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•••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 295267SEC 801-113007IAPD
Latest filing Apr 13, 2020
First filing on the tape Mar 28, 2018 · 8 filings
RAUM
$383M
reported, Item 5.F
Discretionary
13%
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$48.4M gross assets
History
8 filings and snapshots on the tape
RAUM$383M as of Mar 30, 2020
Mar 26, 2019$379M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 26, 20190 then
Employees (5.A)3 as of Mar 30, 2020
Mar 26, 20194 then
Private funds: 3
RAUM +1.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 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
$34.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
13%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
+1.0%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$48.4M, 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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$383M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$48.4M for 3 clientsreported
Compensation
% of AUM, fixed, 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• S•••• L••Other Private Fund$3.0M27Jun 27, 2024
      A•• T•••• L••Venture Capital Fund$1.6M37Mar 30, 2020
      A•• S•• L••Private Equity Fund$895,00010Mar 21, 2022
      A•• F••• L••Private Equity Fund$857,2989Mar 10, 2021
      A•• T•• L••Venture Capital Fund$061Mar 30, 2020
      A•• F••• L••Venture Capital Fund$063Mar 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• L••• D•••• · Managing Partnercontrol
        since 03/2018 · owns 25% to 50%
      • G••••• C••••••••• B••••••• · Partner, Cfo, Coo & Ccocontrol
        since 03/2018 · owns 10% to 25%
      • L•••••••• J••••••• R••••• · Managing Partnercontrol
        since 03/2018 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 11
        Mar 26, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 3
        Mar 26, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 9 to 11
        Mar 26, 2019 to Mar 30, 2020
      • Assets in custody · unset to 48355489.0
        Mar 26, 2019 to Mar 30, 2020
      • Custody of client assets · false to true
        Mar 26, 2019 to Mar 30, 2020
      • Employees · 4 to 3
        Mar 26, 2019 to Mar 30, 2020
      • Private funds · unset to 3
        Mar 26, 2019 to Mar 30, 2020
      • Discretionary RAUM · $0 to $48.4M
        Mar 26, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $379M to $335M
        Mar 26, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $379M to $383M
        Mar 26, 2019 to Mar 30, 2020
      • RAUM · $379M to $383M
        Mar 26, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $320M to $379M
        Aug 1, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $320M to $379M
        Aug 1, 2018 to Mar 26, 2019
      • RAUM · $320M to $379M
        Aug 1, 2018 to Mar 26, 2019
      • Accounts · 0 to 9
        Apr 23, 2018 to Aug 1, 2018
      • Pooled vehicle clients · 0 to 9
        Apr 23, 2018 to Aug 1, 2018
      • Financial planning clients · 0 to unset
        Apr 23, 2018 to Aug 1, 2018
      • Non-discretionary RAUM · $0 to $320M
        Apr 23, 2018 to Aug 1, 2018
      • Pooled vehicle RAUM · unset to 320130442.0
        Apr 23, 2018 to Aug 1, 2018
      • RAUM · $0 to $320M
        Apr 23, 2018 to Aug 1, 2018
      Signals
      2 dated events
      • Theodore Andrew Holt (Partner) no longer on Schedule A of A•••••• P••••••• L•• (listed 2019-03-26, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • A•••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 28, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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