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•••••• ••••••• S•••
Latest filing Mar 31, 2026
First filing on the tape Mar 5, 2021 · 8 filings
SEC status approved since Apr 5, 2021
RAUM
$199M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$199M as of Mar 31, 2026
Mar 17, 2022$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 17, 20220 then
Employees (5.A)8 as of Mar 31, 2026
Mar 17, 202215 then
Private funds1 as of Mar 31, 2026
Mar 17, 20221 then
RAUM n/a over the last fiscal year-56% a year over three
Practice profile
derived from the filing of Mar 31, 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
- $66.3MderivedRAUM 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
- 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)
- 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$199M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• G••••• M•••• M••••• F••• | Hedge Fund | $1.5B | 54 | Mar 3, 2017 |
Owners and control persons
Schedule A and B, latest filing
- F••••• F•••••••• A•••• · Director, Chief Executive Officercontrolsince 11/2016 · owns less than 5%
- G•••••• A••••••••• L••• · Executive Officercontrolsince 11/2016 · owns less than 5%
- M•••••• J••••• · Non-Executive Directorcontrolsince 07/2024 · owns less than 5%
- M•••••• G•••• C•••• · Non-Executive Directorcontrolsince 11/2017 · owns less than 5%
- S•••••• Z•••• M••••••• · Chief Risk Officercontrolsince 07/2023 · owns less than 5%
- F••••• F•••••••• A•••• · Shareholdercontrolsince 08/2018 · owns 75% or more of S•••••• H•••••• L••••••
- G•••••• A••••••••• L••• · Shareholdercontrolsince 08/2018 · owns 75% or more of M•••••• H•••••• L••••••
- C•••••• H••••• · Head Of Operationssince 02/2024 · owns less than 5%
- W•••••• C•••• · Chief Compliance Officersince 09/2020 · owns less than 5%
Entity owners
- A••••••• C•••••• L•••••• · Holding Company / Shareholderdirect · owns 75% or more
- M•••••• H•••••• L•••••• · Holding Companyindirect · owns 25% to 50% of A••••••• C•••••• L••••••
- S•••••• H•••••• L•••••• · Holding Companyindirect · owns 50% to 75% of A••••••• C•••••• L••••••
Related persons
Schedule D 7.A
- A••••••• C•••••• ••• L••••••pooled vehicle sponsorn
- A••••••• C•••••• ••••••• L••••••bankn
- A••••••• C•••••• U• L••bankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 3Oct 27, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Oct 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 3Oct 27, 2025 to Mar 31, 2026
- Employees · 13 to 8Oct 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $904M to $199MOct 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $904M to $199MOct 27, 2025 to Mar 31, 2026
- RAUM · $904M to $199MOct 27, 2025 to Mar 31, 2026
- Related bank · true to falseOct 27, 2025 to Mar 31, 2026
- Advisory employees · 7 to 6Aug 12, 2024 to May 1, 2025
- Financial planning clients · unset to Aug 12, 2024 to May 1, 2025
- HQ state · unset to Aug 12, 2024 to May 1, 2025
- Discretionary RAUM · $1.5B to $904MAug 12, 2024 to May 1, 2025
- Pooled vehicle RAUM · $1.5B to $904MAug 12, 2024 to May 1, 2025
- RAUM · $1.5B to $904MAug 12, 2024 to May 1, 2025
- Advisory employees · 8 to 7Mar 28, 2023 to Mar 28, 2024
- Employees · 14 to 13Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.3B to $1.5BMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.3B to $1.5BMar 28, 2023 to Mar 28, 2024
- RAUM · $2.3B to $1.5BMar 28, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8Mar 17, 2022 to Mar 28, 2023
- Employees · 15 to 14Mar 17, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.0B to $2.3BMar 17, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $2.0B to $2.3BMar 17, 2022 to Mar 28, 2023
- RAUM · $2.0B to $2.3BMar 17, 2022 to Mar 28, 2023
- Advisory employees · 9 to 7Mar 5, 2021 to Mar 17, 2022
- Employees · 16 to 15Mar 5, 2021 to Mar 17, 2022
- Private funds · 2 to 1Mar 5, 2021 to Mar 17, 2022
- Discretionary RAUM · $2.0B to $2.0BMar 5, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $2.0B to $2.0BMar 5, 2021 to Mar 17, 2022
- RAUM · $2.0B to $2.0BMar 5, 2021 to Mar 17, 2022
Signals
13 dated events
- A••••••• C•••••• ••••••• S••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $199.0M)Jun 1, 2026 · Left the SEC roster · derived
- A••••••• C•••••• ••••••• S••• reported RAUM $199.0M, down 78% from $904.1M (2025-10-27 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••••••• C•••••• ••••••• S••• reported RAUM $904.1M, down 39% from $1.5B (2024-08-12 to 2025-05-01)May 1, 2025 · RAUM change · derived
- Craig Glen Millar (Non-Executive Director) appeared on Schedule A of A••••••• C•••••• ••••••• S•••Aug 12, 2024 · Control person joined · fact
- Joseph Merhai (Non-Executive Director) appeared on Schedule A of A••••••• C•••••• ••••••• S•••Aug 12, 2024 · Control person joined · fact
- C••••• Petros (Chief Operating Officer) no longer on Schedule A of A••••••• C•••••• ••••••• S••• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- B••••• Scattolin (Chief Risk Officer) no longer on Schedule A of A••••••• C•••••• ••••••• S••• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- A••••••• C•••••• ••••••• S••• reported RAUM $1.5B, down 35% from $2.3B (2023-03-28 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Mohammad Zain Sharif (Chief Risk Officer) appeared on Schedule A of A••••••• C•••••• ••••••• S•••Mar 28, 2024 · Control person joined · fact
- D••••••••• D•••• (Chief Risk Officer) no longer on Schedule A of A••••••• C•••••• ••••••• S••• (listed 2022-03-17, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- C••••• Petros (Chief Operating Officer) appeared on Schedule A of A••••••• C•••••• ••••••• S•••Mar 28, 2023 · Control person joined · fact
- B••••• Scattolin (Chief Risk Officer) appeared on Schedule A of A••••••• C•••••• ••••••• S•••Mar 28, 2023 · Control person joined · fact
- A••••••• C•••••• ••••••• S••• filed its initial SEC registration (Form ADV)Mar 5, 2021 · 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