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•• S••• M••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape May 26, 2021 · 10 filings
SEC status approved since Jun 25, 2021
RAUM
$85.4M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$85.4M as of Apr 24, 2026
Mar 31, 2022$561M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Mar 31, 20220 then
Employees (5.A)7 as of Apr 24, 2026
Mar 31, 20223 then
Private funds1 as of Apr 24, 2026
Mar 31, 20261 then
RAUM -1.5% over the last fiscal year-40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 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
- $42.7MderivedRAUM 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
- -1.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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
- 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)
- 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$85.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- 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
- N••••••••• C•••• · Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- P••••••• K••••• S••• · Managing Membercontrolsince 01/2022 · owns 50% to 75%
- R••••••••• A•••••• · Managing Membercontrolsince 03/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- A•• P••••••• G• I•• L••pooled vehicle sponsorn
- A•• P••••••• G•• L••pooled vehicle sponsorn
- A•• P••••••• L••investment advisernRAUM $1.2B
- A•• P••••••• O••••••••• F••• G•• L••pooled vehicle sponsorn
- A•• P••••••• O••••••••• F••• I• G•• L••pooled vehicle sponsorn
- A•• P••••••• O••••••••• M••••••••• L••investment advisern
- C•••••• C•••••• M•••••• L••broker-dealern
- S••• M••••••••• G• L••pooled vehicle sponsorn
- S••• M••••••••• M••••••••• L••investment advisernRAUM $55.9M
Advisers that list A•• S••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 26, 2025 to Mar 31, 2026
- BD registered reps · 1 to 0Mar 26, 2025 to Mar 31, 2026
- Employees · 6 to 7Mar 26, 2025 to Mar 31, 2026
- Private funds · unset to 1Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $86.7M to $85.4MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $86.7M to $85.4MMar 26, 2025 to Mar 31, 2026
- RAUM · $86.7M to $85.4MMar 26, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jun 17, 2024 to Mar 26, 2025
- Discretionary RAUM · $74.1M to $86.7MJun 17, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $74.1M to $86.7MJun 17, 2024 to Mar 26, 2025
- RAUM · $74.1M to $86.7MJun 17, 2024 to Mar 26, 2025
- Advisory employees · 4 to 3Mar 31, 2023 to Mar 29, 2024
- Employees · 4 to 6Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $403M to $74.1MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $403M to $74.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $403M to $74.1MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 4Mar 31, 2022 to Mar 31, 2023
- Employees · 3 to 4Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $561M to $403MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $561M to $403MMar 31, 2022 to Mar 31, 2023
- RAUM · $561M to $403MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Jan 13, 2022 to Mar 31, 2022
- BD registered reps · 0 to 1Jan 13, 2022 to Mar 31, 2022
- Employees · 2 to 3Jan 13, 2022 to Mar 31, 2022
- HQ city · unset to NEW YORKJan 13, 2022 to Mar 31, 2022
- HQ state · unset to NYJan 13, 2022 to Mar 31, 2022
- Discretionary RAUM · $311M to $561MJan 13, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $311M to $561MJan 13, 2022 to Mar 31, 2022
- RAUM · $311M to $561MJan 13, 2022 to Mar 31, 2022
- Related broker-dealer · false to trueJan 13, 2022 to Mar 31, 2022
Signals
5 dated events
- A•• S••• M••••••••• L•• reported RAUM $74.1M, down 82% from $403.2M (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- A•• S••• M••••••••• L•• reported RAUM $403.2M, down 28% from $561.2M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•• S••• M••••••••• L•• reported RAUM $561.2M, up 80% from $311.0M (2022-01-13 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Scot Kerry Propper (Managing Member) appeared on Schedule A of A•• S••• M••••••••• L••Jan 6, 2022 · Control person joined · fact
- A•• S••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 26, 2021 · 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
- 646-975-5548reportedpublic record, Form ADV, Apr 24, 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