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•••••• A••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Nov 9, 2015 · 27 filings
SEC status approved since Nov 16, 2015
RAUM
$47B
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
466
240 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
40
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$47B as of Aug 5, 2026
Mar 14, 2016$373M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Mar 14, 20160 then
Employees (5.A)466 as of Aug 5, 2026
Mar 14, 2016250 then
Private funds40 as of Aug 5, 2026
Mar 30, 20186 then
RAUM +14% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 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
- $894MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- 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$37B78%
- State and municipal entities$10B22%
- Insurance companies$64.5M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 53reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.78 institutional_share=0.22 related_bd=false related_bank=false bd_reps=15.0derived
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
30 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• C••••• O••••••••• C• L•• | Hedge Fund | $5.9B | 2 | May 6, 2021 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $2.3B | 1 | Mar 30, 2018 |
| A•••••• S••••• L••• P••••••• M••••• F••• I• L• | Hedge Fund | $1.7B | 17 | Mar 30, 2023 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $1.4B | 1 | Mar 30, 2018 |
| A•••••• S••••• L••• P••••••• M••••• F••• L• | Hedge Fund | $1.3B | 11 | Mar 27, 2020 |
| A•••••• U••••••••• M••••• F••• I• L• | Hedge Fund | $1.2B | 6 | Mar 29, 2019 |
| A•••••• C•• 2•••••• L•• | Securitized Asset Fund | $1.2B | 1 | Mar 29, 2019 |
| A•••••• S••••• L••• M••••• F••• L• | Private Equity Fund | $1.1B | 19 | Mar 27, 2020 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $938M | 1 | Mar 29, 2019 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $814M | 1 | Mar 31, 2022 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $709M | 1 | Mar 30, 2021 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $666M | 1 | Mar 29, 2019 |
| O•••• C•• 2••••• L••• | Securitized Asset Fund | $590M | 1 | Mar 29, 2024 |
| A•••••• L••• F•••••• I• L••• | Securitized Asset Fund | $547M | 1 | Mar 29, 2024 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $535M | 1 | Mar 27, 2020 |
| O•••• C•• 2••••• L••• | Securitized Asset Fund | $507M | 1 | Mar 29, 2024 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $500M | 1 | Mar 29, 2024 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $499M | 1 | Mar 29, 2024 |
| A•••••• S••••• L••• M••••• F••• I• L• | Private Equity Fund | $487M | 19 | Mar 30, 2023 |
| A•••••• C••••• O••••••••• M• I• L• | Private Equity Fund | $455M | 2 | Mar 30, 2018 |
| A•••••• C•• 2•••••• L••• | Securitized Asset Fund | $412M | 1 | Mar 30, 2021 |
| W• A••••••••• A•••••• P•••••• S••••• L•••••• F••• L•• | Hedge Fund | $196M | 1 | Mar 29, 2024 |
| A•••••• C••••• O••••••••• I• L•• | Hedge Fund | $126M | 1 | Mar 29, 2019 |
| A•••••• C••••• O••••••••• V• L•• | Hedge Fund | $126M | 1 | May 6, 2021 |
| A•••••• S••••• L••• E• M••••• I• ••••••• L• | Hedge Fund | $114M | 144 | Mar 29, 2024 |
| A•••••• C••••• O••••••••• M• I• L••no longer reported | Private Equity Fund | $100M | 3 | Mar 30, 2018 |
| A•••••• C••••• O••••••••• M• I•• L•• | Private Equity Fund | $98.2M | 2 | Mar 29, 2019 |
| A•••••• C••••• O••••••••• M• V• L• | Private Equity Fund | $54.2M | 1 | Mar 27, 2020 |
| S• A•• P•••••• D••• O••••••• S•• A• S••••••••• P•••••••• O• S•••• C•••••• P•••••• D••• ••••••••• F•••• S••no longer reported | Private Equity Fund | $22.3M | 1 | Mar 30, 2018 |
| S• A•• P•••••• D••• F••• L•••no longer reported | Private Equity Fund | $7.4M | 1 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• M••••••• W•••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- F••••• B••••• A••• · General Counsel And Secretarycontrolsince 09/2016 · owns less than 5%
