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•••••• L••
Latest filing Jan 6, 2020
First filing on the tape May 5, 2015 · 17 filings
RAUM
$305M
reported, Item 5.F
Discretionary
0.0%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$305M gross assets
History
17 filings and snapshots on the tape
RAUM$305M as of Jan 6, 2020
Mar 30, 2016$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 6, 2020
Mar 30, 20160 then
Employees (5.A)4 as of Jan 6, 2020
Mar 30, 20164 then
Private funds2 as of Jan 6, 2020
Mar 30, 20163 then
RAUM +0.0% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 6, 2020; 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
- $153MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +0.0%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $5.0M, 1 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$300M98%
- Pooled investment vehicles$5.0M1.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0M for 1 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• I••••••••• P••••••• L••• | Real Estate Fund | $300M | 2 | May 5, 2015 |
| A••••••••• P••••••• B•••••• I• L••no longer reported | Real Estate Fund | $5.0M | 2 | Mar 30, 2016 |
| A••••••••• P••••••• B•••••• I• L•• | Real Estate Fund | $5.0M | 2 | Apr 29, 2016 |
| A••••••••• P••••••• F••• I• L•••no longer reported | Real Estate Fund | $0 | 1 | Sep 24, 2015 |
Owners and control persons
Schedule A and B, latest filing
- D•••• E••••••••• M•••• · Chief Operating Officercontrolsince 05/2018 · owns less than 5%
- M•••••• W••••• K•• · Member/Trusteecontrolsince 06/2014 · owns 25% to 50%
- M••••• J•••• H•••• · Managing Member And Chief Compliance Officercontrolsince 05/2014 · owns 50% to 75%
Entity owners
- J••• H• M•••• 2••• T•••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••••••• C•••••• M••••••••• L•••investment advisern
- A••••••••• I••••••••• P••••••• L•••pooled vehicle sponsorn
- A••••••••• P••••••• P••••••• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 3 to 2Mar 6, 2018 to Aug 9, 2018
- Non-discretionary RAUM · $505M to $305MMar 6, 2018 to Aug 9, 2018
- RAUM · $505M to $305MMar 6, 2018 to Aug 9, 2018
- Pooled vehicle clients · unset to 1.0Mar 27, 2017 to Mar 6, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 6, 2018
- Pooled vehicle RAUM · unset to 5000000.0Mar 27, 2017 to Mar 6, 2018
- Non-discretionary RAUM · $255M to $505MDec 13, 2016 to Jan 3, 2017
- RAUM · $255M to $505MDec 13, 2016 to Jan 3, 2017
- Advisory employees · 1 to 2Sep 24, 2015 to Mar 30, 2016
- Assets in custody · $255M to $5.0MSep 24, 2015 to Mar 30, 2016
- Employees · 2 to 4Sep 24, 2015 to Mar 30, 2016
- Private funds · 2 to 3Sep 24, 2015 to Mar 30, 2016
- Accounts · 0 to 2May 26, 2015 to Sep 24, 2015
- Advisory employees · 2 to 1May 26, 2015 to Sep 24, 2015
- Assets in custody · $0 to $255MMay 26, 2015 to Sep 24, 2015
- Private funds · 1 to 2May 26, 2015 to Sep 24, 2015
- Non-discretionary RAUM · $0 to $255MMay 26, 2015 to Sep 24, 2015
- RAUM · $0 to $255MMay 26, 2015 to Sep 24, 2015
- Legal name · M••••, J••• H•••• to A•• C•••••• L••May 5, 2015 to May 20, 2015
Signals
3 dated events
- M•••• E•••••••• D••• (Chief Operating Officer) appeared on Schedule A of A•• C•••••• L••Mar 26, 2019 · Control person joined · fact
- A•• C•••••• L•• reported RAUM $305.0M, down 40% from $505.0M (2018-03-06 to 2018-08-09)Aug 9, 2018 · RAUM change · derived
- A•• C•••••• L•• filed its initial SEC registration (Form ADV)May 5, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•• C•••••• L•• · Private Equityshared crd · organization
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
Across the graphs
A•• C•••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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