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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A••••• A•••••••• L••
Latest filing Mar 31, 2022
First filing on the tape May 8, 2020 · 6 filings
RAUM
$17.7M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$17.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$17.7M as of Mar 31, 2022
Mar 19, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2022
Mar 19, 20211 then
Employees (5.A)3 as of Mar 31, 2022
Mar 19, 20217 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
- RAUM per advisor
- $17.7MderivedRAUM 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
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $17.7M, 5 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)
- 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
- Individuals$17.7M100%
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.7M for 5 clientsreported
- Compensation
- % of AUM, fixed, 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
- C•••• M••••• E•••• to O•••••• M••••••••• L••Jan 5, 2022 · Other
- S•••••• R•••• D••••• to L•••• F••• A••••••• S•••••••Dec 17, 2021 · Other
Joined, latest
- C•••• J••• D••••••• from C• B••••••••• P•••••• W•••••Oct 25, 2021 · Other
- S•••••• R•••• D••••• from S••••••• F•••••••• S•••••••• I•••Jul 15, 2021 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• D••••••••• E••••• C•• I• L•• | Private Equity Fund | $0 | 0 | Aug 16, 2021 |
| A••••• D••••••••• R••• E••••• C•• I• L•• | Real Estate Fund | $0 | 0 | Aug 16, 2021 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• M•••••••• B•••• · Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- B••••••••• B•••• · Trusteecontrolsince 06/2020 · owns 75% or more of L••••••• T••••
- R•••••• M•••••••• B•••• · Membercontrolsince 01/2001 · owns 50% to 75% of S•••• R••••• T••••
Entity owners
- A••••• I••••••••• L•• · Managing Memberdirect · owns 75% or more
- L••••••• T•••• · Managing Memberdirect · owns 10% to 25%
- A••••• H•••••••• L•• · Memberindirect · owns 75% or more of A••••• I••••••••• L••
- S•••• R••••• T•••• · Memberindirect · owns 25% to 50% of A••••• H•••••••• L••
Related persons
Schedule D 7.A
- A••••• A•••• F••• I• G• L••pooled vehicle sponsorn
- A••••• B•• B••• P• 2• G•• L••pooled vehicle sponsorn
- A••••• B•• B••• P• G•• L••pooled vehicle sponsorn
- A••••• B••• S••• P• G•• L••pooled vehicle sponsorn
- A••••• B•••••••• K•• P• G•• L••pooled vehicle sponsorn
- A••••• B••••••• S•••••• P••••••• G• L••pooled vehicle sponsorn
- A••••• C•••••••• P• I• G•• L••pooled vehicle sponsorn
- A••••• C•••••• P• G•• L••pooled vehicle sponsorn
- A••••• D••••••••• E••••• C•• I• G• L••pooled vehicle sponsorn
- A••••• D••••••••• R••• E••••• C•• I• M••••••• L••pooled vehicle sponsorn
- A••••• G•• I• P• G• L••pooled vehicle sponsorn
- A••••• G••••• E••••• I• G• L••pooled vehicle sponsorn
- A••••• H••••••• P••••••• P• G• L••pooled vehicle sponsorn
- A••••• H••••• H•••••• P• 2• G•• L••pooled vehicle sponsorn
- A••••• L•••• 5• P• G•• L••pooled vehicle sponsorn
- A••••• M•••••• P••••••• P• G• L••pooled vehicle sponsorn
- A••••• O•••• A••••• P• G•pooled vehicle sponsorn
- A••••• P• S•• I• G•• L••pooled vehicle sponsorn
- A••••• P•••••• A•••••• L••investment advisernRAUM $562M
- A••••• R••• P• G• L••pooled vehicle sponsorn
- A••••• S••• S•••••• P• G•• L••pooled vehicle sponsorn
- A••••• S•• E••••••• S••• G• L••pooled vehicle sponsorn
- A••••• S•• E••••••• S••• P• 2• G• L••pooled vehicle sponsorn
- A••••• S••••••• D•••••• P• G• L••pooled vehicle sponsorn
- A••••• S•• L•••• S•••••• P• G• L••pooled vehicle sponsorn
- A••••• S•••••• Y•••• P••• P• G• L••pooled vehicle sponsorn
- C•••••• A••••••••• • T••• L••insurancen
- C•••••• I••••••••• A•••••••• L••investment advisernRAUM $8.2B
- I••••••••• A••••• P• G• L••pooled vehicle sponsorn
- O•• V•••••• F••• I• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 6Sep 8, 2021 to Mar 31, 2022
- Advisory employees · 2 to 1Sep 8, 2021 to Mar 31, 2022
- Individual clients · unset to 5.0Sep 8, 2021 to Mar 31, 2022
- Assets in custody · $0 to $17.7MSep 8, 2021 to Mar 31, 2022
- Employees · 7 to 3Sep 8, 2021 to Mar 31, 2022
- Insurance-licensed employees · 1 to 0Sep 8, 2021 to Mar 31, 2022
- Private funds · 2 to unsetSep 8, 2021 to Mar 31, 2022
- Individual RAUM · unset to 17744587.0Sep 8, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $17.7MSep 8, 2021 to Mar 31, 2022
- RAUM · $0 to $17.7MSep 8, 2021 to Mar 31, 2022
- Assets in custody · unset to 0.0Aug 16, 2021 to Sep 8, 2021
- Custody of client assets · false to trueAug 16, 2021 to Sep 8, 2021
- Private funds · unset to 2Mar 19, 2021 to Aug 16, 2021
- Employees · 2 to 7Sep 14, 2020 to Mar 19, 2021
- Advisory activities · 1 to 3May 8, 2020 to Sep 14, 2020
- Financial planning clients · unset to 0May 8, 2020 to Sep 14, 2020
Signals
5 dated events
- Ross Matthew Reiner (Member) no longer on Schedule A of A••••• A•••••••• L•• (listed 2021-09-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Mclane C•••• E•••• (Managing Member) no longer on Schedule A of A••••• A•••••••• L•• (listed 2021-09-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- C•••• M••••• E•••• left A••••• A•••••••• L•• for O•••••• M••••••••• L•• (registered 2023-03-31)Jan 5, 2022 · Advisor changed firm · fact
- B•••• B•••••••• (Trustee) appeared on Schedule A of A••••• A•••••••• L••Sep 14, 2020 · Control person joined · fact
- A••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 8, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• A•••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
A••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…