- K•••••• M•••••• E••••• · Chief Financial Officercontrolsince 01/2022 · owns less than 5%
- L•••••••• T••••• W••• · Vice President And Chief Investment Officercontrolsince 09/2016 · owns less than 5%
- L•••• T••••••• G••••• · Vice Presidentcontrolsince 01/2022 · owns less than 5%
- M•••••• V••••• I•••• · Presidentcontrolsince 08/2018 · owns less than 5%
- H•••• G•••••• R•••••• · Shareholdersince 07/2015 · owns 50% to 75% of 9•••••• C••••• I•••
Entity owners
- A•••••• C•••••• L• · Memberdirect · owns 75% or more
- A•••••• C•••••• G•• L•• · General Partnerindirect · owns F of A•••••• C•••••• L•
- A•••••• H••••••• G• I••• F•••• A•••• H••••••• G• I••• · General Partnerindirect · owns F of A•••••• H••••••• L•
- A•••••• H••••••• L• · Shareholderindirect · owns 75% or more of A•••••• M•••• I•••
- A•••••• M•••• I••• · Limited Partnerindirect · owns 75% or more of A•••••• C•••••• L•
- C••••• P•••••• P••• I••••••••• B•••• D•••• C•• I••••••••• · Shareholderindirect · owns 75% or more of C•• I••••••••• B•••• P•••••• D••• H••••••• I•••
- C•• I••••••••• B•••• P•••••• D••• H••••••• I••• · Shareholderindirect · owns 75% or more of C•••• C••••• I••••••••• I•••
- C•••• C••••• I••••••••• ••••••• I••• · Shareholderindirect · owns 75% or more of A•••••• H••••••• G• I••• F•••• A•••• H••••••• G• I•••
- C•••• C••••• I••••••••• I••• · Shareholderindirect · owns 75% or more of C•••• C••••• I••••••••• ••••••• I•••
- 9•••••• C••••• I••• · Shareholder--Class Bindirect · owns 50% to 75% of A•••••• M•••• I•••
Related persons
Schedule D 7.A
- A•••••• C••••• O••••••••• G• L••pooled vehicle sponsorn
- A•••••• C••••• O••••••••• M• V• G• L••pooled vehicle sponsorn
- A•••••• C••••• O••••••••• M•••••• L••pooled vehicle sponsorn
- A•••••• S••••• L••• F••• G• L••pooled vehicle sponsorn
- A•••••• S••••• L••• F••• I• G• L••pooled vehicle sponsorn
- A•••••• U••••••••• F••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY57 employees
- Atlanta, GA29 employees
- Los Angeles, CA6 employees
- Toronto, Canada2 employees
What changed
consecutive filings, newest first
- Accounts · 47 to 53Feb 10, 2026 to Mar 31, 2026
- Advisory employees · 261 to 240Feb 10, 2026 to Mar 31, 2026
- BD registered reps · 8 to 15Feb 10, 2026 to Mar 31, 2026
- Pooled vehicle clients · 42 to 48Feb 10, 2026 to Mar 31, 2026
- Employees · 476 to 466Feb 10, 2026 to Mar 31, 2026
- Private funds · 35 to 40Feb 10, 2026 to Mar 31, 2026
- Discretionary RAUM · $40B to $47BFeb 10, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $1.5B to $47.9MFeb 10, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $32B to $37BFeb 10, 2026 to Mar 31, 2026
- RAUM · $42B to $47BFeb 10, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Aug 1, 2025
- Private funds · 34 to 35Mar 28, 2025 to Aug 1, 2025
- Accounts · 40 to 47Dec 3, 2024 to Mar 28, 2025
- Advisory employees · 205 to 261Dec 3, 2024 to Mar 28, 2025
- BD registered reps · 0 to 8Dec 3, 2024 to Mar 28, 2025
- Pooled vehicle clients · 35 to 42Dec 3, 2024 to Mar 28, 2025
- Employees · 441 to 476Dec 3, 2024 to Mar 28, 2025
- Other offices · 4 to 6Dec 3, 2024 to Mar 28, 2025
- Private funds · 27 to 34Dec 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $36B to $40BDec 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.5B to $1.5BDec 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $28B to $32BDec 3, 2024 to Mar 28, 2025
- RAUM · $37B to $42BDec 3, 2024 to Mar 28, 2025
- Accounts · 34 to 40Jul 21, 2023 to Mar 29, 2024
- Advisory employees · 191 to 205Jul 21, 2023 to Mar 29, 2024
- Pooled vehicle clients · 28 to 35Jul 21, 2023 to Mar 29, 2024
- Employees · 407 to 441Jul 21, 2023 to Mar 29, 2024
- Other offices · 3 to 4Jul 21, 2023 to Mar 29, 2024
- Private funds · 20 to 27Jul 21, 2023 to Mar 29, 2024
