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•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Sep 17, 2020 · 9 filings
SEC status approved since Oct 19, 2020
RAUM
$3.0B
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
0
beyond the principal office
Private funds
4
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$3.0B as of Mar 27, 2026
Feb 16, 2021$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 16, 20210 then
Employees (5.A)21 as of Mar 27, 2026
Feb 16, 202114 then
Private funds4 as of Mar 27, 2026
Feb 16, 20214 then
RAUM +3.5% over the last fiscal year+5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $755MderivedRAUM 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
- +3.5%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
- $2.2B, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2B for 4 clientsreported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• M••••• F••• L• | Hedge Fund | $2.7B | 3 | Sep 17, 2020 |
| A••• P••••••• L• | Hedge Fund | $1.3B | 107 | Sep 17, 2020 |
| A••• I••••••••• F••• L• | Hedge Fund | $632M | 2 | Sep 17, 2020 |
| A••• O••••••• F••• L•• | Hedge Fund | $629M | 57 | Sep 17, 2020 |
Owners and control persons
Schedule A and B, latest filing
- E••••••• C••••••••• T••• · Chief Financial Officercontrolsince 07/2020 · owns less than 5%
- M•••••••• P••••• M•••••• · Chief Operating Officercontrolsince 07/2020 · owns less than 5%
- P••••••• T•••••• W•••••• · Co-Foundercontrolsince 07/2020 · owns 50% to 75%
- T••••••• M••••• A•••••• · Co-Foundercontrolsince 07/2020 · owns 50% to 75%
- T•••••••• C••••••• E••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- P••••••• T•••••• W•••••• · Membercontrolsince 08/2020 · owns 50% to 75% of A••• C•••••• G• L••
- T••••••• M••••• A•••••• · Membercontrolsince 08/2020 · owns 50% to 75% of A••• C•••••• G• L••
Entity owners
- A••• C•••••• G• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••• C•••••• A••••••• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $2.2B to $2.2BMar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.9B to $3.0BMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.9B to $3.0BMar 26, 2025 to Mar 27, 2026
- RAUM · $2.9B to $3.0BMar 26, 2025 to Mar 27, 2026
- Advisory employees · 9 to 10Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $1.9B to $2.2BMar 27, 2024 to Mar 26, 2025
- Employees · 20 to 21Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.7B to $2.9BMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $2.7B to $2.9BMar 27, 2024 to Mar 26, 2025
- RAUM · $2.7B to $2.9BMar 27, 2024 to Mar 26, 2025
- Advisory employees · 8 to 9Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $1.9B to $1.9BMar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.5B to $2.7BMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $2.5B to $2.7BMar 28, 2023 to Mar 27, 2024
- RAUM · $2.5B to $2.7BMar 28, 2023 to Mar 27, 2024
- Assets in custody · $2.1B to $1.9BMar 30, 2022 to Mar 28, 2023
- Employees · 19 to 20Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.6B to $2.5BMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $2.6B to $2.5BMar 30, 2022 to Mar 28, 2023
- RAUM · $2.6B to $2.5BMar 30, 2022 to Mar 28, 2023
- Advisory employees · 6 to 8Feb 16, 2021 to Mar 30, 2022
- Assets in custody · $2.2B to $2.1BFeb 16, 2021 to Mar 30, 2022
- Employees · 14 to 19Feb 16, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.6B to $2.6BFeb 16, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.6B to $2.6BFeb 16, 2021 to Mar 30, 2022
- RAUM · $2.6B to $2.6BFeb 16, 2021 to Mar 30, 2022
- Accounts · 0 to 4Oct 1, 2020 to Feb 16, 2021
- Advisory employees · 5 to 6Oct 1, 2020 to Feb 16, 2021
- Assets in custody · $0 to $2.2BOct 1, 2020 to Feb 16, 2021
- Employees · 10 to 14Oct 1, 2020 to Feb 16, 2021
- Financial planning clients · 0 to unsetOct 1, 2020 to Feb 16, 2021
- Discretionary RAUM · $0 to $2.6BOct 1, 2020 to Feb 16, 2021
- Pooled vehicle RAUM · $0 to $2.6BOct 1, 2020 to Feb 16, 2021
- RAUM · $0 to $2.6BOct 1, 2020 to Feb 16, 2021
- Related adviser · false to trueOct 1, 2020 to Feb 16, 2021
Signals
2 dated events
- Edward Carlton Thompson (Chief Compliance Officer) appeared on Schedule A of A••• C•••••• M••••••••• L•Mar 30, 2022 · Control person joined · fact
- A••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Sep 17, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/alua-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 905-8680reportedpublic record, Form ADV, Mar 27, 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