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••••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Apr 27, 2020 · 10 filings
SEC status approved since May 27, 2020
RAUM
$1.1B
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
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 31, 2021$6.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)9 as of Mar 31, 2026
Mar 31, 202116 then
Private funds3 as of Mar 31, 2026
Mar 31, 20213 then
RAUM -65% over the last fiscal year-51% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 31, 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
- $151MderivedRAUM 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
- -65%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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=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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• M••••• F••• L• | Hedge Fund | $4.8B | 166 | Oct 7, 2019 |
| A•••••• P•••••• M••••• F••• I• L• | Hedge Fund | $412M | 18 | Mar 14, 2022 |
| A•••••• C•••••• F••• I• L• | Hedge Fund | $38.4M | 10 | Apr 27, 2020 |
| A•••••• M••••• F••• I•• L• | Hedge Fund | $30.0M | 4 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G••••• J••••• A•••• · Chief Financial Officercontrolsince 04/2019 · owns less than 5%
- G••••••• M••••••• D•••• · Co-Managing Partner, Director Of Research, President Of Business Operationscontrolsince 04/2019 · owns 25% to 50%
- R•••••••• D•••••• D•• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- S•• A•••••• C••• W•• · General Counselcontrolsince 05/2021 · owns less than 5%
- W•••••• D••••• R•• · Co-Managing Partner, Portfolio Manager, Chief Investment Officercontrolsince 04/2019 · owns 25% to 50%
- G••••••• M••••••• D•••• · Managing Membercontrolsince 04/2019 · owns 25% to 50% of A•••••• P••••••• M••••••••• ••• L••
- G••••••• M••••••• D•••• · Trusteecontrolsince 10/2019 · owns F of G•••••• A•••••• T••••
- W•••••• D••••• R•• · Trusteecontrolsince 10/2019 · owns F of W••••• A•••••• T••••
- W•••••• D••••• R•• · Managing Membercontrolsince 04/2019 · owns 25% to 50% of A•••••• P••••••• M••••••••• ••• L••
Entity owners
- A•••••• P••••••• M••••••••• ••• L•• · General Partnerdirect · owns less than 5%
- G•••••• A•••••• T•••• · Limited Partnerdirect · owns 10% to 25%
- W••••• A•••••• T•••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••••• C•••••• P••••••• F••• ••• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT8 employees
- West Palm Beach, FL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): yes on the filing of 2025-11-26, no on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 18.0 to 9.0 (-50.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 0.8% percentile
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $3,052,882,622 to $1,059,191,006 (-65.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 0.5% percentile
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7Nov 26, 2025 to Mar 31, 2026
- Assets in custody · 1214755911.0 to unsetNov 26, 2025 to Mar 31, 2026
- Custody of client assets · true to falseNov 26, 2025 to Mar 31, 2026
- Employees · 10 to 9Nov 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.1BNov 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.1BNov 26, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.1BNov 26, 2025 to Mar 31, 2026
- Assets in custody · $3.0B to $1.2BAug 29, 2025 to Nov 26, 2025
- Discretionary RAUM · $3.1B to $1.3BAug 29, 2025 to Nov 26, 2025
- Pooled vehicle RAUM · $3.1B to $1.3BAug 29, 2025 to Nov 26, 2025
- RAUM · $3.1B to $1.3BAug 29, 2025 to Nov 26, 2025
- Advisory employees · 13 to 8Apr 30, 2025 to Aug 29, 2025
- Employees · 18 to 10Apr 30, 2025 to Aug 29, 2025
- Other offices · 2 to 1Apr 30, 2025 to Aug 29, 2025
- Accounts · 10 to 7Mar 28, 2024 to Apr 30, 2025
- Advisory employees · 16 to 13Mar 28, 2024 to Apr 30, 2025
- Pooled vehicle clients · 10 to 7Mar 28, 2024 to Apr 30, 2025
- Assets in custody · $5.1B to $3.0BMar 28, 2024 to Apr 30, 2025
- Employees · 23 to 18Mar 28, 2024 to Apr 30, 2025
- Financial planning clients · unset to Mar 28, 2024 to Apr 30, 2025
- Private funds · 4 to 3Mar 28, 2024 to Apr 30, 2025
- Discretionary RAUM · $5.3B to $3.1BMar 28, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $5.3B to $3.1BMar 28, 2024 to Apr 30, 2025
- RAUM · $5.3B to $3.1BMar 28, 2024 to Apr 30, 2025
- Advisory employees · 15 to 16Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $9.0B to $5.1BMar 31, 2023 to Mar 28, 2024
- Employees · 22 to 23Mar 31, 2023 to Mar 28, 2024
- Other offices · 1 to 2Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $9.2B to $5.3BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $9.2B to $5.3BMar 31, 2023 to Mar 28, 2024
- RAUM · $9.2B to $5.3BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 14 to 15Aug 16, 2022 to Mar 31, 2023
- Assets in custody · $9.2B to $9.0BAug 16, 2022 to Mar 31, 2023
- Employees · 19 to 22Aug 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $9.5B to $9.2BAug 16, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $9.5B to $9.2BAug 16, 2022 to Mar 31, 2023
- RAUM · $9.5B to $9.2BAug 16, 2022 to Mar 31, 2023
- Accounts · 7 to 10Mar 31, 2021 to Mar 14, 2022
- Advisory employees · 12 to 14Mar 31, 2021 to Mar 14, 2022
- Pooled vehicle clients · 7 to 10Mar 31, 2021 to Mar 14, 2022
Signals
8 dated events
- A•••••• P••••••• M••••••••• L• reported RAUM $1.3B, down 57% from $3.1B (2025-08-29 to 2025-11-26)Nov 26, 2025 · RAUM change · derived
- A•••••• P••••••• M••••••••• L• reported RAUM $3.1B, down 42% from $5.3B (2024-03-28 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- A•••••• P••••••• M••••••••• L• reported RAUM $5.3B, down 43% from $9.2B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C••• Wai A••••• So (General Counsel) appeared on Schedule A of A•••••• P••••••• M••••••••• L•Mar 28, 2024 · Control person joined · fact
- Dee Delmer Raibourn (Chief Compliance Officer) appeared on Schedule A of A•••••• P••••••• M••••••••• L•Aug 16, 2022 · Control person joined · fact
- A•••••• P••••••• M••••••••• L• reported RAUM $9.5B, up 54% from $6.2B (2021-03-31 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- A•••••• P••••••• M••••••••• L• reported RAUM $6.2B, up 431% from $1.2B (2020-04-27 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•••••• P••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 27, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••• P••••••• M••••••••• L• · Private Equityshared crd · organization
- A•••••• P••••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 214-550-1696reportedpublic record, Form ADV, Mar 31, 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