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••••• L••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Aug 9, 2018 · 14 filings
SEC status approved since Jan 1, 2018
RAUM
$7.3B
reported, Item 5.F
Discretionary
99%
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
30
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$7.3B as of Mar 31, 2026
Mar 25, 2019$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 25, 20190 then
Employees (5.A)30 as of Mar 31, 2026
Mar 25, 201915 then
Private funds5 as of Mar 31, 2026
Mar 25, 20192 then
RAUM -2.4% over the last fiscal year+15% 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
- $486MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- -2.4%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 pooled vehicles, otherreportedItem 5.G
- Custody
- $7.2B, 14 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.2B for 14 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• L••• C••••• O••••••••• F••• I••• L••• | Private Equity Fund | $2.6B | 97 | Mar 31, 2022 |
| A••••• L••• C••••• O••••••••• F••• I•• L••• | Private Equity Fund | $2.3B | 50 | Aug 9, 2018 |
| A••••• L••• • T•• L••• | Hedge Fund | $438M | 2 | Mar 25, 2019 |
| A••••• L••• • H•••••••• L•• | Hedge Fund | $249M | 2 | Mar 30, 2023 |
| A••••• L••• O•••• F•••• L••• | Hedge Fund | $70.0M | 2 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- F••••• R•••••• J••••• · Partner, Manager And Chief Investment Officercontrolsince 01/2018 · owns 25% to 50%
- G•••••••• D••• L•••• · Partner And Managercontrolsince 01/2018 · owns 10% to 25%
- H••••••• K••••••• D•••••• · Partner, Manager, Director Of Research And Strategycontrolsince 01/2018 · owns 10% to 25%
- F••••• R•••••• J••••• · Membercontrolsince 01/2018 · owns 25% to 50% of A••• G•• L••
- G•••••••• D••• L•••• · Membercontrolsince 01/2018 · owns 25% to 50% of A••• G•• L••
- H••••••• K••••••• D•••••• · Membercontrolsince 01/2018 · owns 25% to 50% of A••• G•• L••
- K••••• M•••••• C••••••• · Chief Compliance Officersince 02/2020 · owns less than 5%
- P••••••••• M••••••• H•••• · Chief Financial Officersince 06/2023 · owns less than 5%
- F••••• J•••• S••••• · Trustee Of R••••• J• F•••• 2••• F••••• T••••since 12/2016 · owns F of R••••• J• F•••• 2••• F••••• T••••
- F••••• R•••••• W•••••• · Trustee Of R••••• J• F•••• 2••• F••••• T••••since 12/2016 · owns F of R••••• J• F•••• 2••• F••••• T••••
- H••••••• M••••• C••••• · Trustee Of K•••••• H•••••• 2••• F••••• T••••since 12/2016 · owns F of K•••••• H•••••• 2••• F••••• T••••
- H••••••• W••••••• L•••• · Trustee Of K•••••• H•••••• 2••• F••••• T••••since 12/2016 · owns F of K•••••• H•••••• 2••• F••••• T••••
Entity owners
- A••• G•• L•• · General Partnerdirect · owns less than 5%
- K•••••• H•••••• 2••• F••••• T•••• · Partnerdirect · owns 10% to 25%
- R••••• J• F•••• 2••• F••••• T•••• · Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• L••• • H••••••• G•• L••pooled vehicle sponsorn
- A••••• L••• • T• G• L••pooled vehicle sponsorn
- A••••• L••• F••• I• G• L••pooled vehicle sponsorn
- A••••• L••• F••• I•• G• L••pooled vehicle sponsorn
- A••••• L••• P•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 15Apr 28, 2025 to Mar 31, 2026
- Advisory employees · 18 to 17Apr 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 14Apr 28, 2025 to Mar 31, 2026
- Assets in custody · $7.4B to $7.2BApr 28, 2025 to Mar 31, 2026
- Private funds · 6 to 5Apr 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.4B to $7.2BApr 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $72.4M to $67.3MApr 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $7.4B to $7.2BApr 28, 2025 to Mar 31, 2026
- RAUM · $7.5B to $7.3BApr 28, 2025 to Mar 31, 2026
- Accounts · 12 to 16Mar 29, 2024 to Apr 28, 2025
- Advisory employees · 15 to 18Mar 29, 2024 to Apr 28, 2025
- Pooled vehicle clients · 11 to 15Mar 29, 2024 to Apr 28, 2025
- Assets in custody · $5.7B to $7.4BMar 29, 2024 to Apr 28, 2025
- Employees · 24 to 30Mar 29, 2024 to Apr 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 28, 2025
- Private funds · 5 to 6Mar 29, 2024 to Apr 28, 2025
- Discretionary RAUM · $5.7B to $7.4BMar 29, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $89.7M to $72.4MMar 29, 2024 to Apr 28, 2025
- Pooled vehicle RAUM · $5.7B to $7.4BMar 29, 2024 to Apr 28, 2025
- RAUM · $5.8B to $7.5BMar 29, 2024 to Apr 28, 2025
- Accounts · 11 to 12Jul 12, 2023 to Mar 29, 2024
- Pooled vehicle clients · 10 to 11Jul 12, 2023 to Mar 29, 2024
- Assets in custody · $4.7B to $5.7BJul 12, 2023 to Mar 29, 2024
- Private funds · 4 to 5Jul 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.7B to $5.7BJul 12, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $89.8M to $89.7MJul 12, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.7B to $5.7BJul 12, 2023 to Mar 29, 2024
- RAUM · $4.8B to $5.8BJul 12, 2023 to Mar 29, 2024
- Accounts · 10 to 11Nov 11, 2022 to Mar 30, 2023
- Advisory employees · 13 to 15Nov 11, 2022 to Mar 30, 2023
- Pooled vehicle clients · 9 to 10Nov 11, 2022 to Mar 30, 2023
- Assets in custody · $3.9B to $4.7BNov 11, 2022 to Mar 30, 2023
- Employees · 23 to 24Nov 11, 2022 to Mar 30, 2023
- Private funds · 3 to 4Nov 11, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.9B to $4.7BNov 11, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $213M to $89.8MNov 11, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.9B to $4.7BNov 11, 2022 to Mar 30, 2023
- RAUM · $4.1B to $4.8BNov 11, 2022 to Mar 30, 2023
- Accounts · 6 to 10Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 11 to 13Mar 31, 2021 to Mar 31, 2022
Signals
6 dated events
- A••••• L••• C•••••• M••••••••• L• reported RAUM $7.5B, up 30% from $5.8B (2024-03-29 to 2025-04-28)Apr 28, 2025 · RAUM change · derived
- A••••• L••• C•••••• M••••••••• L• reported RAUM $4.1B, up 77% from $2.3B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A••••• L••• C•••••• M••••••••• L• reported RAUM $2.3B, up 60% from $1.5B (2020-05-20 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A••••• L••• C•••••• M••••••••• L• reported RAUM $1.5B, up 29% from $1.1B (2019-06-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- A••••• L••• C•••••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 9, 2018 · Succession (Item 4) · fact
- A••••• L••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Aug 9, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• L••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- A••••• L••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••••L•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 231-8763reportedpublic 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