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 adviserLondon, CRD 292393SEC 801-112708IAPD
Legal name A•• C•••••• M••••••••• L••
Latest filing Jun 29, 2020
First filing on the tape Feb 26, 2018 · 6 filings
RAUM
$438M
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
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$316M gross assets
History
6 filings and snapshots on the tape
RAUM$438M as of Jun 29, 2020
Jun 26, 2019$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2020
Jun 26, 20190 then
Employees (5.A)15 as of Jun 29, 2020
Jun 26, 201914 then
Private funds2 as of Jun 29, 2020
Jun 26, 20192 then
RAUM -86% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2020; 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
$54.8MderivedRAUM 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
-86%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$361M82%
  • Corporations and businesses$45.9M10%
  • Other investment advisers$31.6M7.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• S••••••••• M•••• M••••• F••• L••••••Hedge Fund$185M13Feb 26, 2018
      A•• S••••••••• M•••• E•••• F•••Hedge Fund$131M1Jun 26, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• H••••• A•••• · Designated Membercontrol
        since 01/2011 · owns less than 5%
      • B•••••• V••••••• N•• · Chief Investment Officer, Portfolio Managercontrol
        since 04/2019 · owns less than 5%
      • T••• L•••••• C••• Y• · Chief Compliance Officercontrol
        since 07/2019 · owns less than 5%
      • G••• A•••••• M••• · Directorcontrol
        since 12/2016 · owns 25% to 50% of A•• C•••••••• L••••••
      • G••• D••••••• M••••• · Directorcontrol
        since 12/2016 · owns 25% to 50% of A•• C•••••••• L••••••
      • W••••• J•••••• R•••• · Directorcontrol
        since 12/2016 · owns F of A•• C•••••••• L••••••
      Entity owners
      • A•• C•••••••• L•••••• · Designated Member
        direct · owns 75% or more
      • A•• H••••••• L•• · Designated Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•• F•••••••• P••••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 25 to 8
        Nov 8, 2019 to Jun 29, 2020
      • Advisory employees · 3 to 9
        Nov 8, 2019 to Jun 29, 2020
      • Advisory activities · 3 to 2
        Nov 8, 2019 to Jun 29, 2020
      • Corporate clients · 15.0 to unset
        Nov 8, 2019 to Jun 29, 2020
      • Employees · 14 to 15
        Nov 8, 2019 to Jun 29, 2020
      • Discretionary RAUM · $3.2B to $438M
        Nov 8, 2019 to Jun 29, 2020
      • Pooled vehicle RAUM · $1.0B to $361M
        Nov 8, 2019 to Jun 29, 2020
      • RAUM · $3.2B to $438M
        Nov 8, 2019 to Jun 29, 2020
      • Accounts · 16 to 25
        Nov 2, 2018 to Jun 26, 2019
      • Advisory employees · 6 to 3
        Nov 2, 2018 to Jun 26, 2019
      • Advisory activities · 2 to 3
        Nov 2, 2018 to Jun 26, 2019
      • Corporate clients · unset to 15.0
        Nov 2, 2018 to Jun 26, 2019
      • Pooled vehicle clients · 53 to 5
        Nov 2, 2018 to Jun 26, 2019
      • Employees · 8 to 14
        Nov 2, 2018 to Jun 26, 2019
      • Other offices · 1 to 0
        Nov 2, 2018 to Jun 26, 2019
      • Private funds · 1 to 2
        Nov 2, 2018 to Jun 26, 2019
      • Discretionary RAUM · $938M to $3.2B
        Nov 2, 2018 to Jun 26, 2019
      • Pension RAUM · 30000000.0 to unset
        Nov 2, 2018 to Jun 26, 2019
      • Pooled vehicle RAUM · $316M to $1.0B
        Nov 2, 2018 to Jun 26, 2019
      • RAUM · $938M to $3.2B
        Nov 2, 2018 to Jun 26, 2019
      • Related bank · true to false
        Nov 2, 2018 to Jun 26, 2019
      • Related broker-dealer · false to true
        Nov 2, 2018 to Jun 26, 2019
      Signals
      6 dated events
      • A•• C•••••• M••••••••• L•• •••••••• reported RAUM $438.3M, down 86% from $3.2B (2019-11-08 to 2020-06-29)
        Jun 29, 2020 · RAUM change · derived
      • Chee Yi Lilian Tan (Chief Compliance Officer) appeared on Schedule A of A•• C•••••• M••••••••• L•• ••••••••
        Oct 7, 2019 · Control person joined · fact
      • Nmn V Bansal (Portfolio Manager) appeared on Schedule A of A•• C•••••• M••••••••• L•• ••••••••
        Oct 7, 2019 · Control person joined · fact
      • A••• W•••••• (Chief Compliance Officer, Partner) no longer on Schedule A of A•• C•••••• M••••••••• L•• •••••••• (listed 2019-06-26, absent 2019-10-07)
        Oct 7, 2019 · Control person left · inference
      • A•• C•••••• M••••••••• L•• •••••••• reported RAUM $3.2B, up 244% from $938.0M (2018-11-02 to 2019-06-26)
        Jun 26, 2019 · RAUM change · derived
      • A•• C•••••• M••••••••• L•• •••••••• filed its initial SEC registration (Form ADV)
        Feb 26, 2018 · 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