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•••••••• I••••••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 31, 2017 · 18 filings
SEC status approved since May 1, 2017
RAUM
$77.6M
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
1
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$77.6M as of Mar 11, 2026
Mar 30, 2018$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Mar 30, 20180 then
Employees (5.A)4 as of Mar 11, 2026
Mar 30, 20187 then
Private funds1 as of Mar 11, 2026
Mar 30, 20183 then
RAUM -46% over the last fiscal year-38% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- $25.9MderivedRAUM 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
- $77.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $77.6M, 1 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$77.6M100%
- 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
- $77.6M for 1 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• C•••••• F••• I•• L• | Other Private Fund | $174M | 45 | Aug 29, 2016 |
| G••••••• M•••••••• F••• I•• L••• | Other Private Fund | $50,940 | 25 | Mar 20, 2012 |
| A•••••••• I•••••••• I•• L• | Other Private Fund | $20,106 | 3 | Apr 10, 2020 |
| A•••••••• I••••••••• L• | Private Equity Fund | $602 | 1 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- G••• M•••• P•••• · Managing Membercontrolsince 08/2016 · owns 25% to 50%
- J••••• E••••••• H••••• · Managing Membercontrolsince 08/2016 · owns 10% to 25%
- P•••••• G•••••• L••••••• · Managing Membercontrolsince 08/2016 · owns less than 5%
- P•••••• C••••• J••• · Managing Membercontrolsince 08/2016 · owns 25% to 50%
- S•••••• A•••••••• C••••• · Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- P•••••• G•••••• L••••••• · Managercontrolsince 08/2016 · owns 75% or more of A•• A•••••••• H••••••• L••
Entity owners
- A•• A•••••••• H••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA
What changed
consecutive filings, newest first
- Assets in custody · $143M to $77.6MMar 17, 2025 to Mar 11, 2026
- HQ city · GREENWICH to WHITE PLAINSMar 17, 2025 to Mar 11, 2026
- HQ state · CT to NYMar 17, 2025 to Mar 11, 2026
- Discretionary RAUM · $143M to $77.6MMar 17, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $143M to $77.6MMar 17, 2025 to Mar 11, 2026
- RAUM · $143M to $77.6MMar 17, 2025 to Mar 11, 2026
- Accounts · 4 to 1May 1, 2024 to Mar 17, 2025
- Advisory employees · 5 to 4May 1, 2024 to Mar 17, 2025
- Pooled vehicle clients · 4 to 1May 1, 2024 to Mar 17, 2025
- Assets in custody · $281M to $143MMay 1, 2024 to Mar 17, 2025
- Employees · 6 to 4May 1, 2024 to Mar 17, 2025
- Financial planning clients · unset to May 1, 2024 to Mar 17, 2025
- State-registered IARs · 0 to 3May 1, 2024 to Mar 17, 2025
- Private funds · 3 to 1May 1, 2024 to Mar 17, 2025
- Discretionary RAUM · $281M to $143MMay 1, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $281M to $143MMay 1, 2024 to Mar 17, 2025
- RAUM · $281M to $143MMay 1, 2024 to Mar 17, 2025
- Private funds · 4 to 3Mar 15, 2024 to May 1, 2024
- Assets in custody · $344M to $281MOct 17, 2023 to Mar 11, 2024
- Financial planning clients · 0 to unsetOct 17, 2023 to Mar 11, 2024
- Discretionary RAUM · $322M to $281MOct 17, 2023 to Mar 11, 2024
- Pooled vehicle RAUM · $322M to $281MOct 17, 2023 to Mar 11, 2024
- RAUM · $322M to $281MOct 17, 2023 to Mar 11, 2024
- Advisory employees · 6 to 5Mar 24, 2022 to Feb 14, 2023
- Employees · 7 to 6Mar 24, 2022 to Feb 14, 2023
- Financial planning clients · unset to 0Mar 24, 2022 to Feb 14, 2023
- Discretionary RAUM · $344M to $322MMar 24, 2022 to Feb 14, 2023
- Pooled vehicle RAUM · $344M to $322MMar 24, 2022 to Feb 14, 2023
- RAUM · $344M to $322MMar 24, 2022 to Feb 14, 2023
- Accounts · 7 to 4Oct 4, 2021 to Mar 24, 2022
- Assets in custody · $344M to $344MOct 4, 2021 to Mar 24, 2022
- Discretionary RAUM · $344M to $344MOct 4, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $307M to $344MOct 4, 2021 to Mar 24, 2022
- RAUM · $344M to $344MOct 4, 2021 to Mar 24, 2022
- Related adviser · true to falseOct 4, 2021 to Mar 24, 2022
- Other offices · 0 to 1Mar 29, 2021 to Oct 4, 2021
- Assets in custody · $350M to $344MApr 10, 2020 to Mar 29, 2021
- Discretionary RAUM · $334M to $344MApr 10, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $298M to $307MApr 10, 2020 to Mar 29, 2021
- RAUM · $334M to $344MApr 10, 2020 to Mar 29, 2021
Signals
2 dated events
- A•••••••• I••••••••• M••••••••• L•• reported RAUM $143.4M, down 49% from $281.5M (2024-05-01 to 2025-03-17)Mar 17, 2025 · RAUM change · derived
- A•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A••••••••MGT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-485-0700reportedpublic record, Form ADV, Mar 11, 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