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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••• L••
Latest filing Mar 25, 2026
First filing on the tape Oct 24, 2017 · 23 filings
SEC status approved since Nov 24, 2017
RAUM
$6.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
31%
$2.0B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
8
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$6.4B as of Mar 25, 2026
Mar 1, 2018$0 then
HNW client RAUM$2.0B as of Mar 25, 2026
Mar 27, 2019$1.3B then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 1, 20183 then
Employees (5.A)13 as of Mar 25, 2026
Mar 1, 20185 then
Private funds8 as of Mar 25, 2026
Mar 27, 20198 then
RAUM +23% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $3.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $35.7MderivedHNW RAUM over HNW clients
- Average account
- $60.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $2.9B, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$3.1B49%
- High-net-worth individuals$2.0B30%
- Charitable organizations$1.3B21%
- Individuals$10.1M0.2%
- Individual clients
- 18reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 106reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9B for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.31 fund_share=0.49 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••• A•••••• | New York, Ny | Sep 8, 2021 | 43 y | 0 |
| T•••••• L•• T•••• | New York, Ny | Sep 8, 2021 | 24 y | 0 |
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
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• A••••••••• L• | Hedge Fund | $1.2B | 44 | Mar 30, 2012 |
| D•• A••••••••• L•• | Hedge Fund | $591M | 19 | Mar 30, 2012 |
| D••••• E•••• O••••••••• F••• L• | Other Private Fund | $528M | 46 | Mar 27, 2019 |
| D••••• E•••• P•••••• M••••• F••• L••• | Hedge Fund | $322M | 68 | Mar 30, 2012 |
| E••••••• P••••••• L• | Other Private Fund | $119M | 3 | Mar 27, 2019 |
| B•••• I••••••••• G•••• | Other Private Fund | $25.1M | 11 | Mar 27, 2019 |
| L••• A•••••• F••••• I••••••••• A••••••• | Other Private Fund | $20.7M | 2 | Mar 27, 2019 |
| A•••••• C•••••••• I••• | Other Private Fund | $2.4M | 4 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• P•••• · Managing Directorcontrolsince 10/2017 · owns less than 5%
- D••••••• C••••••• M•••••• · Managing Directorcontrolsince 10/2017 · owns less than 5%
- G••••••••• M•••• D•••• · General Counsel And Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- T••••• T••••••• L•• · Managing Directorcontrolsince 10/2017 · owns less than 5%
- A••••••• J•••• P•••• · Managing Membercontrolsince 07/2017 · owns 75% or more of A•••••• M••••••••• L••
Entity owners
- A•••••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• F•••• G• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 25, 2026RAUM per account of $60,779,172 against a peer median of $1,534,512 (282 comparable advisers, 98.0th percentile, 36.9 robust deviations)peers: independent wealth managers, $5B to $20B (282) · 98% percentile
What changed
consecutive filings, newest first
- Assets in custody · $2.4B to $2.9BAug 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $5.2B to $6.4BAug 27, 2025 to Mar 25, 2026
- HNW RAUM · $1.7B to $2.0BAug 27, 2025 to Mar 25, 2026
- Individual RAUM · $7.3M to $10.1MAug 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $2.6B to $3.1BAug 27, 2025 to Mar 25, 2026
- RAUM · $5.2B to $6.4BAug 27, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to Aug 27, 2025
- Accounts · 104 to 106Aug 21, 2024 to Mar 25, 2025
- Charity clients · 7 to 6Aug 21, 2024 to Mar 25, 2025
- Individual clients · 15 to 18Aug 21, 2024 to Mar 25, 2025
- Pooled vehicle clients · 13 to 12Aug 21, 2024 to Mar 25, 2025
- Assets in custody · $1.3B to $2.4BAug 21, 2024 to Mar 25, 2025
- Other offices · 1 to 2Aug 21, 2024 to Mar 25, 2025
- Discretionary RAUM · $4.8B to $5.2BAug 21, 2024 to Mar 25, 2025
- HNW RAUM · $1.5B to $1.7BAug 21, 2024 to Mar 25, 2025
- Individual RAUM · $6.3M to $7.3MAug 21, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $2.4B to $2.6BAug 21, 2024 to Mar 25, 2025
- RAUM · $4.8B to $5.2BAug 21, 2024 to Mar 25, 2025
- Accounts · 102 to 104Mar 27, 2023 to Mar 28, 2024
- Charity clients · 8 to 7Mar 27, 2023 to Mar 28, 2024
- HNW clients · 61 to 55Mar 27, 2023 to Mar 28, 2024
- Individual clients · 6 to 15Mar 27, 2023 to Mar 28, 2024
- Pooled vehicle clients · 12 to 13Mar 27, 2023 to Mar 28, 2024
- Assets in custody · $1.2B to $1.3BMar 27, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 2Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.6B to $4.8BMar 27, 2023 to Mar 28, 2024
- HNW RAUM · $1.5B to $1.5BMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $2.5M to $6.3MMar 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.2B to $2.4BMar 27, 2023 to Mar 28, 2024
- RAUM · $4.6B to $4.8BMar 27, 2023 to Mar 28, 2024
- Advisory employees · 9 to 8Aug 5, 2022 to Mar 27, 2023
- HNW clients · 59 to 61Aug 5, 2022 to Mar 27, 2023
- Assets in custody · $1.3B to $1.2BAug 5, 2022 to Mar 27, 2023
- Employees · 14 to 13Aug 5, 2022 to Mar 27, 2023
- Financial planning clients · unset to 0Aug 5, 2022 to Mar 27, 2023
- Discretionary RAUM · $5.2B to $4.6BAug 5, 2022 to Mar 27, 2023
- HNW RAUM · $1.6B to $1.5BAug 5, 2022 to Mar 27, 2023
- Individual RAUM · $2.0M to $2.5MAug 5, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $2.5B to $2.2BAug 5, 2022 to Mar 27, 2023
- RAUM · $5.2B to $4.6BAug 5, 2022 to Mar 27, 2023
Signals
2 dated events
- David Mark Goldstein (General Counsel And Chief Compliance Officer) appeared on Schedule A of A•••••• L••Aug 5, 2022 · Control person joined · fact
- A••••••• L• filed its initial SEC registration (Form ADV)Oct 24, 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.
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 651-3700reportedpublic 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026