DFX Intelligence
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Former SEC-registered adviser
A•••••••• A•••• C•••••• P••••••• L•
Latest filing Mar 17, 2025
First filing on the tape Mar 29, 2019 · 10 filings
SEC status approved since Apr 29, 2019
RAUM
$521M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$521M as of Mar 17, 2025
Mar 30, 2020$528M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2025
Mar 30, 20200 then
Employees (5.A)6 as of Mar 17, 2025
Mar 30, 20204 then
Private funds2 as of Mar 17, 2025
Mar 30, 20201 then
RAUM -4.0% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2025; 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
- $130MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%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
- -4.0%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-basedreportedItem 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$492M94%
- Charitable organizations$29.7M5.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• A•••• C•••••• L• | Hedge Fund | $370M | 49 | Jun 29, 2018 |
| A•••••••• A•••• E••••••• L••• L• | Hedge Fund | $132M | 27 | Mar 23, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••••• P•• · Chairman; Limited Partnercontrolsince 06/2018 · owns 10% to 25%
- M••••••• R•••• S••••••••• · Managing Partner; Limited Partnercontrolsince 06/2018 · owns 50% to 75%
- W••••• J•••••• G••••• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- M••••••• R•••• S••••••••• · Managercontrolsince 06/2018 · owns 75% or more of A•••••••• A•••• C•••••• P••••••• L••
Entity owners
- A•••••••• A•••• C•••••• P••••••• L•• · General Partnerdirect · owns less than 5%
- B•••••• 2••• E••••• F••••• T•••• · Limited Partnerdirect · owns 10% to 25%
- F•••• R••••••• T•••• C•••••• O• D•••••••• L•• · Trusteeindirect · owns F of B•••••• 2••• E••••• F••••• T••••
Related persons
Schedule D 7.A
- A•••••••• A•••• C•••••• G• L••bankpooled vehicle sponsorn
Advisers that list A•••••••• A•••• C•••••• P••••••• L• as a related person
- 154779 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 7 to 6Mar 25, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 17, 2025
- Discretionary RAUM · $543M to $521MMar 25, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $502M to $492MMar 25, 2024 to Mar 17, 2025
- RAUM · $543M to $521MMar 25, 2024 to Mar 17, 2025
- Advisory employees · 7 to 5Mar 28, 2023 to Mar 25, 2024
- Employees · 8 to 7Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $493M to $543MMar 28, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $460M to $502MMar 28, 2023 to Mar 25, 2024
- RAUM · $493M to $543MMar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $742M to $493MMar 31, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $699M to $460MMar 31, 2022 to Mar 28, 2023
- RAUM · $742M to $493MMar 31, 2022 to Mar 28, 2023
- Accounts · 1 to 4Aug 2, 2021 to Mar 23, 2022
- Advisory employees · 5 to 7Aug 2, 2021 to Mar 23, 2022
- Advisory activities · 1 to 2Aug 2, 2021 to Mar 23, 2022
- Charity clients · unset to 1.0Aug 2, 2021 to Mar 23, 2022
- Pooled vehicle clients · 1 to 3Aug 2, 2021 to Mar 23, 2022
- Employees · 6 to 8Aug 2, 2021 to Mar 23, 2022
- Private funds · 1 to 2Aug 2, 2021 to Mar 23, 2022
- Discretionary RAUM · $537M to $742MAug 2, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $537M to $699MAug 2, 2021 to Mar 23, 2022
- RAUM · $537M to $742MAug 2, 2021 to Mar 23, 2022
- Advisory employees · 2 to 5Mar 30, 2020 to Mar 26, 2021
- Employees · 4 to 6Mar 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $528M to $537MMar 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $528M to $537MMar 30, 2020 to Mar 26, 2021
- RAUM · $528M to $537MMar 30, 2020 to Mar 26, 2021
- Employees · 2 to 4May 24, 2019 to Mar 30, 2020
- Discretionary RAUM · $196M to $528MMay 24, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $196M to $528MMay 24, 2019 to Mar 30, 2020
- RAUM · $196M to $528MMay 24, 2019 to Mar 30, 2020
- Related adviser · true to falseMay 24, 2019 to Mar 30, 2020
- Private funds · 2 to 1Mar 29, 2019 to May 24, 2019
Signals
6 dated events
- ••• LockedFeb 2, 2026 · Left the SEC roster · derived
- ••• LockedMar 28, 2023 · RAUM change · derived
- ••• LockedMar 23, 2022 · RAUM change · derived
- ••• LockedAug 2, 2021 · Control person joined · fact
- ••• LockedMar 30, 2020 · RAUM change · derived
- ••• LockedMar 29, 2019 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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