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••••••• H••••••• M••••••••• L••
Latest filing May 12, 2026
First filing on the tape Sep 28, 2020 · 15 filings
SEC status approved since Oct 29, 2020
RAUM
$1.8B
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
64
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.8B as of May 12, 2026
Mar 31, 2021$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 12, 2026
Mar 31, 20210 then
Employees (5.A)64 as of May 12, 2026
Mar 31, 20219 then
Private funds5 as of May 12, 2026
Mar 31, 20213 then
RAUM +4.4% over the last fiscal year+31% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 12, 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
- $356MderivedRAUM 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
- +4.4%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
- $1.8B, 5 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 5 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=false 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• H••••••• I• L••• | Private Equity Fund | $561M | 7 | Mar 31, 2023 |
| A••••••• H••••••• I•• L••• | Private Equity Fund | $281M | 18 | Mar 25, 2020 |
| A••••••• H••••••• I• L••• | Private Equity Fund | $169M | 18 | Jun 7, 2018 |
| A••••••• H••••••• I• L••• | Private Equity Fund | $7.0M | 3 | Mar 25, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• B•••••••• A•••••••• · Chief Compliance Officer, Chief Legal Officercontrolsince 06/2020 · owns less than 5%
- S••••• R••••••••• · Chief Executive Officer, Chief Investment Officercontrolsince 05/2017 · owns less than 5%
Entity owners
- T•• T••••• T••••• T••••••• T•• K•••••••• C••••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• H••••••• I• G• L••pooled vehicle sponsorn
- A••••••• H••••••• I• G• L••pooled vehicle sponsorn
- A••••••• H••••••• I•• G• L••pooled vehicle sponsorn
- A••••••• H••••••• I••••••••• M••••••••• L••investment advisernRAUM $27B
- A••••••• H••••••• I• G• L••pooled vehicle sponsorn
- H••••• L••• • A•••••• C••••••real estaten
- I•••••••• H••••••• L••• I•••••••• C••••••real estaten
- S••••••• R••••••••• L•••real estaten
- T•• K•••••••• C•••••••••n
Advisers that list A••••••• H••••••• M••••••••• L•• as a related person
- 292769 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 38.0 to 64.0 (+68.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (1109 comparable advisers, 99.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 99% percentile
What changed
consecutive filings, newest first
- Other offices · 1 to 0Mar 30, 2026 to May 12, 2026
- Assets in custody · $1.7B to $1.8BDec 18, 2025 to Mar 30, 2026
- Employees · 38 to 64Dec 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $1.8BDec 18, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.7B to $1.8BDec 18, 2025 to Mar 30, 2026
- RAUM · $1.7B to $1.8BDec 18, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 8, 2025
- Accounts · 4 to 5Jan 30, 2025 to Mar 31, 2025
- Advisory employees · 30 to 17Jan 30, 2025 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Jan 30, 2025 to Mar 31, 2025
- Assets in custody · $1.0B to $1.7BJan 30, 2025 to Mar 31, 2025
- Employees · 30 to 38Jan 30, 2025 to Mar 31, 2025
- Other offices · 0 to 1Jan 30, 2025 to Mar 31, 2025
- Private funds · 4 to 5Jan 30, 2025 to Mar 31, 2025
- Discretionary RAUM · $1.0B to $1.7BJan 30, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $1.0B to $1.7BJan 30, 2025 to Mar 31, 2025
- RAUM · $1.0B to $1.7BJan 30, 2025 to Mar 31, 2025
- Advisory employees · 21 to 30May 2, 2023 to Mar 29, 2024
- Assets in custody · $796M to $1.0BMay 2, 2023 to Mar 29, 2024
- Employees · 21 to 30May 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $1.0BMay 2, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.0BMay 2, 2023 to Mar 29, 2024
- RAUM · $1.4B to $1.0BMay 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $796M to $1.4BMar 31, 2023 to May 2, 2023
- Pooled vehicle RAUM · $796M to $1.4BMar 31, 2023 to May 2, 2023
- RAUM · $796M to $1.4BMar 31, 2023 to May 2, 2023
- Accounts · 3 to 4May 18, 2022 to Mar 31, 2023
- Advisory employees · 15 to 21May 18, 2022 to Mar 31, 2023
- Pooled vehicle clients · 3 to 4May 18, 2022 to Mar 31, 2023
- Assets in custody · $448M to $796MMay 18, 2022 to Mar 31, 2023
- Employees · 15 to 21May 18, 2022 to Mar 31, 2023
- Private funds · 3 to 4May 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $448M to $796MMay 18, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $448M to $796MMay 18, 2022 to Mar 31, 2023
- RAUM · $448M to $796MMay 18, 2022 to Mar 31, 2023
- Advisory employees · 9 to 15Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $239M to $448MMar 31, 2021 to Mar 31, 2022
- Employees · 9 to 15Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $239M to $448MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $239M to $448MMar 31, 2021 to Mar 31, 2022
Signals
6 dated events
- A••••••• H••••••• M••••••••• L•• reported RAUM $1.7B, up 68% from $1.0B (2025-01-30 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A••••••• H••••••• M••••••••• L•• reported RAUM $1.0B, down 27% from $1.4B (2023-05-02 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- A••••••• H••••••• M••••••••• L•• reported RAUM $1.4B, up 76% from $796.0M (2023-03-31 to 2023-05-02)May 2, 2023 · RAUM change · derived
- A••••••• H••••••• M••••••••• L•• reported RAUM $796.0M, up 78% from $448.4M (2022-05-18 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A••••••• H••••••• M••••••••• L•• reported RAUM $448.4M, up 88% from $238.6M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A••••••• H••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 28, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• H••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••••• H••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••••LP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-720-1000reportedpublic record, Form ADV, May 12, 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