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••••• C••••• O••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 6, 2018 · 22 filings
SEC status approved since Dec 6, 2018
RAUM
$3.7B
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
32
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$3.7B as of Mar 27, 2026
Mar 15, 2019$857M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 15, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 15, 20190 then
Employees (5.A)32 as of Mar 27, 2026
Mar 15, 2019159 then
Private funds2 as of Mar 27, 2026
Mar 30, 20202 then
RAUM +34% over the last fiscal year+31% 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
- $1.9BderivedRAUM 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
- +34%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
- Custody
- yesreportedItem 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)
- 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$524M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.14 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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••••• R••••••••• F••• L• | Private Equity Fund | $1.7B | 1 | Mar 31, 2021 |
| O•• M•• F••• L• | Private Equity Fund | $580M | 2 | Mar 31, 2021 |
| A••••• C••••• O••••••••• O•••••• F••• L•no longer reported | Other Private Fund | $209M | 41 | Mar 31, 2021 |
| A••••• C••••• O••••••••• I•••••• I•••no longer reported | Other Private Fund | $169M | 5 | Mar 30, 2020 |
| A••••• C••••• O••••••••• C••••• F••• L•no longer reported | Other Private Fund | $74.1M | 14 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A••••••• C•••••• · Chief Legal Officercontrolsince 09/2017 · owns less than 5%
- K••••• J•••••••• I• · Chief Financial Officercontrolsince 06/2023 · owns less than 5%
- D••••••• S••••• R••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Entity owners
- A••••• C•••••• F••• A••••••• L•• · Managing Memberdirect · owns 75% or more
- A••••• C•••••• M••••••••• I••• · Shareholderindirect · owns 75% or more of A••••• T••• I••• · public reporting company
- A••••• T••• I••• · Memberindirect · owns 75% or more of A••••• C•••••• F••• A••••••• L••
Related persons
Schedule D 7.A
- A••••• R••••••••• G• L••pooled vehicle sponsorn
- A••••• S••••••••• I•••broker-dealern
- T••••• I•••••••• C•••••• L••real estaten
Advisers that list A••••• C••••• O••••••••• M••••••••• L•• as a related person
- 168122 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 22 to 23Dec 11, 2025 to Mar 27, 2026
- BD registered reps · 1 to 2Dec 11, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.8B to $3.7BDec 11, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $521M to $524MDec 11, 2025 to Mar 27, 2026
- RAUM · $2.8B to $3.7BDec 11, 2025 to Mar 27, 2026
- Advisory employees · 35 to 22Mar 26, 2024 to Mar 14, 2025
- Employees · 41 to 32Mar 26, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 14, 2025
- Discretionary RAUM · $2.3B to $2.8BMar 26, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $580M to $521MMar 26, 2024 to Mar 14, 2025
- RAUM · $2.3B to $2.8BMar 26, 2024 to Mar 14, 2025
- Advisory employees · 34 to 35Jun 15, 2023 to Mar 26, 2024
- Assets in custody · $616M to $0Jun 15, 2023 to Mar 26, 2024
- Employees · 34 to 41Jun 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.7B to $2.3BJun 15, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $418M to $580MJun 15, 2023 to Mar 26, 2024
- RAUM · $1.7B to $2.3BJun 15, 2023 to Mar 26, 2024
- Accounts · 5 to 2Jul 28, 2022 to Mar 28, 2023
- Advisory employees · 42 to 34Jul 28, 2022 to Mar 28, 2023
- BD registered reps · 5 to 1Jul 28, 2022 to Mar 28, 2023
- Pooled vehicle clients · 4 to 1Jul 28, 2022 to Mar 28, 2023
- Assets in custody · $259M to $616MJul 28, 2022 to Mar 28, 2023
- Employees · 42 to 34Jul 28, 2022 to Mar 28, 2023
