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 adviserNew York, New YorkCRD 292631SEC 801-114945IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 6, 2019 · 4 filings
RAUM
$74.7M
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$74.7M as of Mar 31, 2021
Mar 9, 2020$267M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 9, 20200 then
Employees (5.A)7 as of Mar 31, 2021
Mar 9, 20207 then
Private funds: no history
RAUM -72% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$74.7MderivedRAUM 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
-72%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$74.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• M•••••• N•• · Chief Executive Officercontrol
        since 12/2017 · owns less than 5%
      • M••••• M••••••• J••• · Membercontrol
        since 07/2017 · owns 50% to 75% of A•••••• H••••••• L••
      • S••••••••• M•••••• N•• · Membercontrol
        since 07/2017 · owns 75% or more of A•• V•••••• M••••••••• L••
      • W•••••••• M•••••• C•••••• · Chief Compliance Officer
        since 02/2019 · owns less than 5%
      Entity owners
      • A•••••• H••••••• L•• · Parent
        direct · owns 75% or more
      • A•• V•••••• M••••••••• L•• · Member
        indirect · owns 25% to 50% of A•••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $267M to $74.7M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $267M to $74.7M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $267M to $74.7M
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 4
        Mar 6, 2019 to Mar 9, 2020
      • BD registered reps · 2 to 4
        Mar 6, 2019 to Mar 9, 2020
      • Employees · 4 to 7
        Mar 6, 2019 to Mar 9, 2020
      • Discretionary RAUM · $186M to $267M
        Mar 6, 2019 to Mar 9, 2020
      • Pooled vehicle RAUM · $186M to $267M
        Mar 6, 2019 to Mar 9, 2020
      • RAUM · $186M to $267M
        Mar 6, 2019 to Mar 9, 2020
      • Related adviser · false to true
        Mar 6, 2019 to Mar 9, 2020
      Signals
      2 dated events
      • A•••••• C•••••• M••••••••• L•• reported RAUM $74.7M, down 72% from $267.0M (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • A•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 6, 2019 · 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