DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•••••••• P••••••• ••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jul 23, 2015 · 20 filings
SEC status approved since Sep 4, 2015
RAUM
$652M
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$652M as of Mar 18, 2026
Mar 17, 2016$285M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 17, 20160 then
Employees (5.A)8 as of Mar 18, 2026
Mar 17, 20166 then
Private funds4 as of Mar 18, 2026
Mar 17, 20161 then
RAUM +11% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $163MderivedRAUM 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $652M, 4 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$652M100%
- 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
- $652M for 4 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• P••••••• F••• L• | Private Equity Fund | $483M | 19 | Jan 4, 2016 |
| A•••••••• I••••••••• D•• P•••••••• S••• | Private Equity Fund | $251M | 3 | Mar 18, 2020 |
| L•••• A••••••• H••••••••• S••••• | Private Equity Fund | $215M | 2 | Mar 21, 2019 |
| R•••••• I••• S••• | Private Equity Fund | $95.9M | 2 | Mar 14, 2022 |
| D••••• I••• S•••no longer reported | Private Equity Fund | $0 | 6 | Mar 15, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• E••••••• A•••••• · Member, Manager And Managing Officercontrolsince 11/2014 · owns 25% to 50%
- B••••• A••••••• N•• · Managercontrolsince 11/2014 · owns less than 5%
- C••••• C•••••••• N•• · Managercontrolsince 11/2014 · owns less than 5%
- G•••••••• G••••••••• N•• · Chief Compliance Officer And Chief Financial Officercontrolsince 12/2015 · owns less than 5%
- M••••• A••••••••• M••••• · Member And Managercontrolsince 11/2014 · owns 25% to 50%
- P••••••••• J•••• P•••• · Member And Managercontrolsince 11/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••••••• P••••••• •••••• G•• L•investment adviserpooled vehicle sponsorn
- A•••••••• P••••••• S••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $588M to $652MMar 20, 2025 to Mar 18, 2026
- Discretionary RAUM · $588M to $652MMar 20, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $588M to $652MMar 20, 2025 to Mar 18, 2026
- RAUM · $588M to $652MMar 20, 2025 to Mar 18, 2026
- Assets in custody · $627M to $588MMar 19, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 20, 2025
- Discretionary RAUM · $663M to $588MMar 19, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $663M to $588MMar 19, 2024 to Mar 20, 2025
- RAUM · $663M to $588MMar 19, 2024 to Mar 20, 2025
- Assets in custody · $476M to $627MMar 13, 2023 to Mar 19, 2024
- Discretionary RAUM · $476M to $663MMar 13, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $476M to $663MMar 13, 2023 to Mar 19, 2024
- RAUM · $476M to $663MMar 13, 2023 to Mar 19, 2024
- Accounts · 5 to 4Mar 14, 2022 to Mar 13, 2023
- Advisory employees · 8 to 7Mar 14, 2022 to Mar 13, 2023
- Pooled vehicle clients · 5 to 4Mar 14, 2022 to Mar 13, 2023
- Assets in custody · $461M to $476MMar 14, 2022 to Mar 13, 2023
- Employees · 9 to 8Mar 14, 2022 to Mar 13, 2023
- Private funds · 5 to 4Mar 14, 2022 to Mar 13, 2023
- Discretionary RAUM · $461M to $476MMar 14, 2022 to Mar 13, 2023
- Pooled vehicle RAUM · $461M to $476MMar 14, 2022 to Mar 13, 2023
- RAUM · $461M to $476MMar 14, 2022 to Mar 13, 2023
- Accounts · 4 to 5Dec 10, 2021 to Mar 14, 2022
- Pooled vehicle clients · 4 to 5Dec 10, 2021 to Mar 14, 2022
- Assets in custody · $569M to $461MDec 10, 2021 to Mar 14, 2022
- Private funds · 4 to 5Dec 10, 2021 to Mar 14, 2022
- Discretionary RAUM · $569M to $461MDec 10, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $569M to $461MDec 10, 2021 to Mar 14, 2022
- RAUM · $569M to $461MDec 10, 2021 to Mar 14, 2022
- Accounts · 3 to 4Mar 18, 2020 to Mar 15, 2021
- Advisory employees · 7 to 8Mar 18, 2020 to Mar 15, 2021
- Pooled vehicle clients · 3 to 4Mar 18, 2020 to Mar 15, 2021
- Assets in custody · $383M to $569MMar 18, 2020 to Mar 15, 2021
- Employees · 8 to 9Mar 18, 2020 to Mar 15, 2021
- Private funds · 3 to 4Mar 18, 2020 to Mar 15, 2021
- Discretionary RAUM · $498M to $569MMar 18, 2020 to Mar 15, 2021
- Pooled vehicle RAUM · $498M to $569MMar 18, 2020 to Mar 15, 2021
- RAUM · $498M to $569MMar 18, 2020 to Mar 15, 2021
- Accounts · 2 to 3Jul 9, 2019 to Mar 18, 2020
- Pooled vehicle clients · 2 to 3Jul 9, 2019 to Mar 18, 2020
Signals
5 dated events
- A•••••••• P••••••• ••••••••• L•• reported RAUM $663.4M, up 39% from $475.9M (2023-03-13 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- Nmn Therisa George (Member And Manager) no longer on Schedule A of A•••••••• P••••••• ••••••••• L•• (listed 2023-03-13, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- N Ignacio Sanz (Member And Manager) no longer on Schedule A of A•••••••• P••••••• ••••••••• L•• (listed 2021-03-15, absent 2021-12-10)Dec 10, 2021 · Control person left · inference
- A•••••••• P••••••• ••••••••• L•• reported RAUM $498.4M, up 35% from $369.4M (2019-07-09 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- A•••••••• P••••••• ••••••••• L•• filed its initial SEC registration (Form ADV)Jul 23, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••••• P••••••• ••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••••• P••••••• ••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••••••PARTNERS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-885-0406reportedpublic record, Form ADV, Mar 18, 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