- Private funds · 5 to 2Jul 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.9B to $1.7BJul 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $632M to $418MJul 28, 2022 to Mar 28, 2023
- RAUM · $1.9B to $1.7BJul 28, 2022 to Mar 28, 2023
- Accounts · 6 to 5Feb 18, 2022 to Mar 31, 2022
- Advisory employees · 57 to 42Feb 18, 2022 to Mar 31, 2022
- BD registered reps · 3 to 5Feb 18, 2022 to Mar 31, 2022
- Pooled vehicle clients · 5 to 4Feb 18, 2022 to Mar 31, 2022
- Assets in custody · $270M to $259MFeb 18, 2022 to Mar 31, 2022
- Employees · 57 to 42Feb 18, 2022 to Mar 31, 2022
- Discretionary RAUM · $1.3B to $1.9BFeb 18, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $1.1B to $632MFeb 18, 2022 to Mar 31, 2022
- RAUM · $1.3B to $1.9BFeb 18, 2022 to Mar 31, 2022
- Accounts · 3 to 6Feb 11, 2021 to Mar 31, 2021
- Advisory employees · 60 to 57Feb 11, 2021 to Mar 31, 2021
- Advisory activities · 1 to 2Feb 11, 2021 to Mar 31, 2021
- BD registered reps · 4 to 3Feb 11, 2021 to Mar 31, 2021
Signals
17 dated events
- A••••• C••••• O••••••••• M••••••••• L•• reported RAUM $3.7B, up 34% from $2.8B (2025-12-11 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- A••••• C••••• O••••••••• M••••••••• L•• reported RAUM $2.3B, up 39% from $1.7B (2023-06-15 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Nicole Gina Scianni (Chief Compliance Officer) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2023-06-15, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- I Jonathan Kurtz (Chief Financial Officer) appeared on Schedule A of A••••• C••••• O••••••••• M••••••••• L••Jun 15, 2023 · Control person joined · fact
- Steven Yaros (Chief Financial Officer) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2023-03-28, absent 2023-06-15)Jun 15, 2023 · Control person left · inference
- A••••• C••••• O••••••••• M••••••••• L•• reported RAUM $1.9B, up 48% from $1.3B (2022-02-18 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Steven Yaros (Chief Financial Officer) appeared on Schedule A of A••••• C••••• O••••••••• M••••••••• L••Feb 18, 2022 · Control person joined · fact
- I Jonathan Kurtz (Chief Financial Officer) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2021-10-22, absent 2022-02-18)Feb 18, 2022 · Control person left · inference
- Patrick Timothy Coffey (President) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2021-10-22, absent 2022-02-18)Feb 18, 2022 · Control person left · inference
- Nicole Gina Scianni (Chief Compliance Officer) appeared on Schedule A of A••••• C••••• O••••••••• M••••••••• L••Oct 22, 2021 · Control person joined · fact
- Audrey Susanin (Chief Compliance Officer) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2021-08-26, absent 2021-10-22)Oct 22, 2021 · Control person left · inference
- A••••• C••••• O••••••••• M••••••••• L•• reported RAUM $1.3B, up 41% from $913.3M (2021-02-11 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Audrey Susanin (Chief Compliance Officer) appeared on Schedule A of A••••• C••••• O••••••••• M••••••••• L••Feb 11, 2021 · Control person joined · fact
- M••• K•••••• (Chief Compliance Officer) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2020-07-06, absent 2021-02-11)Feb 11, 2021 · Control person left · inference
- I Jonathan Kurtz (Chief Financial Officer) appeared on Schedule A of A••••• C••••• O••••••••• M••••••••• L••Jan 29, 2020 · Control person joined · fact
- G••••• S••••• O•••••••• (Chief Financial Officer) no longer on Schedule A of A••••• C••••• O••••••••• M••••••••• L•• (listed 2019-03-29, absent 2020-01-29)Jan 29, 2020 · Control person left · inference
- A••••• C••••• O••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 6, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• C••••• O••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-696-0100reportedpublic 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
- Other 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