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••• B••••• G•••• ••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2021 · 8 filings
SEC status approved since Jul 30, 2021
RAUM
$219M
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$219M as of Mar 31, 2026
Mar 29, 2022$360M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20220 then
Employees (5.A)7 as of Mar 31, 2026
Mar 29, 20228 then
Private funds3 as of Mar 31, 2026
Mar 29, 20223 then
RAUM +30% over the last fiscal year+14% a year over threeIARs 0 to 0
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
- $73.0MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $219M, 3 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)
- 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)
- 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$219M100%
- 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
- $219M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• B••••• M••••••• M••••• F••• L••• | Hedge Fund | $226M | 31 | Mar 28, 2019 |
| A••• B••••• M••••••• I••••••••• F••• L•••••• | Hedge Fund | $107M | 21 | Jun 30, 2021 |
| A••• B••••• M••••••• U• F••• L••• | Hedge Fund | $2.0M | 9 | Jun 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••• S••••• P•••• T• · President & Portfolio Managercontrolsince 01/2023 · owns less than 5%
- B••••••••• M••••••• N••••• · Coo, Head Of Legal & Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- C•••• K••••• W•••••• · Chief Financial Officercontrolsince 02/2023 · owns less than 5%
- Y•• F•• · Shareholder And Directorcontrolsince 06/2013 · owns 75% or more of A•• M••••••••• L••
Entity owners
- A•• M••••••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•• C•••••• P••••••• I• G•• L•••pooled vehicle sponsorn
- A•• I••••••••• C•••••• P••••••• I•• G•• L•••bankpooled vehicle sponsorn
- A•• M••••••••• L•••investment adviserpooled vehicle sponsory
- A•••••• G••••• L••• S•••••• C•••••• P••••••• G•• L•••bankpooled vehicle sponsorn
- A•••••• M••••••••• L••••••investment advisern
- A••• B••••• G•••• ••• L••••••investment advisern
- A••• B••••• G•••• ••• L••investment advisernRAUM $1.4B
- A••• B••••• G•••• F••••••• C•••••• P••••••• L•••pooled vehicle sponsorn
- A••• B••••• M••••••• G•••••• P•••••• L•••pooled vehicle sponsorn
- A••• B••••• M••••••• M••••••••• L•••investment advisern
- A••••• L••••••pooled vehicle sponsorn
- T••••• I••••••••• P••••••• I• G•• L•••pooled vehicle sponsorn
- T•• I••••••••• H••••••• L••••••investment advisern
Advisers that list A••• B••••• G•••• ••• L•• as a related person
- 315273 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $168M to $219MMar 31, 2025 to Mar 31, 2026
- Employees · 6 to 7Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $168M to $219MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $168M to $219MMar 31, 2025 to Mar 31, 2026
- RAUM · $168M to $219MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $226M to $168MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Other offices · 0 to 1Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $226M to $168MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $226M to $168MMar 28, 2024 to Mar 31, 2025
- RAUM · $226M to $168MMar 28, 2024 to Mar 31, 2025
- Advisory employees · 4 to 3Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $147M to $226MMar 31, 2023 to Mar 28, 2024
- Employees · 8 to 6Mar 31, 2023 to Mar 28, 2024
- Other offices · 1 to 0Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $147M to $226MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $147M to $226MMar 31, 2023 to Mar 28, 2024
- RAUM · $147M to $226MMar 31, 2023 to Mar 28, 2024
- Assets in custody · $360M to $147MFeb 15, 2023 to Mar 31, 2023
- Discretionary RAUM · $360M to $147MFeb 15, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $360M to $147MFeb 15, 2023 to Mar 31, 2023
- RAUM · $360M to $147MFeb 15, 2023 to Mar 31, 2023
- Assets in custody · $483M to $360MJun 30, 2021 to Mar 29, 2022
- Other offices · 0 to 1Jun 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $483M to $360MJun 30, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $483M to $360MJun 30, 2021 to Mar 29, 2022
- RAUM · $483M to $360MJun 30, 2021 to Mar 29, 2022
Signals
9 dated events
- A••• B••••• G•••• ••• L•• reported RAUM $146.7M, down 59% from $360.0M (2023-02-15 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- John Daniel Johnson (Chief Financial Officer) no longer on Schedule A of A••• B••••• G•••• ••• L•• (listed 2022-07-27, absent 2023-02-15)Feb 15, 2023 · Control person left · inference
- T Slanix Paul Alex (Portfolio Manager) appeared on Schedule A of A••• B••••• G•••• ••• L••Feb 15, 2023 · Control person joined · fact
- William Kevin Corb (Chief Financial Officer) appeared on Schedule A of A••• B••••• G•••• ••• L••Feb 15, 2023 · Control person joined · fact
- Efthymios Simos Simeonidis (President And Portfolio Manager) no longer on Schedule A of A••• B••••• G•••• ••• L•• (listed 2022-07-27, absent 2023-02-15)Feb 15, 2023 · Control person left · inference
- Efthymios Simos Simeonidis (President And Portfolio Manager) appeared on Schedule A of A••• B••••• G•••• ••• L••Jul 27, 2022 · Control person joined · fact
- Cosslett Anna Yaeger (Portfolio Manager And President) no longer on Schedule A of A••• B••••• G•••• ••• L•• (listed 2022-03-29, absent 2022-07-27)Jul 27, 2022 · Control person left · inference
- A••• B••••• G•••• ••• L•• reported RAUM $360.0M, down 26% from $483.3M (2021-06-30 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A••• B••••• G•••• ••• L•• filed its initial SEC registration (Form ADV)Jun 30, 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.
How to reach
public business contact points only, each with its source
- Website
- A•••-B•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-829-9373reportedpublic record, Form ADV, Mar 31, 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