••••• D• L•• · General Partnerdirect · owns less than 5%
- S•••• H••• P••••••• L•• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••• C•••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $462M to $833MMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $559M to $754MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $462M to $645MMar 28, 2025 to Mar 31, 2026
- RAUM · $559M to $754MMar 28, 2025 to Mar 31, 2026
- Accounts · 3 to 4Mar 28, 2024 to Mar 28, 2025
- Advisory activities · 1 to 2Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $496M to $462MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $496M to $559MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $496M to $462MMar 28, 2024 to Mar 28, 2025
- RAUM · $496M to $559MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $342M to $496MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $342M to $496MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $342M to $496MMar 30, 2023 to Mar 28, 2024
- RAUM · $342M to $496MMar 30, 2023 to Mar 28, 2024
- Assets in custody · $539M to $342MMar 29, 2022 to Mar 30, 2023
- Employees · 5 to 6Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $539M to $342MMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $539M to $342MMar 29, 2022 to Mar 30, 2023
- RAUM · $539M to $342MMar 29, 2022 to Mar 30, 2023
- Advisory employees · 5 to 4Mar 31, 2021 to Mar 29, 2022
- Assets in custody · $548M to $539MMar 31, 2021 to Mar 29, 2022
- Employees · 6 to 5Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $548M to $539MMar 31, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $548M to $539MMar 31, 2021 to Mar 29, 2022
- RAUM · $548M to $539MMar 31, 2021 to Mar 29, 2022
- Advisory employees · 4 to 5Oct 9, 2020 to Mar 31, 2021
- Assets in custody · $308M to $548MOct 9, 2020 to Mar 31, 2021
- Employees · 5 to 6Oct 9, 2020 to Mar 31, 2021
- Discretionary RAUM · $308M to $548MOct 9, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $308M to $548MOct 9, 2020 to Mar 31, 2021
- RAUM · $308M to $548MOct 9, 2020 to Mar 31, 2021
- Assets in custody · $299M to $308MOct 15, 2019 to Mar 30, 2020
- Private funds · 2 to 1Oct 15, 2019 to Mar 30, 2020
- Discretionary RAUM · $299M to $308MOct 15, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $299M to $308MOct 15, 2019 to Mar 30, 2020
- RAUM · $299M to $308MOct 15, 2019 to Mar 30, 2020
Signals
5 dated events
- A••••• C•••••• M••••••••• L• reported RAUM $754.4M, up 35% from $559.0M (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••••• C•••••• M••••••••• L• reported RAUM $495.7M, up 45% from $342.4M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A••••• C•••••• M••••••••• L• reported RAUM $342.4M, down 36% from $539.0M (2022-03-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••••• C•••••• M••••••••• L• reported RAUM $547.9M, up 78% from $307.5M (2020-10-09 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Oct 15, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-716-1316reportedpublic record, Form ADV, Mar 31, 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