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•••••• G••••• L•
Latest filing Mar 30, 2026
First filing on the tape Jun 28, 2021 · 11 filings
SEC status approved since Jul 29, 2021
RAUM
$2.6B
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
23
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.6B as of Mar 30, 2026
Mar 28, 2022$734M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 28, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20220 then
Employees (5.A)23 as of Mar 30, 2026
Mar 28, 202212 then
Private funds3 as of Mar 30, 2026
Mar 28, 20221 then
RAUM -9.9% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $232MderivedRAUM 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
- -9.9%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.3B, 7 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.6B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 7 clientsreported
- Compensation
- % of AUMreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• E••••• M••••• F•••• L• | Hedge Fund | $1.1B | 67 | Mar 29, 2021 |
| A••••••• M••••• C••••••••• F•••• L• | Hedge Fund | $158M | 2 | Feb 28, 2023 |
| A••••••• E••••• F•••• L•no longer reported | Hedge Fund | $41.3M | 34 | Apr 3, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G••••• S•••• C•••••• · Limited Partnercontrolsince 12/2017 · owns 25% to 50%
- L••• J•••• •••• · Chief Compliance Officer And Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- L••••• C••••• M••••• · Limited Partnercontrolsince 01/2020 · owns 25% to 50%
- S•••••• S•••••• G••••• · Limited Partnercontrolsince 12/2017 · owns 25% to 50%
- G••••• S•••• C•••••• · Managing Membercontrolsince 12/2017 · owns 25% to 50% of A••••••• C•••••• G•••• G•• L••
- L••••• C••••• M••••• · Managing Membercontrolsince 01/2020 · owns 25% to 50% of A••••••• C•••••• G•••• G•• L••
- S•••••• S•••••• G••••• · Managing Membercontrolsince 12/2017 · owns 25% to 50% of A••••••• C•••••• G•••• G•• L••
Entity owners
- A••••••• C•••••• G•••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• C•••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (1022 comparable advisers, 93.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 11Nov 26, 2025 to Mar 30, 2026
- Advisory employees · 14 to 15Nov 26, 2025 to Mar 30, 2026
- Pooled vehicle clients · 7 to 11Nov 26, 2025 to Mar 30, 2026
- Assets in custody · $2.0B to $1.3BNov 26, 2025 to Mar 30, 2026
- Employees · 21 to 23Nov 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.8B to $2.6BNov 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.8B to $2.6BNov 26, 2025 to Mar 30, 2026
- RAUM · $2.8B to $2.6BNov 26, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 28, 2025
- Private funds · 2 to 3Mar 31, 2025 to May 28, 2025
- Advisory employees · 12 to 14Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $1.3B to $2.0BMar 28, 2024 to Mar 31, 2025
- Employees · 18 to 21Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.8B to $2.8BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.8B to $2.8BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.8B to $2.8BMar 28, 2024 to Mar 31, 2025
- Advisory employees · 10 to 12Feb 6, 2024 to Mar 28, 2024
- Assets in custody · $1.5B to $1.3BFeb 6, 2024 to Mar 28, 2024
- Employees · 19 to 18Feb 6, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.9B to $1.8BFeb 6, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $1.9B to $1.8BFeb 6, 2024 to Mar 28, 2024
- RAUM · $1.9B to $1.8BFeb 6, 2024 to Mar 28, 2024
- Accounts · 3 to 7Feb 28, 2023 to Mar 30, 2023
- Advisory employees · 9 to 10Feb 28, 2023 to Mar 30, 2023
- Pooled vehicle clients · 3 to 7Feb 28, 2023 to Mar 30, 2023
- Assets in custody · $536M to $1.5BFeb 28, 2023 to Mar 30, 2023
- Employees · 12 to 19Feb 28, 2023 to Mar 30, 2023
- Discretionary RAUM · $734M to $1.9BFeb 28, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $734M to $1.9BFeb 28, 2023 to Mar 30, 2023
- RAUM · $734M to $1.9BFeb 28, 2023 to Mar 30, 2023
- Private funds · 1 to 2Mar 28, 2022 to Feb 28, 2023
- Advisory employees · 7 to 9Jun 28, 2021 to Mar 28, 2022
- Assets in custody · $323M to $536MJun 28, 2021 to Mar 28, 2022
- Employees · 10 to 12Jun 28, 2021 to Mar 28, 2022
- Private funds · 2 to 1Jun 28, 2021 to Mar 28, 2022
- Discretionary RAUM · $443M to $734MJun 28, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $443M to $734MJun 28, 2021 to Mar 28, 2022
- RAUM · $443M to $734MJun 28, 2021 to Mar 28, 2022
Signals
4 dated events
- A••••••• C•••••• G••••• L• reported RAUM $2.8B, up 59% from $1.8B (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A••••••• C•••••• G••••• L• reported RAUM $1.9B, up 156% from $734.4M (2023-02-28 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••••••• C•••••• G••••• L• reported RAUM $734.4M, up 66% from $443.0M (2021-06-28 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- A••••••• C•••••• G••••• L• filed its initial SEC registration (Form ADV)Jun 28, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• C•••••• G••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-235-2770reportedpublic record, Form ADV, Mar 30, 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