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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Former SEC-registered adviser
A••••••• P••• C•••••• L•
Latest filing Mar 30, 2022
First filing on the tape Apr 11, 2019 · 7 filings
RAUM
$71.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$71.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$71.6M as of Mar 30, 2022
Mar 30, 2020$42.7M then
HNW client RAUM$71.6M as of Mar 30, 2022
Mar 30, 2020$42.7M then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 30, 20200 then
Employees (5.A)3 as of Mar 30, 2022
Mar 30, 20203 then
Private funds: no history
RAUM +2.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +114%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $66.8M, 13 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.6M100%
- Individual clients
- 0reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.8M for 13 clientsreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• P•••• R•••••• · Presidentcontrolsince 05/2019 · owns less than 5%
- M••••• S•••• D••• · Ccocontrolsince 08/2019 · owns less than 5%
- P•••••••• T••••• · Ceocontrolsince 03/2019 · owns 75% or more
- P•••••••• T••••• · Sole Membercontrolsince 04/2019 · owns 75% or more of A••••••• P••• C•••••• G• L••
Entity owners
- A••••••• P••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 10 to 21Mar 31, 2021 to Mar 30, 2022
- HNW clients · 7 to 15Mar 31, 2021 to Mar 30, 2022
- Assets in custody · unset to 66763998.0Mar 31, 2021 to Mar 30, 2022
- Custody of client assets · false to trueMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $69.6M to $71.6MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $69.6M to $71.6MMar 31, 2021 to Mar 30, 2022
- RAUM · $69.6M to $71.6MMar 31, 2021 to Mar 30, 2022
- Accounts · 3 to 10Sep 21, 2020 to Mar 31, 2021
- Advisory activities · 3 to 2Sep 21, 2020 to Mar 31, 2021
- HNW clients · 0 to 7Sep 21, 2020 to Mar 31, 2021
- HQ city · NEW YORK to unsetSep 21, 2020 to Mar 31, 2021
- HQ state · NY to unsetSep 21, 2020 to Mar 31, 2021
- Other offices · 0 to 1Sep 21, 2020 to Mar 31, 2021
- Discretionary RAUM · $42.7M to $69.6MSep 21, 2020 to Mar 31, 2021
- HNW RAUM · $42.7M to $69.6MSep 21, 2020 to Mar 31, 2021
- RAUM · $42.7M to $69.6MSep 21, 2020 to Mar 31, 2021
- Advisory activities · 4 to 3Jun 30, 2020 to Sep 21, 2020
- Accounts · 9 to 3Sep 6, 2019 to Mar 30, 2020
- Assets in custody · 75000000.0 to unsetSep 6, 2019 to Mar 30, 2020
- Custody of client assets · true to falseSep 6, 2019 to Mar 30, 2020
- Discretionary RAUM · $75.0M to $42.7MSep 6, 2019 to Mar 30, 2020
- HNW RAUM · $75.0M to $42.7MSep 6, 2019 to Mar 30, 2020
- RAUM · $75.0M to $42.7MSep 6, 2019 to Mar 30, 2020
- Accounts · 0 to 9Apr 11, 2019 to Sep 6, 2019
- Advisory employees · 1 to 3Apr 11, 2019 to Sep 6, 2019
- Assets in custody · unset to 75000000.0Apr 11, 2019 to Sep 6, 2019
- Custody of client assets · false to trueApr 11, 2019 to Sep 6, 2019
- Employees · 1 to 3Apr 11, 2019 to Sep 6, 2019
- Discretionary RAUM · $0 to $75.0MApr 11, 2019 to Sep 6, 2019
- HNW RAUM · $0 to $75.0MApr 11, 2019 to Sep 6, 2019
- RAUM · $0 to $75.0MApr 11, 2019 to Sep 6, 2019
Signals
3 dated events
- Dawn Sara Malak (Cco) appeared on Schedule A of A••••••• P••• C•••••• L•Sep 6, 2019 · Control person joined · fact
- Richard Paul Barkus (President) appeared on Schedule A of A••••••• P••• C•••••• L•Sep 6, 2019 · Control person joined · fact
- A••••••• P••• C•••••• L• filed its initial SEC registration (Form ADV)Apr 11, 2019 · First SEC registration · 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