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•••••••• L••••••••• F•••••• L••
Latest filing Mar 18, 2026
First filing on the tape Oct 2, 2020 · 8 filings
SEC status approved since Oct 30, 2020
RAUM
$581M
reported, Item 5.F
Discretionary
95%
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
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$581M as of Mar 18, 2026
Feb 19, 2021$113M then
HNW client RAUM$0 as of Mar 18, 2026
Feb 19, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Feb 19, 20210 then
Employees (5.A)7 as of Mar 18, 2026
Feb 19, 20216 then
Private funds5 as of Mar 18, 2026
Mar 22, 20222 then
RAUM +18% over the last fiscal year-9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $116MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- +18%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$581M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• L••••••••• F•••••• O••••••• P••••••• L• | Private Equity Fund | $215M | 3 | Mar 22, 2022 |
| A•••••••• L••••••••• F•••••• O••••••• P••••••• I•• L• | Private Equity Fund | $99.5M | 1 | Mar 29, 2024 |
| A•••••••• L••••••••• I••••••••• C•••••• L• | Private Equity Fund | $56.3M | 2 | Mar 15, 2023 |
| A•••••••• L••••••••• F•••••• P••••••• L• | Private Equity Fund | $29.2M | 26 | Mar 22, 2022 |
| A•••••••• L••••••••• F•••••• P••••••• I• L• | Private Equity Fund | $19.9M | 26 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••• B••••• E••• · Chief Investment Officercontrolsince 04/2020 · owns less than 5%
- J••••••• N•••• H•••••• · Chief Executive Officercontrolsince 04/2020 · owns 75% or more
- L•••• J•• · Chief Financial Officercontrolsince 04/2020 · owns less than 5%
- M•••••• J•••• M•••••• · Chief Operating Officer & Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
Related persons
Schedule D 7.A
- A•• P••••••• G• L•pooled vehicle sponsorn
- A•• S•••••• G• L••n
- A•••••••• L••••••••• G• I•• L•pooled vehicle sponsorn
- A•••••••• L••••••••• G•• L•pooled vehicle sponsorn
- N••• H• J••••••• P•••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Mar 31, 2025 to Mar 18, 2026
- Employees · 6 to 7Mar 31, 2025 to Mar 18, 2026
- Discretionary RAUM · $452M to $551MMar 31, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $41.7M to $30.2MMar 31, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $493M to $581MMar 31, 2025 to Mar 18, 2026
- RAUM · $493M to $581MMar 31, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $405M to $452MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $41.7MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $405M to $493MMar 29, 2024 to Mar 31, 2025
- RAUM · $405M to $493MMar 29, 2024 to Mar 31, 2025
- Accounts · 3 to 5May 5, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 5May 5, 2023 to Mar 29, 2024
- Private funds · 3 to 5May 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $817M to $405MMay 5, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $817M to $405MMay 5, 2023 to Mar 29, 2024
- RAUM · $817M to $405MMay 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $272M to $817MMar 15, 2023 to May 5, 2023
- Non-discretionary RAUM · $513M to $0Mar 15, 2023 to May 5, 2023
- Pooled vehicle RAUM · $785M to $817MMar 15, 2023 to May 5, 2023
- RAUM · $785M to $817MMar 15, 2023 to May 5, 2023
- Advisory employees · 3 to 6Mar 22, 2022 to Mar 15, 2023
- Corporate clients · 1 to 0Mar 22, 2022 to Mar 15, 2023
- Pooled vehicle clients · 2 to 3Mar 22, 2022 to Mar 15, 2023
- Private funds · 2 to 3Mar 22, 2022 to Mar 15, 2023
- Discretionary RAUM · $44.6M to $272MMar 22, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $478M to $513MMar 22, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $44.6M to $785MMar 22, 2022 to Mar 15, 2023
- RAUM · $522M to $785MMar 22, 2022 to Mar 15, 2023
- Accounts · 1 to 3Feb 19, 2021 to Mar 22, 2022
- Pooled vehicle clients · 0 to 2Feb 19, 2021 to Mar 22, 2022
- Private funds · unset to 2Feb 19, 2021 to Mar 22, 2022
- Discretionary RAUM · $0 to $44.6MFeb 19, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $113M to $478MFeb 19, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $0 to $44.6MFeb 19, 2021 to Mar 22, 2022
- RAUM · $113M to $522MFeb 19, 2021 to Mar 22, 2022
- Accounts · unset to 1.0Oct 2, 2020 to Feb 19, 2021
- Corporate clients · 0 to 1Oct 2, 2020 to Feb 19, 2021
- Discretionary RAUM · unset to 0.0Oct 2, 2020 to Feb 19, 2021
- Non-discretionary RAUM · unset to 113000000.0Oct 2, 2020 to Feb 19, 2021
Signals
4 dated events
- A•••••••• L••••••••• F•••••• L•• reported RAUM $405.2M, down 50% from $816.9M (2023-05-05 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- A•••••••• L••••••••• F•••••• L•• reported RAUM $785.4M, up 50% from $522.5M (2022-03-22 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- A•••••••• L••••••••• F•••••• L•• reported RAUM $522.5M, up 362% from $113.0M (2021-02-19 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- A•••••••• L••••••••• F•••••• L•• filed its initial SEC registration (Form ADV)Oct 2, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••••• L••••••••• F•••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••••• L••••••••• F•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713.861.7200reportedpublic record, Form ADV, Mar 18, 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