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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Former SEC-registered adviser
A••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 16, 2020 · 15 filings
SEC status approved since May 15, 2020
RAUM
$106M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$106M as of Mar 31, 2026
Mar 30, 2021$713M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20210 then
Employees (5.A)2 as of Mar 31, 2026
Mar 30, 20212 then
Private funds1 as of Mar 31, 2026
Mar 30, 20211 then
RAUM -12% over the last fiscal year-49% a year over threeIARs 0 to 0
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
- $35.3MderivedRAUM 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
- -12%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
- Custody
- $106M, 3 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$106M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $106M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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••••• G••••• O•••• S•no longer reported | Hedge Fund | $4.0M | 4 | Mar 31, 2022 |
| A••••• G••••• M••••• F••• L•••••• | Hedge Fund | $165,000 | 23 | Apr 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- M••••• V••••• B••••••• · Directorcontrolsince 03/2020 · owns 75% or more
- S•••• T•••••••• •••• · Chief Compliance Officersince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• G••••• G• L••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $96.2M to $106MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $121M to $106MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $121M to $106MMar 31, 2025 to Mar 31, 2026
- RAUM · $121M to $106MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $1.3M to $96.2MMay 8, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 8, 2024 to Mar 31, 2025
- HQ city · unset to May 8, 2024 to Mar 31, 2025
- HQ state · unset to May 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $165M to $121MMay 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $165M to $121MMay 8, 2024 to Mar 31, 2025
- RAUM · $165M to $121MMay 8, 2024 to Mar 31, 2025
- Advisory employees · 3 to 1Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $244M to $1.3MMar 30, 2023 to Mar 27, 2024
- Employees · 4 to 2Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $789M to $165MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $789M to $165MMar 30, 2023 to Mar 27, 2024
- RAUM · $789M to $165MMar 30, 2023 to Mar 27, 2024
- Advisory employees · 2 to 3Jul 14, 2022 to Mar 30, 2023
- Assets in custody · $288M to $244MJul 14, 2022 to Mar 30, 2023
- Employees · 3 to 4Jul 14, 2022 to Mar 30, 2023
- Private funds · 2 to 1Jul 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $611M to $789MJul 14, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $611M to $789MJul 14, 2022 to Mar 30, 2023
- RAUM · $611M to $789MJul 14, 2022 to Mar 30, 2023
- Accounts · 2 to 3Nov 3, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 3Nov 3, 2021 to Mar 31, 2022
- Assets in custody · $227M to $288MNov 3, 2021 to Mar 31, 2022
- Employees · 2 to 3Nov 3, 2021 to Mar 31, 2022
- Private funds · 1 to 2Nov 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $713M to $611MNov 3, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $713M to $611MNov 3, 2021 to Mar 31, 2022
- RAUM · $713M to $611MNov 3, 2021 to Mar 31, 2022
- Succession · true to falseJun 8, 2021 to Nov 3, 2021
- Succession · false to trueMay 12, 2021 to Jun 8, 2021
- Assets in custody · $140M to $227MSep 11, 2020 to Mar 30, 2021
- Discretionary RAUM · $140M to $713MSep 11, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $140M to $713MSep 11, 2020 to Mar 30, 2021
- RAUM · $140M to $713MSep 11, 2020 to Mar 30, 2021
- Accounts · 0 to 2Apr 16, 2020 to Sep 11, 2020
- Pooled vehicle clients · unset to 2.0Apr 16, 2020 to Sep 11, 2020
Signals
7 dated events
- A••••• G••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $106.0M)Sep 1, 2026 · Left the SEC roster · derived
- Joe T•••••• D•••••••• (Chief Compliance Officer) no longer on Schedule A of A••••• G••••• L•• (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- A••••• G••••• L•• reported RAUM $165.0M, down 79% from $789.0M (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- A••••• G••••• L•• reported RAUM $789.0M, up 29% from $611.0M (2022-07-14 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 8, 2021 · Succession (Item 4) · fact
- A••••• G••••• L•• reported RAUM $713.0M, up 409% from $140.0M (2020-09-11 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- A••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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