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••••••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 15, 2018 · 19 filings
SEC status approved since Sep 17, 2018
RAUM
$6.1B
reported, Item 5.F
Discretionary
95%
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
78
34 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
9
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$6.1B as of Mar 30, 2026
Mar 28, 2019$682M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20190 then
Employees (5.A)78 as of Mar 30, 2026
Mar 28, 201924 then
Private funds9 as of Mar 30, 2026
Mar 30, 20231 then
RAUM +39% over the last fiscal year+9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $289MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$5.8B95%
- Corporations and businesses$298M4.9%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.95 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• D••••••• M••••• F•••• L• | Hedge Fund | $293M | 4 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• T•••••• J••••• · Chief Financial Officercontrolsince 02/2023 · owns less than 5%
- F••••••• B•••••••• J•••••• · General Counselcontrolsince 01/2023 · owns less than 5%
- K••••• P••••• S••••• · Chairman, Ceo, Managing Membercontrolsince 03/2018 · owns 25% to 50%
- M••••••••• R•••• S•••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- O•••••••• J••••• K•••••• · Presidentcontrolsince 11/2022 · owns less than 5%
- S••••••••• T•••••• D••••• · Chief Operating Officercontrolsince 11/2022 · owns less than 5%
Entity owners
- G••••••• A•••• C••• · Memberdirect · owns 50% to 75%
- A••••••••• G••••••• S•••• · Owner, G••••••• I••••••••• H••••••• S••indirect · owns 50% to 75% of G••••••• I••••••••• H••••••• S•• · public reporting company
- G••••••• I••••••••• H••••••• S•• · Owner, G••••••• A•••• C•••indirect · owns 75% or more of G••••••• A•••• C•••
Related persons
Schedule D 7.A
- A•••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $194M
- A••••••• D••••••• F••• G•• L••pooled vehicle sponsorn
- A••••••• E•••••••• E••••• F••• G•• L••pooled vehicle sponsorn
- A••••••• E••••••• C••••• O••••••••• F••• G•• L••pooled vehicle sponsorn
- A••••••• I••••••••• E••••• F••• G•• L••pooled vehicle sponsorn
- A••••••• I•••••••• U• L••investment advisery
- A••••••• V•••• C••••• F••• G•• L••pooled vehicle sponsorn
- A••••••••• G••••••• S•••••real estaten
- G••••••• I••••••••• L••••••••• S•••pooled vehicle sponsorn
- G••••••• I••••••••• P••••••• S•• S••••investment advisern
Advisers that list A••••••• I••••••••• L•• as a related person
- 322495 n
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom7 employees
- Paris, France
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): yes on the filing of 2026-02-25, no on the filing of 2026-03-30peers: asset managers, $5B to $20B (684)
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 9.0 (+200.0%) between the annual amendments of 2025-04-28 and 2026-03-30; the peer median change was +3.0% (487 comparable advisers, 100.0th percentile of changes)peers: asset managers, $5B to $20B (487) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 19 to 21Feb 25, 2026 to Mar 30, 2026
- Advisory employees · 23 to 34Feb 25, 2026 to Mar 30, 2026
- Pooled vehicle clients · 18 to 20Feb 25, 2026 to Mar 30, 2026
- Assets in custody · 300000.0 to unsetFeb 25, 2026 to Mar 30, 2026
- Custody of client assets · true to falseFeb 25, 2026 to Mar 30, 2026
- Employees · 63 to 78Feb 25, 2026 to Mar 30, 2026
- Discretionary RAUM · $4.1B to $5.8BFeb 25, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $300M to $298MFeb 25, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $4.1B to $5.8BFeb 25, 2026 to Mar 30, 2026
- RAUM · $4.4B to $6.1BFeb 25, 2026 to Mar 30, 2026
- Private funds · 3 to 9Dec 12, 2025 to Feb 25, 2026
- Financial planning clients · unset to Feb 14, 2025 to Apr 28, 2025
- Advisory employees · 25 to 23Apr 17, 2024 to Feb 14, 2025
- Advisory activities · 1 to 2Apr 17, 2024 to Feb 14, 2025
