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••• M•••••••••
Legal name A••••••• M••••••• I••••••••• P••••••• M••••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Sep 21, 2016 · 20 filings
SEC status approved since Oct 25, 2016
RAUM
$1.5B
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
47
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
7
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.5B as of Jun 24, 2026
Mar 30, 2017$226M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Mar 30, 20170 then
Employees (5.A)47 as of Jun 24, 2026
Mar 30, 201725 then
Private funds7 as of Jun 24, 2026
Mar 30, 20171 then
RAUM +145% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $208MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +145%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-based, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.5B, 7 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 7 clientsreported
- Compensation
- % of AUM, performance, commissionsreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••••• C••••• O••••••••• V•••• L•• | Hedge Fund | $283M | 2 | Feb 28, 2023 |
| R••••••••• C••••• O••••••••• V•• L•• | Hedge Fund | $193M | 1 | Mar 30, 2021 |
| R••••••••• C••••• O••••••••• V••• L•• | Hedge Fund | $94.9M | 6 | Mar 30, 2021 |
| R••••••••• C••••• O••••••••• V• L•• | Hedge Fund | $80.0M | 7 | Mar 30, 2018 |
| R••••••••• C••••• O••••••••• I••• L•• | Hedge Fund | $383,866 | 8 | Sep 21, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C•••••• J••• · Chief Operating Officer, Chief Compliance Officer, Managing Partnercontrolsince 02/2023 · owns less than 5%
- D•••••• M•••••• · Chief Investment Officer, Secretary, Managing Partnercontrolsince 04/2020 · owns less than 5%
- H•••••• S•••••• E••••• · Chief Financial Officercontrolsince 06/2018 · owns less than 5%
- B••••••• S••• · Managercontrolsince 12/2022 · owns F of N•• A••• H•••••••• L••
- F•••••••• R•••••• J•••• · Managercontrolsince 12/2022 · owns F of N•• A••• H•••••••• L••
- J••••••• G•• · Managercontrolsince 12/2022 · owns F of N•• A••• H•••••••• L••
- M•••• R•••••• D••• · Managercontrolsince 12/2022 · owns F of N•• A••• H•••••••• L••
- P••••• W••••••• M•••••• · Managercontrolsince 12/2022 · owns F of N•• A••• H•••••••• L••
- S••••••••• M••••••• W•••••• · Managercontrolsince 12/2022 · owns F of N•• A••• H•••••••• L••
Entity owners
- N•• A••• H•••••••• L•• · Member, Managerdirect · owns 75% or more
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••• L•••
- G•• O••••••••• F••• M••••••••• L••• · General Partnerindirect · owns F of G••••• G••• C•••••• O••••••••• F•••••• L•••
- G•••• N••••• I••••••••• L••• · Limited Partnerindirect · owns 75% or more of N••••• F•••••••• G••••• L•••
- G••••• G••• C•••••• O••••••••• F•••••• L••• · Limited Partnerindirect · owns 25% to 50% of G•••• N••••• I••••••••• L•••
- G••••• G••• C•••••• O••••••••• F•••• L••• · General Partner Andlimited Partnerindirect · owns 25% to 50% of G•••• N••••• I••••••••• L•••
- G••••• G••• C•••••• O••••••••• F•••• L••• · Managing Memberindirect · owns 50% to 75% of P•• H•••••••• L••
- N••••• F•••••••• G•••• G• L••• · General Partnerindirect · owns F of N••••• F•••••••• G••••• L•••
- N••••• F•••••••• G••••• L••• · Limited Partnerindirect · owns 75% or more of N••••• I•••••••• G•••• H•••••••• L•••
- N••••• I•••••••• G•••• H••••••• G•• L•• · General Partnerindirect · owns F of N••••• I•••••••• G•••• H•••••••• L•••
- N••••• I•••••••• G•••• H•••••••• L••• · Shareholderindirect · owns 75% or more of T•• N••••• C••••••••
- N••••• L••• I•••••••• C•••••• · Limited Partnerindirect · owns 25% to 50% of N•• R••••• F••• I• L•
- N•• R••••• F••• I• L• · Member (Class A)indirect · owns 25% to 50% of N•• A••• H•••••••• L••
- N•• R••••• P••••••• G• I• L•• · General Partnerindirect · owns F of N•• R••••• F••• I• L•
- P•• D••••••• L•• · Memberindirect · owns 75% or more of P•• V••••••• I•••••••• C••••••
- P•• H•••••••• L•• · Managing Memberindirect · owns 75% or more of P•• D••••••• L••
- P•• V••••••• I•••••••• C•••••• · Limited Partnerindirect · owns 25% to 50% of N•• R••••• F••• I• L•
- S•••••• M••••••• I••••••••• L•• · Member (Class B)indirect · owns 25% to 50% of N•• A••• H•••••••• L••
- T•• N••••• C•••••••• · Shareholderindirect · owns 75% or more of T•• N••••• C•••••••• O• N•• Y•••
- T•• N••••• C•••••••• O• N•• Y••• · Shareholderindirect · owns 75% or more of N••••• L••• I•••••••• C••••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 24, 2026discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $1B to $5B (1,506) · 0.0% percentile
- RAUM up 50 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $594,788,095 to $1,459,339,351 (+145.0%) between the annual amendments of 2025-03-28 and 2026-03-23; the peer median change was +11.0% (1368 comparable advisers, 96.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 96% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.5B to $0Mar 23, 2026 to Jun 24, 2026
- Non-discretionary RAUM · $0 to $1.5BMar 23, 2026 to Jun 24, 2026
- Accounts · 6 to 7Mar 28, 2025 to Mar 23, 2026
- Pooled vehicle clients · 6 to 7Mar 28, 2025 to Mar 23, 2026
- Assets in custody · $595M to $1.5BMar 28, 2025 to Mar 23, 2026
- Employees · 33 to 47Mar 28, 2025 to Mar 23, 2026
- Private funds · 6 to 7Mar 28, 2025 to Mar 23, 2026
- Discretionary RAUM · $595M to $1.5BMar 28, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $595M to $1.5BMar 28, 2025 to Mar 23, 2026
- RAUM · $595M to $1.5BMar 28, 2025 to Mar 23, 2026
