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
Q•••••• I••••••••• A••••••• L••
Latest filing May 6, 2026
First filing on the tape Apr 10, 2017 · 19 filings
SEC status approved since May 4, 2017
RAUM
$155M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$155M as of May 6, 2026
Mar 29, 2018$71.9M then
HNW client RAUM$0 as of May 6, 2026
Mar 28, 2024$0 then
State-registered IARs (5.B.3)0 as of May 6, 2026
Mar 29, 20180 then
Employees (5.A)1 as of May 6, 2026
Mar 29, 20181 then
Private funds3 as of May 6, 2026
Mar 29, 20182 then
RAUM +397% over the last fiscal year+134% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
- $51.7MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +397%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 assetsreportedItem 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$155M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 1 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| A••••••••• P••••• I••••••••• •••• L••••••no longer reported | Real Estate Fund | $35.0M | 3 | Sep 1, 2017 |
| A•••• T••••••••• G••••• F••• L• | Venture Capital Fund | $19.5M | 57 | Mar 30, 2021 |
| A•••• R••• E••••• S•••••• F••• I• L•• | Real Estate Fund | $680,608 | 6 | Mar 30, 2022 |
| A•••• B••••••• P••••••••• L•• | Private Equity Fund | $664,948 | 13 | Mar 29, 2018 |
| A••••••••• A• C••••••••• N••• L••no longer reported | Private Equity Fund | $132,067 | 4 | May 14, 2020 |
Owners and control persons
Schedule A and B, latest filing
- T••••• A••••• M••••••• · Managing Member And Chief Compliance Officercontrolsince 03/2015 · owns 75% or more
Related persons
Schedule D 7.A
- A•••• C•••••• P••••••• L••pooled vehicle sponsorn
- A•••• G••••• A••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 3Apr 30, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 3Apr 30, 2025 to Mar 30, 2026
- Private funds · 1 to 3Apr 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $31.2M to $155MApr 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $31.2M to $155MApr 30, 2025 to Mar 30, 2026
- RAUM · $31.2M to $155MApr 30, 2025 to Mar 30, 2026
- Business name · A•••• C•••••• I••••••••• A••••••• L•• to Q•••••• I••••••••• A••••••• L••Oct 10, 2024 to Apr 30, 2025
- Financial planning clients · unset to Oct 10, 2024 to Apr 30, 2025
- Legal name · A•••• C•••••• I••••••••• A••••••• L•• to Q•••••• I••••••••• A••••••• L••Oct 10, 2024 to Apr 30, 2025
- Discretionary RAUM · $19.5M to $31.2MOct 10, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $19.5M to $31.2MOct 10, 2024 to Apr 30, 2025
- RAUM · $19.5M to $31.2MOct 10, 2024 to Apr 30, 2025
- Accounts · 3 to 1Mar 26, 2024 to Mar 28, 2024
- Advisory employees · 2 to 1Mar 26, 2024 to Mar 28, 2024
- Charity clients · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Corporate clients · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- HNW clients · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Individual clients · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Pension plan clients · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Pooled vehicle clients · 3 to 1Mar 26, 2024 to Mar 28, 2024
- Employees · 2 to 1Mar 26, 2024 to Mar 28, 2024
- Private funds · 3 to 1Mar 26, 2024 to Mar 28, 2024
- Discretionary RAUM · $12.1M to $19.5MMar 26, 2024 to Mar 28, 2024
- HNW RAUM · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Individual RAUM · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Pension RAUM · unset to 0.0Mar 26, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $12.1M to $19.5MMar 26, 2024 to Mar 28, 2024
- RAUM · $12.1M to $19.5MMar 26, 2024 to Mar 28, 2024
- Related adviser · true to falseMar 26, 2024 to Mar 28, 2024
- Accounts · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Private funds · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $41.2M to $12.1MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $41.2M to $12.1MMar 30, 2022 to Mar 31, 2023
- RAUM · $41.2M to $12.1MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $51.4M to $41.2MMay 5, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $51.4M to $41.2MMay 5, 2021 to Mar 30, 2022
- RAUM · $51.4M to $41.2MMay 5, 2021 to Mar 30, 2022
- Accounts · 3 to 4May 14, 2020 to Mar 30, 2021
- Pooled vehicle clients · 3 to 4May 14, 2020 to Mar 30, 2021
Signals
1 dated events
- A•••• C•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• C•••••• I••••••••• A••••••• L•• · Private Equityshared crd · organization
- A•••• C•••••• I••••••••• A••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-634-7173reportedpublic record, Form ADV, May 6, 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
Q•••••• I••••••••• A••••••• L•• 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.
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