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•••••• C•••••• P••••••• I•• L•••••
Latest filing Mar 31, 2026
First filing on the tape Aug 24, 2018 · 10 filings
SEC status approved since Sep 24, 2018
RAUM
$528M
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
17
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$528M as of Mar 31, 2026
Mar 29, 2019$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)17 as of Mar 31, 2026
Mar 29, 201912 then
Private funds2 as of Mar 31, 2026
Mar 29, 20192 then
RAUM +0.0% over the last fiscal year+0.0% 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
- $176MderivedRAUM 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
- +0.0%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$528M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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•••••• C•••••• P••••••• ••••••• F••• I•• L••• | Private Equity Fund | $428M | 210 | Aug 24, 2018 |
| A•••••• C•••••• P••••••• I• L••• | Private Equity Fund | $100M | 172 | Mar 31, 2017 |
| A•••••• C•••••• P••••••• ••••••••• F••• I•• L•••no longer reported | Private Equity Fund | $70.0M | 11 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• C••••••• P••••• · Chief Compliance Officer & Management Committee Membercontrolsince 08/2018 · owns less than 5%
- R•••• C••••••••• R•••• · Management Committee Membercontrolsince 08/2018 · owns less than 5%
- A••••••••• D••••••• S• · Co-Chief Financial Officersince 08/2018 · owns less than 5%
- B••••• M•••• · Senior Compliance Officersince 08/2018 · owns less than 5%
- K•••••• C••••••••• A••• · Investment Committee Membersince 08/2018 · owns less than 5%
- K••••••••• V••••••• E•••• · Co-Chief Financial Officersince 09/2023 · owns less than 5%
- L•••••••• R•••••• M••••• · Investment Committee Membersince 08/2018 · owns less than 5%
- M•••••• K••••••• D•••• · Membersince 01/2019 · owns 75% or more of M•• M•••••• L••
- M•••••• K••••••• D•••• · Membersince 06/2007 · owns 25% to 50% of M••••• A•••• M••••••••• L•
Entity owners
- E••••• C•••••• L•• · Joint Venture Partnerdirect · owns 50% to 75%
- M••••• A•••• M••••••••• L• · Joint Venture Partnerdirect · owns 50% to 75%
- A••••••••• M••••••• G••••• I••• · M•••••• And Member Of A•• W• L• H•••••••• L••indirect · owns 75% or more of A•• W••••• P•••••••• L• · public reporting company
- A•• W••••• P•••••••• L• · M•••••• And Sole Member Of S•••• A••••••••• L•• L••indirect · owns 75% or more of S•••• A••••••••• L•• L••
- A•• W• L• H•••••••• L•• · Limited Partner Of A•• W••••• P•••••••• L•indirect · owns 75% or more of A•• W••••• P•••••••• L•
- S•••• A••••••••• L•• L•• · Limited Partnerindirect · owns 25% to 50% of E••••• C•••••• L••
- M•• M•••••• L•• · G•••••• Partnerindirect · owns F of M••••• A•••• M••••••••• L•
Related persons
Schedule D 7.A
- A•••••• C•••••• P••••••• G•• L•••••pooled vehicle sponsorn
- A•••••• C•••••• P••••••• I• G•• L•••••pooled vehicle sponsorn
- C•••••••• V•••••• P••••••• L••investment advisern
- F••••••• F•••••••• P••••••• L••investment advisernRAUM $4.1B
- M••••• A•••• C••••••• P•••••••investment advisernRAUM $288M
- M••••• C•••••• P••••••• L••investment advisernRAUM $147M
- S••••• C•••• I••••••••• M••••••••• L••investment advisernRAUM $1.7B
Advisers that list A•••••• C•••••• P••••••• I•• L••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Employees · 15 to 17Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Mar 31, 2022 to Mar 30, 2023
- Assets in custody · unset to 0.0Mar 31, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMar 31, 2022 to Mar 30, 2023
- Employees · 14 to 15Mar 31, 2022 to Mar 30, 2023
- Employees · 13 to 14Mar 31, 2021 to Mar 31, 2022
- Private funds · 3 to 2Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $421M to $528MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $421M to $528MMar 31, 2021 to Mar 31, 2022
- RAUM · $421M to $528MMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $401M to $421MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $401M to $421MMar 30, 2020 to Mar 31, 2021
- RAUM · $401M to $421MMar 30, 2020 to Mar 31, 2021
- Accounts · 2 to 3Mar 29, 2019 to Mar 30, 2020
- Advisory employees · 6 to 7Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 2 to 3Mar 29, 2019 to Mar 30, 2020
- Employees · 12 to 13Mar 29, 2019 to Mar 30, 2020
- Private funds · 2 to 3Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $282M to $401MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $282M to $401MMar 29, 2019 to Mar 30, 2020
- RAUM · $282M to $401MMar 29, 2019 to Mar 30, 2020
- Advisory employees · 7 to 6Jan 2, 2019 to Mar 29, 2019
- Employees · 13 to 12Jan 2, 2019 to Mar 29, 2019
- Discretionary RAUM · $282M to $282MJan 2, 2019 to Mar 29, 2019
- Pooled vehicle RAUM · $282M to $282MJan 2, 2019 to Mar 29, 2019
- RAUM · $282M to $282MJan 2, 2019 to Mar 29, 2019
Signals
3 dated events
- A•••••• C•••••• P••••••• I•• L••••• reported RAUM $527.8M, up 25% from $421.1M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A•••••• C•••••• P••••••• I•• L••••• reported RAUM $400.9M, up 42% from $282.3M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- A•••••• C•••••• P••••••• I•• L••••• filed its initial SEC registration (Form ADV)Aug 24, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••• C•••••• P••••••• I•• L••••• · Independent Sponsorsshared crd · capital_provider
- A•••••• C•••••• P••••••• I•• L••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-640-9551reportedpublic 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