- Pooled vehicle clients · 19 to 18Apr 17, 2024 to Feb 14, 2025
- Assets in custody · $0 to $300,000Apr 17, 2024 to Feb 14, 2025
- Employees · 65 to 63Apr 17, 2024 to Feb 14, 2025
- Other offices · 2 to 3Apr 17, 2024 to Feb 14, 2025
- Private funds · 1 to 3Apr 17, 2024 to Feb 14, 2025
- Discretionary RAUM · $4.8B to $4.1BApr 17, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $0 to $300MApr 17, 2024 to Feb 14, 2025
- Pooled vehicle RAUM · $4.8B to $4.1BApr 17, 2024 to Feb 14, 2025
- RAUM · $4.8B to $4.4BApr 17, 2024 to Feb 14, 2025
- Accounts · 14 to 19Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 24 to 25Mar 30, 2023 to Mar 28, 2024
- Advisory activities · 2 to 1Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 2 to 0Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 19Mar 30, 2023 to Mar 28, 2024
- Employees · 60 to 65Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.6B to $4.8BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.1B to $4.8BMar 30, 2023 to Mar 28, 2024
- RAUM · $4.6B to $4.8BMar 30, 2023 to Mar 28, 2024
- Accounts · 10 to 14Nov 28, 2022 to Mar 30, 2023
- Advisory employees · 26 to 24Nov 28, 2022 to Mar 30, 2023
- BD registered reps · 3 to 2Nov 28, 2022 to Mar 30, 2023
- Assets in custody · unset to 0.0Nov 28, 2022 to Mar 30, 2023
- Custody of client assets · false to trueNov 28, 2022 to Mar 30, 2023
- Employees · 58 to 60Nov 28, 2022 to Mar 30, 2023
- Private funds · unset to 1Nov 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $4.4B to $4.6BNov 28, 2022 to Mar 30, 2023
Signals
16 dated events
- A••••••• I••••••••• L•• reported RAUM $6.1B, up 39% from $4.4B (2026-02-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Jeffrey Benjamin Freeman (General Counsel) appeared on Schedule A of A••••••• I••••••••• L••Mar 28, 2024 · Control person joined · fact
- German Benjamin Carroll (Chief Financial Officer) no longer on Schedule A of A••••••• I••••••••• L•• (listed 2022-11-28, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Joseph Thomas Curtin (Chief Financial Officer) appeared on Schedule A of A••••••• I••••••••• L••Mar 30, 2023 · Control person joined · fact
- Scott Ryan Macdonald (Chief Compliance Officer) appeared on Schedule A of A••••••• I••••••••• L••Nov 28, 2022 · Control person joined · fact
- A••••••• I••••••••• L•• reported RAUM $4.4B, up 29% from $3.4B (2021-03-29 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A••••••• I••••••••• L•• reported RAUM $3.4B, up 80% from $1.9B (2020-06-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- German Benjamin Carroll (Chief Financial Officer) appeared on Schedule A of A••••••• I••••••••• L••Mar 29, 2021 · Control person joined · fact
- Louis Matthew Siegel (Chief Marketing Officer) no longer on Schedule A of A••••••• I••••••••• L•• (listed 2020-06-26, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Darryl Thomas Spadaccini (Chief Compliance Officer) appeared on Schedule A of A••••••• I••••••••• L••Jun 26, 2020 · Control person joined · fact
- A••••••• I••••••••• L•• reported RAUM $1.9B, up 81% from $1.1B (2019-07-08 to 2020-03-16)Mar 16, 2020 · RAUM change · derived
- Mary Kathleen Olin (Chief Compliance Officer) no longer on Schedule A of A••••••• I••••••••• L•• (listed 2019-07-08, absent 2020-03-16)Mar 16, 2020 · Control person left · inference
- A••••••• I••••••••• L•• reported RAUM $1.1B, up 55% from $682.2M (2019-03-31 to 2019-07-08)Jul 8, 2019 · RAUM change · derived
- A••••••• I••••••••• L•• reported RAUM $682.2M, up 178% from $245.0M (2019-01-16 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Mary Kathleen Olin (Chief Compliance Officer) appeared on Schedule A of A••••••• I••••••••• L••Mar 28, 2019 · Control person joined · fact
- A••••••• I•••••••• G•• L•• filed its initial SEC registration (Form ADV)Aug 15, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/aperture-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-521-5180reportedpublic record, Form ADV, Mar 30, 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