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••
Legal name A••••••••• C•••••• M••••••••• L•••
Latest filing Mar 25, 2026
First filing on the tape Nov 3, 2016 · 15 filings
SEC status approved since Sep 26, 2017
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$660,744 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$231M
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$231M as of Mar 25, 2026
Jan 24, 2018$195M then
HNW client RAUM$388,883 as of Mar 25, 2026
Mar 30, 2020$1.1M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Jan 24, 20180 then
Employees (5.A)0 as of Mar 25, 2026
Jan 24, 20185 then
Private funds1 as of Mar 19, 2024
Mar 30, 20221 then
RAUM +8.6% over the last fiscal year-4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $231MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $97,221derivedHNW RAUM over HNW clients
- Average account
- $16.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$177M76%
- Charitable organizations$54.0M23%
- High-net-worth individuals$388,8830.2%
- Individuals$271,8610.1%
- Individual clients
- 8reported
- HNW clients
- 4reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• P••••••• | Greenwich, Ct | Mar 3, 2025 | 16 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••••• P••••••• from L•• F•••••••• G•••• L••Mar 3, 2025 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• R••• M•••••• U• E••••• S••••••• L• | Hedge Fund | $2.6M | 11 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• L•••••• · Chief Compliance Officer/Research And Development/Portfolio Managercontrolsince 04/2018 · owns 25% to 50%
- V•• B••••••••• D••••• B•••••• · Cio, Chief Strategist, Portfolio Managercontrolsince 05/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- L•• C••••••••• L••bankn
- L•• F•••••••• G•••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 0Mar 3, 2025 to Mar 25, 2026
- Employees · 2 to 0Mar 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $213M to $231MMar 3, 2025 to Mar 25, 2026
- Pension RAUM · $162M to $177MMar 3, 2025 to Mar 25, 2026
- RAUM · $213M to $231MMar 3, 2025 to Mar 25, 2026
- Accounts · 1 to 14Dec 23, 2024 to Mar 3, 2025
- HNW clients · unset to 4.0Dec 23, 2024 to Mar 3, 2025
- Individual clients · unset to 8.0Dec 23, 2024 to Mar 3, 2025
- Insurance-licensed employees · 1 to 0Dec 23, 2024 to Mar 3, 2025
- Financial planning clients · unset to Dec 23, 2024 to Mar 3, 2025
- Private funds · 1 to unsetDec 23, 2024 to Mar 3, 2025
- Discretionary RAUM · $301M to $213MDec 23, 2024 to Mar 3, 2025
- HNW RAUM · unset to 388883.0Dec 23, 2024 to Mar 3, 2025
- Individual RAUM · unset to 271861.0Dec 23, 2024 to Mar 3, 2025
- Pension RAUM · $250M to $162MDec 23, 2024 to Mar 3, 2025
- RAUM · $301M to $213MDec 23, 2024 to Mar 3, 2025
- Related adviser · true to falseDec 23, 2024 to Mar 3, 2025
- Related bank · true to falseDec 23, 2024 to Mar 3, 2025
- Employees · 3 to 2Mar 19, 2024 to Dec 23, 2024
- Other offices · 2 to 1Mar 19, 2024 to Dec 23, 2024
- Accounts · 3 to 1Mar 28, 2023 to Mar 19, 2024
- HNW clients · 1.0 to unsetMar 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $269M to $301MMar 28, 2023 to Mar 19, 2024
- HNW RAUM · 671496.0 to unsetMar 28, 2023 to Mar 19, 2024
- Pension RAUM · $222M to $250MMar 28, 2023 to Mar 19, 2024
- RAUM · $269M to $301MMar 28, 2023 to Mar 19, 2024
- Charity clients · unset to 1.0Mar 30, 2022 to Mar 28, 2023
- HNW clients · unset to 1.0Mar 30, 2022 to Mar 28, 2023
- Pension plan clients · unset to 1.0Mar 30, 2022 to Mar 28, 2023
- Employees · 4 to 3Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $266M to $269MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $3.4M to $671,496Mar 30, 2022 to Mar 28, 2023
- Pension RAUM · $262M to $222MMar 30, 2022 to Mar 28, 2023
- RAUM · $266M to $269MMar 30, 2022 to Mar 28, 2023
- Accounts · 2 to 3Mar 31, 2021 to Mar 30, 2022
- Financial planning clients · 0 to unsetMar 31, 2021 to Mar 30, 2022
- State-registered IARs · 1 to 0Mar 31, 2021 to Mar 30, 2022
- Private funds · unset to 1Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $231M to $266MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $1.8M to $3.4MMar 31, 2021 to Mar 30, 2022
Signals
3 dated events
- James Peter Johnson (Cco/Coo) no longer on Schedule A of Acm (listed 2024-03-19, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- William Charles Maher (Cco/Coo) no longer on Schedule A of Acm (listed 2020-06-18, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Acm filed its initial SEC registration (Form ADV)Nov 3, 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.
How to reach
public business contact points only, each with its source
- Website
- A•••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-217-1143reportedpublic record, Form ADV, Mar 25, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $231Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026