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••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 310743SEC 801-120116IAPD
Latest filing May 21, 2021
First filing on the tape Dec 9, 2020 · 4 filings
RAUM
$55.0M
reported, Item 5.F
Discretionary
0.0%
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
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$55.0M gross assets
History
4 filings and snapshots on the tape
RAUM$55.0M as of May 21, 2021
Dec 9, 2020$55.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 21, 2021
Dec 9, 20200 then
Employees (5.A)3 as of May 21, 2021
Dec 9, 20203 then
Private funds2 as of May 21, 2021
Dec 9, 20202 then
Practice profile
derived from the filing of May 21, 2021; 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
$27.5MderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$55.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••• P••••••• F••• L••Private Equity Fund$39.7M225Dec 9, 2020
      A••• T••• F•••Private Equity Fund$15.3M151Dec 9, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• N•••••• J••• · Ciocontrol
        since 05/2021 · owns less than 5%
      • B•••••• S••••••• K•••••• · Cco
        since 09/2020 · owns less than 5%
      • P•••••• P•••••• M•••••• · Coo
        since 09/2020 · owns less than 5%
      • L••••• A•••• D•••• · Shareholder
        since 09/2020 · owns 25% to 50% of A••• I••
      Entity owners
      • A••• I•• · Parent Company
        direct · owns 75% or more
      • A••• H••••••• L•• · Parent Company
        indirect · owns 75% or more of A••• I••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Middletown, NJ3 employees
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      2 dated events
      • John Norman Brodeur (Cio) appeared on Schedule A of A••• G••••• A•••• M••••••••• L••
        May 21, 2021 · Control person joined · fact
      • A••• G••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 9, 2020 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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