- Accounts · 5 to 6Feb 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 6Feb 28, 2024 to Mar 28, 2025
- Assets in custody · $651M to $595MFeb 28, 2024 to Mar 28, 2025
- Employees · 32 to 33Feb 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Feb 28, 2024 to Mar 28, 2025
- Other offices · 0 to 2Feb 28, 2024 to Mar 28, 2025
- Private funds · 5 to 6Feb 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $651M to $595MFeb 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $651M to $595MFeb 28, 2024 to Mar 28, 2025
- RAUM · $651M to $595MFeb 28, 2024 to Mar 28, 2025
- Assets in custody · $635M to $651MNov 9, 2023 to Feb 28, 2024
- Employees · 42 to 32Nov 9, 2023 to Feb 28, 2024
- Discretionary RAUM · $635M to $651MNov 9, 2023 to Feb 28, 2024
- Pooled vehicle RAUM · $635M to $651MNov 9, 2023 to Feb 28, 2024
- RAUM · $635M to $651MNov 9, 2023 to Feb 28, 2024
- Accounts · 4 to 5Mar 30, 2022 to Feb 28, 2023
- Pooled vehicle clients · 4 to 5Mar 30, 2022 to Feb 28, 2023
- Assets in custody · $807M to $635MMar 30, 2022 to Feb 28, 2023
- Employees · 60 to 42Mar 30, 2022 to Feb 28, 2023
- Private funds · 4 to 5Mar 30, 2022 to Feb 28, 2023
- Discretionary RAUM · $0 to $635MMar 30, 2022 to Feb 28, 2023
- Non-discretionary RAUM · $807M to $0Mar 30, 2022 to Feb 28, 2023
- Pooled vehicle RAUM · $807M to $635MMar 30, 2022 to Feb 28, 2023
- RAUM · $807M to $635MMar 30, 2022 to Feb 28, 2023
- Assets in custody · $680M to $807MNov 10, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $680M to $807MNov 10, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $680M to $807MNov 10, 2021 to Mar 30, 2022
- RAUM · $680M to $807MNov 10, 2021 to Mar 30, 2022
- Accounts · 2 to 4Jun 3, 2020 to Mar 30, 2021
- Pooled vehicle clients · 2 to 4Jun 3, 2020 to Mar 30, 2021
Signals
40 dated events
- A••• M••••••••• reported RAUM $1.5B, up 145% from $594.8M (2025-03-28 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- Nmn Ron Mcmahan (Chief Executive Officer) no longer on Schedule A of A••• M••••••••• (listed 2023-02-28, absent 2023-11-09)Nov 9, 2023 · Control person left · inference
- J•••• R••••• F••••••• (Manager) appeared on Schedule A of A••• M•••••••••Feb 28, 2023 · Control person joined · fact
- Matthew William Petak (Manager) appeared on Schedule A of A••• M•••••••••Feb 28, 2023 · Control person joined · fact
- William Michael Schloessmann (Manager) appeared on Schedule A of A••• M•••••••••Feb 28, 2023 · Control person joined · fact
- J••• C••••• B••••••• (Chief Operating Officer, Chief Compliance Officer) appeared on Schedule A of A••• M•••••••••Feb 28, 2023 · Control person joined · fact
- Lynea Joan Elam (Director Of Human Resources; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Ruth Barbara Van Every (Director Of Investor Services; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Lee Casey Moore (Chief Technology Officer; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Enrique Youse Guia (Chief Compliance Officer; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Aaron Patrick Townzen (Director Of Operations; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Lior Evan (Managing Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Edward Jeffrey Gundlach (Chief Executive Officer; Chief Investment Officer; Director; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Vann Henry Chase (Chief Financial Officer; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Allan Earl Lariscy (General Counsel; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- R••••• Ronald Redell (Director Of Global Relationship Management; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- J••• Jeffrey Sherman (Deputy Chief Investment Officer; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Cris Santa Ana Iii (Chief Risk Officer; Executive Committee Member) no longer on Schedule A of A••• M••••••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Lanford J•••• Dooley (Officer) no longer on Schedule A of A••• M••••••••• (listed 2021-03-30, absent 2021-11-10)Nov 10, 2021 · Control person left · inference
- Ruth Barbara Van Every (Director Of Investor Services; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Lee Casey Moore (Chief Technology Officer; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Enrique Youse Guia (Chief Compliance Officer; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Aaron Patrick Townzen (Director Of Operations; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Lynea Joan Elam (Director Of Human Resources; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Michael Daurio (Secretary) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- J••• Jeffrey Sherman (Deputy Chief Investment Officer; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Edward Jeffrey Gundlach (Chief Executive Officer; Chief Investment Officer; Director; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Vann Henry Chase (Chief Financial Officer; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- Allan Earl Lariscy (General Counsel; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · fact
- R••••• Ronald Redell (Director Of Global Relationship Management; Executive Committee Member) appeared on Schedule A of A••• M•••••••••Mar 30, 2021 · Control person joined · 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
- Website
- A•••MANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 562-735-6555reportedpublic record, Form ADV, Jun 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
Across the graphs
A••• M••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…