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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••• P••••••• N•••• A•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2016 · 15 filings
SEC status approved since Mar 30, 2016
RAUM
$5.1B
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
11
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$5.1B as of Mar 30, 2026
Mar 29, 2017$442M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20170 then
Employees (5.A)11 as of Mar 30, 2026
Mar 29, 201725 then
Private funds: no history
RAUM -21% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $5.1BderivedRAUM 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
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$5.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• D••••• S•••••• · Managing Director & Partnercontrolsince 12/2016 · owns less than 5%
- F•••••• G••••••• L•• · Chief Compliance Officersince 03/2016 · owns less than 5%
Entity owners
- A•••••• ••• B•••••• L•• · Sole Memberdirect · owns 75% or more
- A•••••• C•• P•••••••• S••• · Sole Memberindirect · owns 75% or more of A•••••• ••• B•••••• L••
Related persons
Schedule D 7.A
- A•••••• P•••••• E••••• S•••• S••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 10Mar 26, 2025 to Mar 30, 2026
- Employees · 9 to 11Mar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $6.5B to $5.1BMar 26, 2025 to Mar 30, 2026
- RAUM · $6.5B to $5.1BMar 26, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $5.9B to $6.5BMar 28, 2024 to Mar 26, 2025
- RAUM · $5.9B to $6.5BMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $3.3B to $5.9BMar 31, 2023 to Mar 28, 2024
- RAUM · $3.3B to $5.9BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Mar 30, 2022 to Mar 31, 2023
- Employees · 10 to 9Mar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $4.2B to $3.3BMar 30, 2022 to Mar 31, 2023
- RAUM · $4.2B to $3.3BMar 30, 2022 to Mar 31, 2023
- Advisory employees · 8 to 10Mar 31, 2021 to Mar 30, 2022
- Employees · 8 to 10Mar 31, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $3.3B to $4.2BMar 31, 2021 to Mar 30, 2022
- RAUM · $3.3B to $4.2BMar 31, 2021 to Mar 30, 2022
- Advisory employees · 12 to 8Feb 28, 2020 to Mar 31, 2021
- Employees · 12 to 8Feb 28, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $3.1B to $3.3BFeb 28, 2020 to Mar 31, 2021
- RAUM · $3.1B to $3.3BFeb 28, 2020 to Mar 31, 2021
- Advisory employees · 6 to 12Mar 25, 2019 to Feb 28, 2020
- Employees · 6 to 12Mar 25, 2019 to Feb 28, 2020
- Non-discretionary RAUM · $3.1B to $3.1BMar 25, 2019 to Feb 28, 2020
- RAUM · $3.1B to $3.1BMar 25, 2019 to Feb 28, 2020
- Non-discretionary RAUM · $504M to $3.1BMar 29, 2018 to Mar 25, 2019
- RAUM · $504M to $3.1BMar 29, 2018 to Mar 25, 2019
- Related insurance company · false to trueMar 29, 2018 to Mar 25, 2019
- Advisory employees · 25 to 6Nov 20, 2017 to Mar 29, 2018
- Business name · A•••••• S••••••••• L•• to A•••••• P••••••• N•••• A•••••• L••Nov 20, 2017 to Mar 29, 2018
- Employees · 25 to 6Nov 20, 2017 to Mar 29, 2018
- Legal name · A•••••• S••••••••• L•• to A•••••• P••••••• N•••• A•••••• L••Nov 20, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $442M to $504MNov 20, 2017 to Mar 29, 2018
- RAUM · $442M to $504MNov 20, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jun 30, 2017 to Nov 20, 2017
- Advisory employees · 1 to 25Nov 28, 2016 to Mar 29, 2017
- Employees · 2 to 25Nov 28, 2016 to Mar 29, 2017
- Non-discretionary RAUM · $223M to $442MNov 28, 2016 to Mar 29, 2017
- RAUM · $223M to $442MNov 28, 2016 to Mar 29, 2017
- Accounts · 0 to 1Mar 28, 2016 to Jul 25, 2016
Signals
4 dated events
- A•••••• P••••••• N•••• A•••••• L•• reported RAUM $5.9B, up 76% from $3.3B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A•••••• P••••••• N•••• A•••••• L•• reported RAUM $4.2B, up 26% from $3.3B (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- A•••••• P••••••• N•••• A•••••• L•• reported RAUM $3.1B, up 518% from $503.7M (2018-03-29 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- A•••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-257-5781reportedpublic record, Form ADV, Mar 30, 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