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•••• S••••• G•••• S• L••
Latest filing Aug 13, 2026
First filing on the tape Apr 15, 2020 · 14 filings
SEC status approved since May 18, 2020
RAUM
$1.6B
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
21
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
35
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.6B as of Aug 13, 2026
Mar 31, 2021$374M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Mar 31, 20210 then
Employees (5.A)21 as of Aug 13, 2026
Mar 31, 202113 then
Private funds35 as of Aug 13, 2026
Mar 31, 20214 then
RAUM +51% over the last fiscal year+12% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Aug 13, 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
- $45.6MderivedRAUM 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
- +51%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- 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)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• S••••• G•••• E••••• F•••• L• | Venture Capital Fund | $316M | 2 | Mar 31, 2021 |
| A•••• S••••• G•••• F••• O• F•••• L•• | Other Private Fund | $195M | 2 | Apr 15, 2020 |
| A•••• S••••• G•••• F••• I• L•• | Venture Capital Fund | $168M | 49 | Apr 15, 2020 |
| A•••• S••••• G•••• F••• I••• L• | Venture Capital Fund | $153M | 2 | Mar 31, 2022 |
| A•••• S••••• G•••• C•••••••• F••• L•• | Venture Capital Fund | $148M | 3 | Mar 31, 2022 |
| A•••• S••••• G•••• O••••••• A•••• L••no longer reported | Private Equity Fund | $100M | 4 | Mar 31, 2022 |
| A•••• S••••• G•••• F••• I• L•• | Venture Capital Fund | $52.4M | 2 | Apr 15, 2020 |
| A•••• V••• I••••••••• L•• | Venture Capital Fund | $14.2M | 5 | Mar 31, 2022 |
| A•••• T•••• L•• | Venture Capital Fund | $6.5M | 3 | Mar 31, 2022 |
| A•••• M••• I••••••••• L•• | Venture Capital Fund | $4.7M | 6 | Mar 31, 2022 |
| A•••• F•••• I••••••••• L•• | Venture Capital Fund | $4.7M | 9 | Mar 31, 2022 |
| A•••• F••••• L•• | Venture Capital Fund | $3.1M | 3 | Mar 31, 2022 |
| A•••• R•••• I••••••••• I•• L•• | Venture Capital Fund | $3.1M | 8 | Mar 31, 2022 |
| A•••• P••••• I••••••••• L•• | Venture Capital Fund | $1.5M | 3 | Mar 31, 2022 |
| A•••• B•• L•• | Venture Capital Fund | $50,000 | 3 | Mar 31, 2022 |
| A•••• O•••• I• L•• | Venture Capital Fund | $5,997 | 14 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- L•• L••• N•• · Manager, Managing Member & Chief Executive Officercontrolsince 08/2014 · owns less than 5%
- L••• P••••• S• · General Counsel & Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- S•••• Y••• N•• · Managing Director & Chief Financial Officercontrolsince 03/2017 · owns less than 5%
- X•••• Z••••••• N•• · Membercontrolsince 08/2014 · owns 50% to 75%
- L•• L••• N•• · Managing Membercontrolsince 02/2021 · owns 75% or more of H••••••••• L••
Entity owners
- H••••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••• S••••• G•••• G• I• L••pooled vehicle sponsorn
- A•••• S••••• G•••• G• I•• L••pooled vehicle sponsorn
- A•••• S••••• G•••• G• I••• L••pooled 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 31, 2026private funds (Schedule D 7.B.1) moved from 21.0 to 35.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 97.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 21 to 35Feb 11, 2026 to Mar 31, 2026
- Pooled vehicle clients · 21 to 35Feb 11, 2026 to Mar 31, 2026
- Employees · 24 to 21Feb 11, 2026 to Mar 31, 2026
- Other offices · 0 to 1Feb 11, 2026 to Mar 31, 2026
- Private funds · 21 to 35Feb 11, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.6BFeb 11, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.6BFeb 11, 2026 to Mar 31, 2026
- RAUM · $1.1B to $1.6BFeb 11, 2026 to Mar 31, 2026
- Accounts · 15 to 21Nov 26, 2024 to Mar 31, 2025