- Discretionary RAUM · $31B to $36BJul 21, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $994M to $1.5BJul 21, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $23B to $28BJul 21, 2023 to Mar 29, 2024
- RAUM · $32B to $37BJul 21, 2023 to Mar 29, 2024
- Accounts · 30 to 34Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 178 to 191Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 25 to 28Mar 31, 2022 to Mar 30, 2023
- Employees · 377 to 407Mar 31, 2022 to Mar 30, 2023
- Private funds · 18 to 20Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $25B to $31BMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.0B to $994MMar 31, 2022 to Mar 30, 2023
Signals
24 dated events
- Lee Donna Yip (Vice President) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Evan Andrew Packer (Assistant Secretary) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- A••••• J•••• Van P••• (Treasurer) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Michael John Steidle (Vice President) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Lee Seth Painter (Vice President) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Terumi Natalie Hoffman (Assistant Secretary) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Michael Daniel Mullins (Controller) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Bruce Michael Levitt (Assistant Secretary) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- A•••••• C•••••• A••••••• L•• reported RAUM $26.3B, up 47% from $17.9B (2022-03-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Millard David Brackett (Vice President) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2021-05-06, absent 2022-03-03)Mar 3, 2022 · Control person left · inference
- Elaine Monica Kelsey (Chief Financial Officer) appeared on Schedule A of A•••••• C•••••• A••••••• L••Mar 3, 2022 · Control person joined · fact
- Gerard Timothy Lyne (Vice President) appeared on Schedule A of A•••••• C•••••• A••••••• L••Mar 3, 2022 · Control person joined · fact
- Lee Donna Yip (Vice President) appeared on Schedule A of A•••••• C•••••• A••••••• L••Mar 3, 2022 · Control person joined · fact
- John Barry Giarraputo (Chief Financial Officer) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2021-03-30, absent 2021-05-06)May 6, 2021 · Control person left · inference
- A•••••• C•••••• A••••••• L•• reported RAUM $14.8B, up 37% from $10.8B (2019-07-01 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Saar Catherine Grimm (Assistant Secretary) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2019-03-29, absent 2019-07-01)Jul 1, 2019 · Control person left · inference
- Millard David Brackett (Vice President) appeared on Schedule A of A•••••• C•••••• A••••••• L••Jul 1, 2019 · Control person joined · fact
- Terumi Natalie Crampton (Assistant Secretary) appeared on Schedule A of A•••••• C•••••• A••••••• L••Jul 1, 2019 · Control person joined · fact
- Lee Seth Painter (Vice President) appeared on Schedule A of A•••••• C•••••• A••••••• L••Jul 1, 2019 · Control person joined · fact
- Gerard John Martin (Vice President) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2019-01-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- A•••••• C•••••• A••••••• L•• reported RAUM $10.8B, up 120% from $4.9B (2019-01-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Montgomery Charles Allred (Vice President) no longer on Schedule A of A•••••• C•••••• A••••••• L•• (listed 2018-08-31, absent 2019-01-29)Jan 29, 2019 · Control person left · inference
- A•••••• C•••••• A••••••• L•• reported RAUM $4.9B, up 1230% from $368.6M (2017-09-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- A•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 9, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••• C•••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••• C•••••• A••••••• L•• · Private Equityshared 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
- (929) 837-8179reportedpublic record, Form ADV, Aug 5, 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