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• T••• B•••• M••••••• L••
Latest filing Mar 31, 2023
First filing on the tape May 6, 2019 · 7 filings
RAUM
$297M
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
97
70 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$72.2M gross assets
History
7 filings and snapshots on the tape
RAUM$297M as of Mar 31, 2023
Mar 30, 2020$292M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 30, 20200 then
Employees (5.A)97 as of Mar 31, 2023
Mar 30, 202063 then
Private funds1 as of Mar 31, 2023
Mar 30, 20201 then
RAUM +2.2% over the last fiscal year+0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
- $148MderivedRAUM 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
- +2.2%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, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$72.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A• T••• B•••• B•• H•••••••• L••• | Private Equity Fund | $72.2M | 1 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••• T•••••• J••••• · Chief Executive Officer & Presidentcontrolsince 05/2019 · owns less than 5%
- G•••••• R••••• M• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- N•••••• J•••• · General Counsel & Secretarycontrolsince 11/2021 · owns less than 5%
- W••••••• T•••••••• J••••• · Chief Financial Officer & Treasurercontrolsince 05/2021 · owns less than 5%
- B••••••••• J•••••• S••• · Managing Membercontrolsince 03/2021 · owns 50% to 75% of A• G• L••
- S•••••••• A•••• R••••• · Managing Membercontrolsince 03/2021 · owns 50% to 75% of A• G• L••
Entity owners
- A•••••• G••••• • C••• L••• · Sole Memberdirect · owns 75% or more
- A• G• L•• · General Partnerindirect · owns F of A• P•••••• I••••••••• L•••
- A• G• L•• · General Partnerindirect · owns F of A•••••• G••••• • C••• L•••
- A• P•••••• I••••••••• L••• · L•••••• Partnerindirect · owns 75% or more of A•••••• G••••• • C••• L•••
Related persons
Schedule D 7.A
- A• A•••• G• L••bankpooled vehicle sponsorn
- A• A•• L••bankpooled vehicle sponsorn
- A• A•••••• G• L••bankpooled vehicle sponsorn
- A• A••• I• L••bankpooled vehicle sponsorn
- A• A••• I•• L••bankpooled vehicle sponsorn
- A• A••• I• L••bankpooled vehicle sponsorn
- A• A••• L••bankpooled vehicle sponsorn
- A• A••• V• L••bankpooled vehicle sponsorn
- A• A•••• B•••• C••••• G•• L••bankpooled vehicle sponsorn
- A• C•••••• R••••••• V••• L••bankpooled vehicle sponsorn
- A• C•••••• S•••••••• G•• L••bankpooled vehicle sponsorn
- A• C••••• S••••• G• L••bankpooled vehicle sponsorn
- A• C•• E••••• F••• G•• L••bankpooled vehicle sponsorn
- A• C•• L••pooled vehicle sponsorn
- A• C•••••••• C••••• O••••••••• G• L••pooled vehicle sponsorn
- A• C••••• S•••••••• F••• G•• L••bankpooled vehicle sponsorn
- A• C••••• S•••••••• F••• I• G•• L••bankpooled vehicle sponsorn
- A• C•••• G• L••bankpooled vehicle sponsorn
- A• C•••• I• G• L••bankpooled vehicle sponsorn
- A• C•••• I•• G• L••bankpooled vehicle sponsorn
- A• C•••• •••••• D••••••••• F••• G•• L••bankpooled vehicle sponsorn
- A• C•••• •••••• D••••••••• F••• G•• L••bankpooled vehicle sponsorn
- A• C•••• •••••• D••••••••• F••• G•• L••bankpooled vehicle sponsorn
- A• D•• G• L••pooled vehicle sponsorn
- A• D••••• L•••••• E•••••••• F••• G• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• ••• G•• L••pooled vehicle sponsorn
- A• D••••• L•••••• F••• ••• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• I• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• I•• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL69 employees
What changed
consecutive filings, newest first
- Advisory employees · 59 to 70Aug 12, 2022 to Mar 31, 2023
