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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Former SEC-registered adviser

A••••• C••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 286584SEC 801-109000IAPD
Latest filing Aug 22, 2022
First filing on the tape Jan 17, 2017 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
176
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2021
Mar 30, 2018$0 then
HNW client RAUM$0 as of Mar 31, 2022
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 30, 20180 then
Employees (5.A)176 as of Mar 31, 2022
Mar 30, 2018165 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 22, 2022; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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
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
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R••••••• A•••••• · Senior Managing Director, Chief Risk Officer Of A••••• Capital Groupcontrol
        since 02/2016 · owns less than 5%
      • G••••••• S••••• E••••• · President, Managing Partner And General Counsel Of A••••• Capital Groupcontrol
        since 06/2000 · owns less than 5%
      • L•••••• T•••••• M••• · Chief Financial Officer Of A••••• Capital Groupcontrol
        since 04/2011 · owns less than 5%
      • L••••• M•••• N•• · Chairman And Chief Executive Officer Of A••••• Capital Groupcontrol
        since 06/2000 · owns less than 5%
      • S•••••••• A•••••• K•••• · Chief Compliance Officer Of A••••• Capital Groupcontrol
        since 01/2019 · owns less than 5%
      • G••••••• S••••• E••••• · Managing Member Of A••••• M••••••••• H••••• G•••••• L••control
        since 10/2006 · owns F of A••••• M••••••••• H••••• G•••••• L••
      • G••••••• S••••• E••••• · Managing Member Of A••••• C••••• M••••••••• G•••••• L••control
        since 01/2017 · owns 50% to 75% of A••••• C••••• M••••••••• G•••••• L••
      • G••••••• S••••• E••••• · Managing Member Of G• M••••••••• L••control
        since 10/2006 · owns F of G• M••••••••• L••
      • L••••• M•••• N•• · Member Of A••••• C••••• M••••••••• G•••••• L••control
        since 01/2017 · owns 25% to 50% of A••••• C••••• M••••••••• G•••••• L••
      • L••••• M•••• N•• · Managing Member Of A••••• M••••••••• H••••• G•••••• L••control
        since 10/2006 · owns 75% or more of A••••• M••••••••• H••••• G•••••• L••
      • L••••• M•••• N•• · Managing Member Of G• M••••••••• L••control
        since 10/2006 · owns 75% or more of G• M••••••••• L••
      • K••••••• N•••• N•• · Chief Technology Officer Of A••••• Capital Group
        since 02/2009 · owns less than 5%
      Entity owners
      • A••••• C••••• M••••••••• G•••••• L•• · General Partner Of A••••• C••••• M••••••••• L•••
        direct · owns 75% or more
      • A••••• M••••••••• H••••• G•••••• L•• · General Partner Of A••••• Management H•••••., LP.
        indirect · owns F of A••••• M••••••••• H•••••• L•••
      • G• M••••••••• L•• · Managing Member Of M•• M••••••••• L••
        indirect · owns 75% or more of M•• M••••••••• L••
      • M•• M••••••••• L•• · Limited Partner Of A••••• M••••••••• H•••••• L•••
        indirect · owns 75% or more of A••••• M••••••••• H•••••• L•••
      • A••••• M••••••••• H•••••• L••• · Limited Partner Of A••••• C••••• M••••••••• L•••
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Nov 12, 2021 to Mar 31, 2022
      • Employees · 174 to 176
        Nov 12, 2021 to Mar 31, 2022
      • Discretionary RAUM · 0.0 to unset
        Nov 12, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · 0.0 to unset
        Nov 12, 2021 to Mar 31, 2022
      • RAUM · 0.0 to unset
        Nov 12, 2021 to Mar 31, 2022
      • Advisory employees · 3 to 2
        Jul 8, 2020 to Mar 31, 2021
      • Employees · 177 to 174
        Jul 8, 2020 to Mar 31, 2021
      • Employees · 170 to 177
        Oct 4, 2019 to Mar 30, 2020
      • Employees · 165 to 170
        Jan 10, 2019 to Mar 29, 2019
      • Advisory employees · 60 to 3
        Jan 17, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Jan 17, 2017 to Mar 30, 2018
      • Employees · 200 to 165
        Jan 17, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 17, 2017 to Mar 30, 2018
      Signals
      4 dated events
      • Philip Richard Furst (Chief Investment Officer Of Avenue Capital Group) no longer on Schedule A of A••••• C••••• M••••••••• L••• (listed 2020-03-30, absent 2020-07-08)
        Jul 8, 2020 · Control person left · inference
      • Keith Andrew Schinder (Chief Compliance Officer Of Avenue Capital Group) appeared on Schedule A of A••••• C••••• M••••••••• L•••
        Jan 10, 2019 · Control person joined · fact
      • Darren Ty Oyer (Chief Compliance Officer Of Avenue Capital Group) no longer on Schedule A of A••••• C••••• M••••••••• L••• (listed 2018-10-09, absent 2019-01-10)
        Jan 10, 2019 · Control person left · inference
      • A••••• C••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Jan 17, 2017 · 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.
      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
      Former SEC-registered adviserderiveda 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