- Advisory employees · 13 to 10Nov 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 15 to 21Nov 26, 2024 to Mar 31, 2025
- Employees · 27 to 24Nov 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 26, 2024 to Mar 31, 2025
- Private funds · 15 to 21Nov 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.1BNov 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.1B to $1.1BNov 26, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.1BNov 26, 2024 to Mar 31, 2025
- Advisory employees · 19 to 13Mar 31, 2023 to Mar 29, 2024
- Employees · 23 to 27Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 29, 2024
- RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 29, 2024
- Accounts · 16 to 15Sep 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 16 to 15Sep 12, 2022 to Mar 31, 2023
- Private funds · 16 to 15Sep 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.1BSep 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.3B to $1.1BSep 12, 2022 to Mar 31, 2023
- RAUM · $1.3B to $1.1BSep 12, 2022 to Mar 31, 2023
- Accounts · 4 to 16Oct 15, 2021 to Mar 31, 2022
- Advisory employees · 7 to 19Oct 15, 2021 to Mar 31, 2022
- Advisory activities · 3 to 2Oct 15, 2021 to Mar 31, 2022
- BD registered reps · 1 to 0Oct 15, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 16Oct 15, 2021 to Mar 31, 2022
- Assets in custody · 152574232.0 to unsetOct 15, 2021 to Mar 31, 2022
- Custody of client assets · true to falseOct 15, 2021 to Mar 31, 2022
- Employees · 13 to 23Oct 15, 2021 to Mar 31, 2022
- Private funds · 4 to 16Oct 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $374M to $1.3BOct 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $374M to $1.3BOct 15, 2021 to Mar 31, 2022
- RAUM · $374M to $1.3BOct 15, 2021 to Mar 31, 2022
Signals
10 dated events
- A•••• S••••• G•••• S• L•• reported RAUM $1.6B, up 51% from $1.1B (2026-02-11 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Y•••• D••• (Managing Director & Chief Operating Officer) no longer on Schedule A of A•••• S••••• G•••• S• L•• (listed 2022-09-12, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A•••• S••••• G•••• S• L•• reported RAUM $1.3B, up 251% from $374.4M (2021-10-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Harold Adam Goodfriend (Chief Investment Officer) no longer on Schedule A of A•••• S••••• G•••• S• L•• (listed 2021-10-15, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Yao S••• (Managing Director & Chief Financial Officer) appeared on Schedule A of A•••• S••••• G•••• S• L••Mar 31, 2022 · Control person joined · fact
- Y•••• D••• (Managing Director & Chief Operating Officer) appeared on Schedule A of A•••• S••••• G•••• S• L••Mar 31, 2022 · Control person joined · fact
- Cullen John Doherty (Chief Compliance Officer & General Counsel) no longer on Schedule A of A•••• S••••• G•••• S• L•• (listed 2021-05-20, absent 2021-10-15)Oct 15, 2021 · Control person left · inference
- S Peter Lin (General Counsel & Chief Compliance Officer) appeared on Schedule A of A•••• S••••• G•••• S• L••Oct 15, 2021 · Control person joined · fact
- A•••• S••••• G•••• S• L•• reported RAUM $374.4M, up 61% from $233.0M (2020-04-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•••• S••••• G•••• S• L•• filed its initial SEC registration (Form ADV)Apr 15, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• S••••• G•••• S• L•• · Independent Sponsorsshared crd · capital_provider
- A•••• S••••• G•••• S• L•• · Private Equityshared crd · organization
- A•••• S••••• G•••• S• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/alpha-square-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- alphasquaregroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 347-334-0787reportedpublic record, Form ADV, Aug 13, 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