DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

A••••• L••• C•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser· Stamford, Connecticut

Former SEC-registered adviser, based in Stamford, Connecticut, reporting $665M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$665M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-23%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 283410 · SEC 801-107737 · 12 filingsShow
CRD 283410SEC 801-107737First filing on the tape Apr 19, 2016, latest May 9, 2018IAPD
RAUM
$665M
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
13
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$665M as of Feb 13, 2018
Mar 30, 2017$860M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 13, 2018
Mar 30, 20170 then
Employees (5.A)13 as of Feb 13, 2018
Mar 30, 20179 then
Private funds: no history
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 9, 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
$665MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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
otherreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• J•••• S• · Trustee Of R••••• J• F•••• 2••• F••••• T••••control
        since 12/2016 · owns less than 5%
      • F••••• R•••••• J••••• · Member, Manager And Chief Investment Officercontrol
        since 04/2016 · owns 25% to 50%
      • F••••• R•••••• W• · Trustee Of R••••• J• F•••• 2••• F••••• T••••control
        since 12/2016 · owns less than 5%
      • G•••••••• D••• L•••• · Member And Managercontrol
        since 10/2016 · owns 10% to 25%
      • H••••••• K••••••• D•••••• · Member, Manager, Director Of Research And Strategycontrol
        since 04/2016 · owns 25% to 50%
      • H••••••• M•••• · Trustee Of K•••••• H•••••• 2••• F••••• T••••control
        since 12/2016 · owns less than 5%
      • H••••••• W•••••• · Trustee Of K•••••• H•••••• 2••• F••••• T••••control
        since 12/2016 · owns less than 5%
      • K••••• J••••• · Chief Compliance Officer, Chief Financial Officer
        since 07/2017 · owns less than 5%
      Entity owners
      • K•••••• H•••••• 2••• F••••• T•••• · Member
        direct · owns 10% to 25%
      • R••••• J• F•••• 2••• F••••• T•••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY9 employees
      What changed
      consecutive filings, newest first
      • Business name · A••••• L••• C•••••• M••••••••• L•• to A••••• L••• C•••••• M••••••••• L•
        Feb 13, 2018 to May 9, 2018
      • Legal name · A••••• L••• C•••••• M••••••••• L•• to A••••• L••• C•••••• M••••••••• L•
        Feb 13, 2018 to May 9, 2018
      • Succession · false to true
        Feb 13, 2018 to May 9, 2018
      • Employees · 9 to 13
        Aug 29, 2017 to Feb 13, 2018
      • Other offices · unset to 1.0
        Aug 29, 2017 to Feb 13, 2018
      • Organization form · Limited Liability Company to Limited Partnership
        Aug 29, 2017 to Feb 13, 2018
      • Discretionary RAUM · $860M to $0
        Aug 29, 2017 to Feb 13, 2018
      • Non-discretionary RAUM · $0 to $665M
        Aug 29, 2017 to Feb 13, 2018
      • RAUM · $860M to $665M
        Aug 29, 2017 to Feb 13, 2018
      • Advisory employees · 8 to 9
        Jan 12, 2017 to Mar 30, 2017
      • Employees · 8 to 9
        Jan 12, 2017 to Mar 30, 2017
      • Discretionary RAUM · $0 to $860M
        Jan 12, 2017 to Mar 30, 2017
      • Non-discretionary RAUM · $1.3B to $0
        Jan 12, 2017 to Mar 30, 2017
      • RAUM · $1.3B to $860M
        Jan 12, 2017 to Mar 30, 2017
      • Accounts · unset to 1.0
        May 9, 2016 to Jul 5, 2016
      • HQ city · NEW YORK to STAMFORD
        May 9, 2016 to Jul 5, 2016
      • HQ state · NY to CT
        May 9, 2016 to Jul 5, 2016
      • Discretionary RAUM · unset to 0.0
        May 9, 2016 to Jul 5, 2016
      • Non-discretionary RAUM · unset to 100000000.0
        May 9, 2016 to Jul 5, 2016
      • RAUM · unset to 100000000.0
        May 9, 2016 to Jul 5, 2016
      • Advisory employees · 2 to 8
        Jul 5, 2016 to Jul 5, 2016
      • Employees · 2 to 8
        Jul 5, 2016 to Jul 5, 2016
      • Non-discretionary RAUM · $100M to $1.3B
        Jul 5, 2016 to Jul 5, 2016
      • RAUM · $100M to $1.3B
        Jul 5, 2016 to Jul 5, 2016
      Signals
      2 dated events
      • ••• Locked
        May 9, 2018 · Succession (Item 4) · fact
      • ••• Locked
        Apr 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