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•• P••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Feb 26, 2016 · 23 filings
SEC status approved since Mar 16, 2016
RAUM
$1.2B
reported, Item 5.F
Discretionary
73%
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
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.2B as of May 18, 2026
Mar 31, 2017$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 18, 2026
Mar 31, 20170 then
Employees (5.A)14 as of May 18, 2026
Mar 31, 20178 then
Private funds9 as of May 18, 2026
Mar 26, 20241 then
RAUM +33% over the last fiscal year+2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 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
- $129MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%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
- +33%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, fixed fees, 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• A••••••••• I••••••••• L•• | Private Equity Fund | $131M | 3 | Mar 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• K••••• F•••••••• · Assistant Secretary, Managing Associate General Counselcontrolsince 07/2016 · owns less than 5%
- K••••••• E••••• A••• · Chief Executive Officercontrolsince 02/2016 · owns 10% to 25%
- M•••••••• R•••• C••••••••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- M••••••• D•••••• M••••• · Partnercontrolsince 07/2016 · owns less than 5%
- S•••• W•••••• D•••• · Chief Operating Officercontrolsince 12/2017 · owns less than 5%
- T•••••• C••••••••• J••••••• · Vice Presidentcontrolsince 09/2016 · owns less than 5%
Entity owners
- N••••• A••••••••• H••••••• L•• · Direct Ownerdirect · owns 75% or more
- N••••• A••••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of A•• P••••••• L••
- N•••••• L•• · Shareholderindirect · owns 75% or more of T•••••••• Asset Management, LLC
- T••••••• I•••••••• A•• A•••••• A••••••••• O• A•••••• · Shareholderindirect · owns 75% or more of N•••••• L••
- T••• B•••• O• G•••••••• · Shareholderindirect · owns 75% or more of T••••••• I•••••••• A•• A•••••• A••••••••• O• A••••••
- T•••••••• A•••• M••••••••• L•• · Shareholderindirect · owns 75% or more of N••••• A••••••••• H••••••• L••
Related persons
Schedule D 7.A
- A•• A• I••••••••• G•• L••pooled vehicle sponsorn
- A•• P••••••• R••• G• P••••••• L••pooled vehicle sponsorn
- A•• S•••••• O••••••••• G•• L••pooled vehicle sponsorn
- C•••••••• A•••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $56B
- C•••••••• D•• A•••••• L••investment advisernRAUM $2.1B
- C•••• E••••• P••••••• L••pooled vehicle sponsorn
- G•••••••• A•••• M••••••••• L••••••pooled vehicle sponsorn
- G•••••••• P••••••• I• L••••••pooled vehicle sponsorn
- G•••••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $8.6B
- N••••• A••••••••• F••• I•• G• L••pooled vehicle sponsorn
- N••••• A••••••••• A••••••• L••investment adviserpooled vehicle sponsornRAUM $142B
- N••••• A•••• M••••••••• E••••• S•••investment advisern
- N••••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsorLP sponsornRAUM $280B
- N••••• F••• A•••••••• L••investment adviserbanknRAUM $186B
- N••••• I••••••••• M••••••••• I••••••••• L••••••investment advisern
- N••••• M••••••••• A••• L••••••investment advisern
- N••••• S••••••••• L••broker-dealern
- N••••• S•••••••• P•••••• L••investment advisern
- T••••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $436B
- T••••••• I•••••••• A•• A•••••• A••••••••• O• A••••••real estatey
- T••• A••••••••• F••• G• L••pooled vehicle sponsory
- T•••••••• I••••••••• M••••••••• L••investment advisernRAUM $292B
- W••••••••• G•••• R••• E•••••• I•••investment companyn
- W•••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $29B
Advisers that list A•• P••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Davis, CA1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMay 18, 2026 to Sep 15, 2026
- Private funds · 9 to unsetMay 18, 2026 to Sep 15, 2026
- Succession · false to unsetMay 18, 2026 to Sep 15, 2026
- Accounts · 8 to 9Aug 22, 2025 to Feb 27, 2026
- Advisory employees · 10 to 9Aug 22, 2025 to Feb 27, 2026
- Advisory activities · 2 to 1Aug 22, 2025 to Feb 27, 2026
- Pooled vehicle clients · 8 to 9Aug 22, 2025 to Feb 27, 2026
- Employees · 13 to 14Aug 22, 2025 to Feb 27, 2026
- Private funds · 7 to 9Aug 22, 2025 to Feb 27, 2026
