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••• C•••••• M••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Jun 30, 2022 · 7 filings
SEC status approved since Aug 3, 2022
RAUM
$473M
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
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$473M as of Mar 2, 2026
Mar 20, 2023$327M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2026
Mar 20, 20230 then
Employees (5.A)4 as of Mar 2, 2026
Mar 20, 20233 then
Private funds1 as of Mar 2, 2026
Mar 20, 20231 then
RAUM +42% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 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
- $236MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%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
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$473M100%
- 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
- $0 for 0 clientsreported
- Compensation
- % of AUM, 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••• I••••••••• P••••••• L• | Private Equity Fund | $240M | 90 | Jun 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• O•••• Z•• · Managing Membercontrolsince 12/2021 · owns less than 5%
- H••••••••• O•••• Z•• · Managing Membercontrolsince 12/2021 · owns 75% or more of A••• I••••••••• P••••••• L••
- M•••••• A••••• I••••• · Chief Compliance Officersince 08/2016 · owns less than 5%
Entity owners
- A••• I••••••••• P••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Baltimore, MD3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 2, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-21, yes on the filing of 2026-03-02peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 21, 2025 to Mar 2, 2026
- Pooled vehicle clients · 3 to 2Mar 21, 2025 to Mar 2, 2026
- Assets in custody · unset to 0.0Mar 21, 2025 to Mar 2, 2026
- Custody of client assets · false to trueMar 21, 2025 to Mar 2, 2026
- Discretionary RAUM · $332M to $473MMar 21, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $332M to $473MMar 21, 2025 to Mar 2, 2026
- RAUM · $332M to $473MMar 21, 2025 to Mar 2, 2026
- Advisory employees · 3 to 4Oct 22, 2024 to Mar 21, 2025
- Employees · 3 to 4Oct 22, 2024 to Mar 21, 2025
- Financial planning clients · unset to Oct 22, 2024 to Mar 21, 2025
- HQ city · unset to Oct 22, 2024 to Mar 21, 2025
- HQ state · unset to Oct 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $319M to $332MOct 22, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $319M to $332MOct 22, 2024 to Mar 21, 2025
- RAUM · $319M to $332MOct 22, 2024 to Mar 21, 2025
- Other offices · 1 to 2Mar 20, 2023 to Mar 1, 2024
- Discretionary RAUM · $327M to $319MMar 20, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $327M to $319MMar 20, 2023 to Mar 1, 2024
- RAUM · $327M to $319MMar 20, 2023 to Mar 1, 2024
- Other offices · 0 to 1Nov 4, 2022 to Mar 20, 2023
- Discretionary RAUM · $426M to $327MNov 4, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $426M to $327MNov 4, 2022 to Mar 20, 2023
- RAUM · $426M to $327MNov 4, 2022 to Mar 20, 2023
Signals
2 dated events
- A••• C•••••• M••••••••• L•• reported RAUM $472.7M, up 42% from $332.3M (2025-03-21 to 2026-03-02)Mar 2, 2026 · RAUM change · derived
- A••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 410-415-6464reportedpublic record, Form ADV, Mar 2, 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