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•••••• M••••••••• L•
Latest filing Feb 13, 2018
First filing on the tape Feb 19, 2016 · 6 filings
RAUM
$259M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$259M gross assets
History
6 filings and snapshots on the tape
RAUM$259M as of Feb 13, 2018
Feb 1, 2017$299M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 13, 2018
Feb 1, 20170 then
Employees (5.A)7 as of Feb 13, 2018
Feb 1, 20175 then
Private funds2 as of Feb 13, 2018
Feb 1, 20172 then
RAUM -13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 13, 2018; 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
- $259MderivedRAUM 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
- -13%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$259M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P• M•••••• F•••• S••• • S••••••••• P•••••••• 4• | Hedge Fund | $259M | 21 | May 20, 2016 |
| A••••••••• M••••• F••• L• | Hedge Fund | $0 | 0 | Feb 19, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A••• M•••• · Special Partnercontrolsince 02/2016 · owns 75% or more
- I••••••• K••••• F••••• · Cfo/Ccocontrolsince 02/2016 · owns less than 5%
- B•••••••• A••• M•••• · Managing Membercontrolsince 02/2016 · owns 75% or more of A••••••••• Capital Managment Gp LLC
Entity owners
- A••••••••• C•••••• M••••••••• ••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••••••••• C•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Apr 19, 2017 to Feb 13, 2018
- Pooled vehicle clients · unset to 1.0Apr 19, 2017 to Feb 13, 2018
- Employees · 6 to 7Apr 19, 2017 to Feb 13, 2018
- Other offices · unset to 0.0Apr 19, 2017 to Feb 13, 2018
- Discretionary RAUM · $299M to $259MApr 19, 2017 to Feb 13, 2018
- Pooled vehicle RAUM · unset to 259067495.0Apr 19, 2017 to Feb 13, 2018
- RAUM · $299M to $259MApr 19, 2017 to Feb 13, 2018
- Advisory employees · 3 to 4Feb 1, 2017 to Apr 19, 2017
- Employees · 5 to 6Feb 1, 2017 to Apr 19, 2017
- Discretionary RAUM · $128M to $299MMay 20, 2016 to Feb 1, 2017
- RAUM · $128M to $299MMay 20, 2016 to Feb 1, 2017
- Accounts · 0 to 1Feb 24, 2016 to May 20, 2016
- Custody of client assets · true to falseFeb 24, 2016 to May 20, 2016
- Employees · 4 to 5Feb 24, 2016 to May 20, 2016
- Private funds · 1 to 2Feb 24, 2016 to May 20, 2016
- Discretionary RAUM · $0 to $128MFeb 24, 2016 to May 20, 2016
- RAUM · $0 to $128MFeb 24, 2016 to May 20, 2016
Signals
1 dated events
- A••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Feb 19, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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