- Discretionary RAUM · $557M to $855MAug 22, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $319M to $310MAug 22, 2025 to Feb 27, 2026
- Pooled vehicle RAUM · $875M to $1.2BAug 22, 2025 to Feb 27, 2026
- RAUM · $875M to $1.2BAug 22, 2025 to Feb 27, 2026
- Related adviser · true to falseAug 22, 2025 to Feb 27, 2026
- Assets in custody · $597M to $0Mar 28, 2025 to Jun 24, 2025
- Custody of client assets · true to falseMar 28, 2025 to Jun 24, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jun 24, 2025
- Private funds · 1 to 7Mar 28, 2025 to Jun 24, 2025
- Related bank · true to falseMar 28, 2025 to Jun 24, 2025
- Related broker-dealer · true to falseMar 28, 2025 to Jun 24, 2025
- Advisory employees · 8 to 10Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $633M to $597MMar 26, 2024 to Mar 28, 2025
- Employees · 10 to 13Mar 26, 2024 to Mar 28, 2025
- Other offices · 1 to 0Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $636M to $557MMar 26, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $489M to $319MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $875MMar 26, 2024 to Mar 28, 2025
- RAUM · $1.1B to $875MMar 26, 2024 to Mar 28, 2025
- Assets in custody · $579M to $633MMar 31, 2023 to Mar 26, 2024
- Employees · 11 to 10Mar 31, 2023 to Mar 26, 2024
- HQ city · DAVIS to CHICAGOMar 31, 2023 to Mar 26, 2024
- HQ state · CA to ILMar 31, 2023 to Mar 26, 2024
- Private funds · unset to 1Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $635M to $636MMar 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $450M to $489MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 26, 2024
- RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 26, 2024
- Accounts · 7 to 8Feb 2, 2023 to Mar 31, 2023
- Advisory employees · 9 to 8Feb 2, 2023 to Mar 31, 2023
- Advisory activities · 1 to 2Feb 2, 2023 to Mar 31, 2023
Signals
15 dated events
- A•• P••••••• L•• reported RAUM $1.2B, up 33% from $875.2M (2025-08-22 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
- Emil Thomas Grenville (Interim Chief Compliance Officer) no longer on Schedule A of A•• P••••••• L•• (listed 2023-02-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A•• P••••••• L•• reported RAUM $1.1B, up 85% from $586.1M (2023-02-02 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- C••••••••• R••• M••••••• (Chief Compliance Officer) appeared on Schedule A of A•• P••••••• L••Mar 31, 2023 · Control person joined · fact
- Robert Frank Galea (Chief Compliance Officer) no longer on Schedule A of A•• P••••••• L•• (listed 2022-04-06, absent 2023-02-02)Feb 2, 2023 · Control person left · inference
- Emil Thomas Grenville (Interim Chief Compliance Officer) appeared on Schedule A of A•• P••••••• L••Feb 2, 2023 · Control person joined · fact
- Stanton John Goodreds (Managing Director) no longer on Schedule A of A•• P••••••• L•• (listed 2021-03-31, absent 2022-03-03)Mar 3, 2022 · Control person left · inference
- Stewart Scott Grace (Senior Managing Director) no longer on Schedule A of A•• P••••••• L•• (listed 2020-11-06, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- A•• P••••••• L•• reported RAUM $623.5M, up 73% from $360.0M (2020-11-06 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- D•••• W••••• S••• (Chief Operating Officer) appeared on Schedule A of A•• P••••••• L••Mar 31, 2021 · Control person joined · fact
- Antonette Heather Mcfarland (Chief Compliance Officer) no longer on Schedule A of A•• P••••••• L•• (listed 2020-03-30, absent 2020-11-06)Nov 6, 2020 · Control person left · inference
- Robert Frank Galea (Chief Compliance Officer) appeared on Schedule A of A•• P••••••• L••Nov 6, 2020 · Control person joined · fact
- Stewart Scott Grace (Senior Managing Director) appeared on Schedule A of A•• P••••••• L••Mar 30, 2020 · Control person joined · fact
- Manuel Jose Minaya (Executive Vice President) no longer on Schedule A of A•• P••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- T•• A••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2016 · 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
- Firm profile
- linkedin.com/company/agr.partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-400-0888reportedpublic record, Form ADV, Sep 15, 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