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••••••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Oct 1, 2018 · 15 filings
SEC status approved since Nov 2, 2018
RAUM
$110M
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$110M as of Mar 27, 2026
Feb 21, 2019$210M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 21, 20190 then
Employees (5.A)9 as of Mar 27, 2026
Feb 21, 20194 then
Private funds1 as of Mar 27, 2026
Mar 7, 20221 then
RAUM -30% over the last fiscal year-51% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $22.1MderivedRAUM 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
- -30%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
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $5.5M, 1 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$110M100%
- 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
- $5.5M for 1 clientsreported
- Compensation
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• S•••••••• P•••••• F•••• L• | Other Private Fund | $3.9M | 9 | Mar 7, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Z••• J•••• · Managing Partnercontrolsince 03/2018 · owns 75% or more
- Z••• J•••• · Managing Membercontrolsince 03/2018 · owns 75% or more of P••••••••• I••••••••• L••
- C••• Z•••••• · Chief Compliance Officersince 03/2020 · owns less than 5%
Entity owners
- P••••••••• I••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•••• G•• L••pooled vehicle sponsorn
- P••••••••• I••••••••• L••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $158,501,299 to $110,308,344 (-30.0%) between the annual amendments of 2025-03-14 and 2026-03-27; the peer median change was +4.0% (1147 comparable advisers, 8.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 8.1% percentile
Data quality: the 2026-06-30 holdings report shows $365,751,705 across 517 positions while Form ADV reports RAUM of $110,308,344 (3.3x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Assets in custody · $4.9M to $5.5MMar 14, 2025 to Mar 27, 2026
- Employees · 8 to 9Mar 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $159M to $110MMar 14, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $159M to $110MMar 14, 2025 to Mar 27, 2026
- RAUM · $159M to $110MMar 14, 2025 to Mar 27, 2026
- Assets in custody · $3.9M to $4.9MMar 13, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 14, 2025
- Discretionary RAUM · $174M to $159MMar 13, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $174M to $159MMar 13, 2024 to Mar 14, 2025
- RAUM · $174M to $159MMar 13, 2024 to Mar 14, 2025
- Assets in custody · $4.0M to $3.9MDec 19, 2023 to Mar 13, 2024
- Discretionary RAUM · $958M to $174MDec 19, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $958M to $174MDec 19, 2023 to Mar 13, 2024
- RAUM · $958M to $174MDec 19, 2023 to Mar 13, 2024
- Advisory employees · 6 to 7Jun 29, 2022 to Feb 22, 2023
- Assets in custody · $4.3M to $4.0MJun 29, 2022 to Feb 22, 2023
- Employees · 9 to 8Jun 29, 2022 to Feb 22, 2023
- Discretionary RAUM · $678M to $958MJun 29, 2022 to Feb 22, 2023
- Pooled vehicle RAUM · $678M to $958MJun 29, 2022 to Feb 22, 2023
- RAUM · $678M to $958MJun 29, 2022 to Feb 22, 2023
- Advisory employees · 9 to 6Mar 4, 2021 to Mar 7, 2022
- Assets in custody · $4.1M to $4.3MMar 4, 2021 to Mar 7, 2022
- Private funds · unset to 1Mar 4, 2021 to Mar 7, 2022
- Discretionary RAUM · $889M to $678MMar 4, 2021 to Mar 7, 2022
- Pooled vehicle RAUM · $889M to $678MMar 4, 2021 to Mar 7, 2022
- RAUM · $889M to $678MMar 4, 2021 to Mar 7, 2022
- Accounts · 3 to 5Mar 30, 2020 to Mar 4, 2021
- Pooled vehicle clients · 3 to 5Mar 30, 2020 to Mar 4, 2021
- Assets in custody · $0 to $4.1MMar 30, 2020 to Mar 4, 2021
- Custody of client assets · false to trueMar 30, 2020 to Mar 4, 2021
- Discretionary RAUM · $607M to $889MMar 30, 2020 to Mar 4, 2021
- Pooled vehicle RAUM · $607M to $889MMar 30, 2020 to Mar 4, 2021
- RAUM · $607M to $889MMar 30, 2020 to Mar 4, 2021
- Accounts · 2 to 3Oct 22, 2019 to Feb 18, 2020
- Advisory employees · 4 to 9Oct 22, 2019 to Feb 18, 2020
- Business name · A•••• I••••••••• M••••••••• L• to A•••• I••••••••• M••••••••• L•Oct 22, 2019 to Feb 18, 2020
- Pooled vehicle clients · 2 to 3Oct 22, 2019 to Feb 18, 2020
- Employees · 4 to 9Oct 22, 2019 to Feb 18, 2020
- Legal name · A•••• I••••••••• M••••••••• L• to A•••• I••••••••• M••••••••• L•Oct 22, 2019 to Feb 18, 2020
- Discretionary RAUM · $210M to $607MOct 22, 2019 to Feb 18, 2020
Signals
5 dated events
- A•••• I••••••••• M••••••••• L• reported RAUM $174.4M, down 82% from $957.9M (2023-12-19 to 2024-03-13)Mar 13, 2024 · RAUM change · derived
- A•••• I••••••••• M••••••••• L• reported RAUM $957.9M, up 41% from $678.3M (2022-06-29 to 2023-02-22)Feb 22, 2023 · RAUM change · derived
- A•••• I••••••••• M••••••••• L• reported RAUM $889.3M, up 47% from $606.8M (2020-03-30 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- A•••• I••••••••• M••••••••• L• reported RAUM $606.8M, up 188% from $210.4M (2019-10-22 to 2020-02-18)Feb 18, 2020 · RAUM change · derived
- A•••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Oct 1, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• I••••••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- aigen-im.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917 210 0860reportedpublic record, Form ADV, Mar 27, 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