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•••••• N•• Y•••• I•••
Latest filing Apr 1, 2026
First filing on the tape Oct 31, 2019 · 11 filings
SEC status approved since Nov 27, 2019
RAUM
$65.8M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$65.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$65.8M as of Apr 1, 2026
Mar 27, 2020$32.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 27, 20200 then
Employees (5.A)4 as of Apr 1, 2026
Mar 27, 20203 then
Private funds4 as of Apr 1, 2026
Mar 27, 20201 then
RAUM +27% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.8MderivedRAUM 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
- $16.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $16.8M, 4 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
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$65.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.8M for 4 clientsreported
- Compensation
- fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•• E•••••• L••••••Chartered Financial Analyst | New Y•••, Ny | Jan 18, 2022 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• E••••••• S••••••• I• L••• | Private Equity Fund | $15.0M | 9 | Mar 27, 2023 |
| A•• B••••• I••••••••• L•• | Private Equity Fund | $8.0M | 1 | Mar 27, 2020 |
| A••••• S• 3• L• | Private Equity Fund | $7.3M | 13 | Mar 24, 2022 |
| A•• E•••• S•••• P••••••• I•• L•• | Private Equity Fund | $6.5M | 4 | Mar 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- J•••••• J••• · Chief Compliance Officercontrolsince 04/2010 · owns less than 5%
- S•••• A•••• N•• · Ceocontrolsince 04/2010 · owns less than 5%
- S•••• A•••• N•• · Ownercontrolsince 05/2005 · owns 50% to 75% of A•• • C•••••• S•
Entity owners
- A•• • C•••••• S• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•• • C•••••• S•investment advisery
- A•• A••• I• G•• L••investment adviserpooled vehicle sponsory
- A•• U• G• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 1, 2026discretionary share of RAUM moved from 72.0% to 98.0% between the annual amendments of 2025-03-27 and 2026-04-01peers: asset managers, under $100M (330)
- RAUM up 25 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $52,030,343 to $65,834,594 (+27.0%) between the annual amendments of 2025-03-27 and 2026-04-01; the peer median change was -12.0% (97 comparable advisers, 95.0th percentile of changes)peers: asset managers, under $100M (97) · 95% percentile
What changed
consecutive filings, newest first
- Assets in custody · $9.8M to $16.8MNov 13, 2025 to Apr 1, 2026
- Discretionary RAUM · $37.5M to $64.5MNov 13, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $14.5M to $1.3MNov 13, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $52.0M to $65.8MNov 13, 2025 to Apr 1, 2026
- RAUM · $52.0M to $65.8MNov 13, 2025 to Apr 1, 2026
- Assets in custody · unset to 9832331.0Mar 27, 2025 to Nov 13, 2025
- Custody of client assets · false to trueMar 27, 2025 to Nov 13, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $28.8M to $37.5MMar 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $8.0M to $14.5MMar 25, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $36.8M to $52.0MMar 25, 2024 to Mar 27, 2025
- RAUM · $36.8M to $52.0MMar 25, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Mar 27, 2023 to Mar 25, 2024
- Employees · 3 to 4Mar 27, 2023 to Mar 25, 2024
- Discretionary RAUM · $29.4M to $28.8MMar 27, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $14.0M to $8.0MMar 27, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $43.4M to $36.8MMar 27, 2023 to Mar 25, 2024
- RAUM · $43.4M to $36.8MMar 27, 2023 to Mar 25, 2024
- Accounts · 3 to 4Mar 24, 2022 to Mar 27, 2023
- Pooled vehicle clients · 3 to 4Mar 24, 2022 to Mar 27, 2023
- Private funds · 3 to 4Mar 24, 2022 to Mar 27, 2023
- Discretionary RAUM · $11.1M to $29.4MMar 24, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $32.3M to $14.0MMar 24, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $43.4M to $43.4MMar 24, 2022 to Mar 27, 2023
- RAUM · $43.4M to $43.4MMar 24, 2022 to Mar 27, 2023
- Accounts · 1 to 3Mar 26, 2021 to Mar 24, 2022
- Advisory employees · 2 to 3Mar 26, 2021 to Mar 24, 2022
- Pooled vehicle clients · 1 to 3Mar 26, 2021 to Mar 24, 2022
- State-registered IARs · 0 to 1Mar 26, 2021 to Mar 24, 2022
- Private funds · 1 to 3Mar 26, 2021 to Mar 24, 2022
- Discretionary RAUM · $0 to $11.1MMar 26, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $32.2M to $32.3MMar 26, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $32.2M to $43.4MMar 26, 2021 to Mar 24, 2022
- RAUM · $32.2M to $43.4MMar 26, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $32.0M to $32.2MOct 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $32.0M to $32.2MOct 26, 2020 to Mar 26, 2021
- RAUM · $32.0M to $32.2MOct 26, 2020 to Mar 26, 2021
- Accounts · 0 to 1Oct 31, 2019 to Mar 27, 2020
- Advisory employees · 4 to 2Oct 31, 2019 to Mar 27, 2020
- Business name · A•• • C•••••• U• to A•• • C•••••• N•• Y•••• I•••Oct 31, 2019 to Mar 27, 2020
Signals
1 dated events
- A•• • C•••••• U• filed its initial SEC registration (Form ADV)Oct 31, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•• • C•••••• N•• Y•••• I••• · Independent Sponsorsshared crd · capital_provider
- A•• • C•••••• N•• Y•••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ace-and-companyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- aceventures.vcreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-220-2777reportedpublic record, Form ADV, Apr 1, 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
- $65.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026