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•••••• P•••••••
Legal name A•••••• A••••••• P••••••• L•
Latest filing May 6, 2026
First filing on the tape Mar 8, 2019 · 11 filings
SEC status approved since Mar 27, 2019
RAUM
$1.6B
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
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.6B as of May 6, 2026
Mar 4, 2020$935M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Mar 4, 20200 then
Employees (5.A)11 as of May 6, 2026
Mar 4, 202013 then
Private funds6 as of May 6, 2026
Mar 4, 20208 then
RAUM +43% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
- $149MderivedRAUM 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
- +43%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
- $7.6M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.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$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.87 institutional_share=0.0 related_bd=false related_bank=true 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• P••••••• A••••••• H••••••••• F•••• L••• | Hedge Fund | $299M | 4 | Mar 17, 2015 |
| A•••••• S••••••••• O••••••••• F•••• L••• | Hedge Fund | $283M | 40 | Feb 14, 2012 |
| A•••••• W•••• I••••••••• T••••••••• F•••• L••• | Hedge Fund | $108M | 6 | Feb 14, 2012 |
| A•••••• P••••••• F••• I•• L• | Hedge Fund | $60.5M | 11 | Feb 14, 2012 |
| A•••••• D••••••• F••• L• | Hedge Fund | $53.9M | 5 | Mar 16, 2017 |
| A•••••• R••••••••• P••••••• F•••• L••• | Hedge Fund | $25.8M | 4 | Jan 23, 2019 |
| A•••••• H••••••••• F•••• L•••no longer reported | Hedge Fund | $10.3M | 2 | Mar 25, 2013 |
| A•••••• C••••• F•••• L•no longer reported | Hedge Fund | $5.3M | 2 | Mar 22, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K•••• D••••• · Limited Partnercontrolsince 01/1998 · owns 10% to 25%
- B••••• B•••••••• I•• · Limited Partnercontrolsince 06/2007 · owns less than 5%
- G•••••• G•••••• A••••• · Limited Partnercontrolsince 03/1994 · owns less than 5%
- H••••••••• P•••••• J•• · Limited Partnercontrolsince 12/1986 · owns 50% to 75%
- H••••••••• S••••••• J•• · Limited Partnercontrolsince 01/2006 · owns 10% to 25%
- N•••••• S•••••• N••••••• · Limited Partner, Chief Financial Officer, Chief Compliance Officercontrolsince 11/2001 · owns less than 5%
- H••••••••• P•••••• J•• · Managing Membercontrolsince 10/2018 · owns 50% to 75% of A•••••• A••••••• P••••••• G• L••
- H••••••••• S••••••• J•• · Managing Membercontrolsince 10/2018 · owns 50% to 75% of A•••••• A••••••• P••••••• G• L••
Entity owners
- A•••••• A••••••• P••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A•••••• A••••••• P••••••• G• L••n
- A•••••• P••••••• I• G• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 11May 14, 2025 to Feb 24, 2026
- Advisory employees · 9 to 7May 14, 2025 to Feb 24, 2026
- Pooled vehicle clients · 8 to 9May 14, 2025 to Feb 24, 2026
- Assets in custody · $0 to $7.6MMay 14, 2025 to Feb 24, 2026
- Employees · 14 to 11May 14, 2025 to Feb 24, 2026
- Private funds · 5 to 6May 14, 2025 to Feb 24, 2026
- Discretionary RAUM · $1.1B to $1.6BMay 14, 2025 to Feb 24, 2026
- Pooled vehicle RAUM · $1.1B to $1.4BMay 14, 2025 to Feb 24, 2026
- RAUM · $1.1B to $1.6BMay 14, 2025 to Feb 24, 2026
- Financial planning clients · unset to Apr 18, 2025 to May 14, 2025
- HQ city · ROWAYTON to NORWALKApr 18, 2025 to May 14, 2025
- Accounts · 8 to 10Jan 30, 2024 to Apr 18, 2025
- Advisory employees · 8 to 9Jan 30, 2024 to Apr 18, 2025
- Pooled vehicle clients · 7 to 8Jan 30, 2024 to Apr 18, 2025
- Employees · 13 to 14Jan 30, 2024 to Apr 18, 2025
- HQ city · STAMFORD to ROWAYTONJan 30, 2024 to Apr 18, 2025
- Private funds · 6 to 5Jan 30, 2024 to Apr 18, 2025
- Discretionary RAUM · $870M to $1.1BJan 30, 2024 to Apr 18, 2025
- Pooled vehicle RAUM · $854M to $1.1BJan 30, 2024 to Apr 18, 2025
- RAUM · $870M to $1.1BJan 30, 2024 to Apr 18, 2025
- Accounts · 7 to 8Jun 7, 2023 to Jan 30, 2024
- Advisory employees · 7 to 8Jun 7, 2023 to Jan 30, 2024
- Pooled vehicle clients · 6 to 7Jun 7, 2023 to Jan 30, 2024
- Employees · 12 to 13Jun 7, 2023 to Jan 30, 2024
- Private funds · 5 to 6Jun 7, 2023 to Jan 30, 2024
- Discretionary RAUM · $789M to $870MJun 7, 2023 to Jan 30, 2024
- Pooled vehicle RAUM · $777M to $854MJun 7, 2023 to Jan 30, 2024
- RAUM · $789M to $870MJun 7, 2023 to Jan 30, 2024
- Accounts · 6 to 7Mar 2, 2022 to Mar 15, 2023
- Pooled vehicle clients · 5 to 6Mar 2, 2022 to Mar 15, 2023
- Discretionary RAUM · $852M to $789MMar 2, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $825M to $777MMar 2, 2022 to Mar 15, 2023
- RAUM · $852M to $789MMar 2, 2022 to Mar 15, 2023
- Accounts · 8 to 6Mar 10, 2021 to Mar 2, 2022
- Pooled vehicle clients · 7 to 5Mar 10, 2021 to Mar 2, 2022
- Private funds · 7 to 5Mar 10, 2021 to Mar 2, 2022
- Discretionary RAUM · $1.2B to $852MMar 10, 2021 to Mar 2, 2022
- Pooled vehicle RAUM · $1.2B to $825MMar 10, 2021 to Mar 2, 2022
- RAUM · $1.2B to $852MMar 10, 2021 to Mar 2, 2022
- Advisory activities · 1 to 2Mar 4, 2020 to Mar 10, 2021
Signals
7 dated events
- A•••••• P••••••• reported RAUM $1.6B, up 43% from $1.1B (2025-05-14 to 2026-02-24)Feb 24, 2026 · RAUM change · derived
- A•••••• P••••••• reported RAUM $1.1B, up 32% from $869.6M (2024-01-30 to 2025-04-18)Apr 18, 2025 · RAUM change · derived
- A•••••• P••••••• reported RAUM $851.9M, down 29% from $1.2B (2021-03-10 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- A•••••• P••••••• reported RAUM $1.2B, up 28% from $934.9M (2020-03-04 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
- A•••••• P••••••• reported RAUM $934.9M, up 32% from $706.7M (2019-03-08 to 2020-03-04)Mar 4, 2020 · RAUM change · derived
- A•••••• P••••••• filed its initial SEC registration (Form ADV)Mar 8, 2019 · First SEC registration · fact
- A•••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 8, 2019 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- A•••••• P••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- a••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-564-4200reportedpublic record, Form ADV, May 6, 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