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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••• C•••••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 17, 2021 · 9 filings
SEC status approved since Apr 16, 2021
RAUM
$355M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$355M as of Mar 19, 2026
Mar 11, 2022$315M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 11, 20220 then
Employees (5.A)5 as of Mar 19, 2026
Mar 11, 20224 then
Private funds2 as of Mar 19, 2026
Mar 11, 20222 then
RAUM +49% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $178MderivedRAUM 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
- +49%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 vehiclesreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$355M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• B••••••••• L••• | Venture Capital Fund | $144M | 18 | May 6, 2019 |
| A•••• B••••••••• 2• L••• | Venture Capital Fund | $103M | 24 | Mar 11, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A••••••• M•••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- H•••• A•••••• D•••••••• · Managercontrolsince 04/2017 · owns 75% or more
Related persons
Schedule D 7.A
- A•••• C•••••• A••••••• G• 2• L••pooled vehicle sponsory
- A•••• C•••••• A••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $239,196,104 to $355,296,078 (+49.0%) between the annual amendments of 2025-03-19 and 2026-03-19; the peer median change was +4.0% (1148 comparable advisers, 90.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 90% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $239M to $355MJun 24, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $239M to $355MJun 24, 2025 to Mar 19, 2026
- RAUM · $239M to $355MJun 24, 2025 to Mar 19, 2026
- Financial planning clients · unset to Mar 19, 2025 to Jun 24, 2025
- Discretionary RAUM · $247M to $239MMay 9, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $247M to $239MMay 9, 2024 to Mar 19, 2025
- RAUM · $247M to $239MMay 9, 2024 to Mar 19, 2025
- Discretionary RAUM · $442M to $247MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $442M to $247MMar 30, 2023 to Mar 28, 2024
- RAUM · $442M to $247MMar 30, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Sep 16, 2022 to Mar 30, 2023
- Employees · 4 to 5Sep 16, 2022 to Mar 30, 2023
- Discretionary RAUM · $315M to $442MSep 16, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $315M to $442MSep 16, 2022 to Mar 30, 2023
- RAUM · $315M to $442MSep 16, 2022 to Mar 30, 2023
- Accounts · 1 to 2Mar 17, 2021 to Mar 11, 2022
- Pooled vehicle clients · 1 to 2Mar 17, 2021 to Mar 11, 2022
Signals
4 dated events
- A•••• C•••••• A•••••••• L•• reported RAUM $355.3M, up 49% from $239.2M (2025-06-24 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- A•••• C•••••• A•••••••• L•• reported RAUM $246.6M, down 44% from $442.5M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A•••• C•••••• A•••••••• L•• reported RAUM $442.5M, up 41% from $314.9M (2022-09-16 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A•••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 17, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
- A•••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212 299-4777reportedpublic record, Form ADV, Mar 19, 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