- Employees · 77 to 97Aug 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $290M to $297MAug 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $70.7M to $72.2MAug 12, 2022 to Mar 31, 2023
- RAUM · $290M to $297MAug 12, 2022 to Mar 31, 2023
- Advisory employees · 56 to 59Mar 31, 2021 to Mar 31, 2022
- Employees · 67 to 77Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $287M to $290MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $70.0M to $70.7MMar 31, 2021 to Mar 31, 2022
- RAUM · $287M to $290MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 52 to 56Jan 29, 2021 to Mar 31, 2021
- Employees · 63 to 67Jan 29, 2021 to Mar 31, 2021
- Discretionary RAUM · $292M to $287MJan 29, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $69.8M to $70.0MJan 29, 2021 to Mar 31, 2021
- RAUM · $292M to $287MJan 29, 2021 to Mar 31, 2021
- Accounts · unset to 2.0May 6, 2019 to Mar 30, 2020
- Advisory employees · 55 to 52May 6, 2019 to Mar 30, 2020
- Advisory activities · 1 to 2May 6, 2019 to Mar 30, 2020
- Pooled vehicle clients · unset to 1.0May 6, 2019 to Mar 30, 2020
- Assets in custody · unset to 0.0May 6, 2019 to Mar 30, 2020
- Custody of client assets · false to trueMay 6, 2019 to Mar 30, 2020
- Employees · 60 to 63May 6, 2019 to Mar 30, 2020
- Private funds · unset to 1May 6, 2019 to Mar 30, 2020
- Discretionary RAUM · unset to 292378116.0May 6, 2019 to Mar 30, 2020
- Non-discretionary RAUM · unset to 0.0May 6, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · unset to 69839355.0May 6, 2019 to Mar 30, 2020
- RAUM · unset to 292378116.0May 6, 2019 to Mar 30, 2020
- Related broker-dealer · false to trueMay 6, 2019 to Mar 30, 2020
Signals
12 dated events
- James Adam Freedman (Chief Compliance Officer) no longer on Schedule A of A• T••• B•••• M••••••• L•• (listed 2022-03-31, absent 2022-08-12)Aug 12, 2022 · Control person left · inference
- M Richa Gulati (Chief Compliance Officer) appeared on Schedule A of A• T••• B•••• M••••••• L••Aug 12, 2022 · Control person joined · fact
- H•••••• V••••• S•••• (Chief Financial Officer & Treasurer) no longer on Schedule A of A• T••• B•••• M••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- D. C••••••••• M•••• (General Counsel & Secretary) no longer on Schedule A of A• T••• B•••• M••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Joshua Terrence Walters (Chief Financial Officer & Treasurer) appeared on Schedule A of A• T••• B•••• M••••••• L••Mar 31, 2022 · Control person joined · fact
- J•••• N••••• (General Counsel & Secretary) appeared on Schedule A of A• T••• B•••• M••••••• L••Mar 31, 2022 · Control person joined · fact
- Enrique Raul Moreno (General Counsel & Secretary) no longer on Schedule A of A• T••• B•••• M••••••• L•• (listed 2020-03-30, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- Laurence Michael Gordon (Managing Member) no longer on Schedule A of A• T••• B•••• M••••••• L•• (listed 2020-03-30, absent 2021-01-29)Jan 29, 2021 · Control person left · inference
- Sean Joshua Baumgarten (Managing Member) appeared on Schedule A of A• T••• B•••• M••••••• L••Jan 29, 2021 · Control person joined · fact
- Robert Adam Schwartz (Managing Member) appeared on Schedule A of A• T••• B•••• M••••••• L••Jan 29, 2021 · Control person joined · fact
- D. C••••••••• M•••• (General Counsel & Secretary) appeared on Schedule A of A• T••• B•••• M••••••• L••Jan 29, 2021 · Control person joined · fact
- A• T••• B•••• M••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A• T••• B•••• M••••••• L•• · Private Equityshared crd · organization
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