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• C•••••• M••••••••• L•

Former SEC-registered adviserEast Hampton, New YorkCRD 311003SEC 801-126010IAPD
Latest filing Mar 6, 2023
First filing on the tape Jun 1, 2022 · 2 filings
RAUM
$109M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$109M gross assets
History
2 filings and snapshots on the tape
RAUM$109M as of Mar 6, 2023
Jun 1, 2022$182M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2023
Jun 1, 20220 then
Employees (5.A)3 as of Mar 6, 2023
Jun 1, 20225 then
Private funds1 as of Mar 6, 2023
Jun 1, 20222 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 6, 2023; 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
$36.2MderivedRAUM 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
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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$109M, 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
  • 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)
  • 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$109M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$109M 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A• M••••• F••• L•Hedge Fund$109M21Oct 14, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A••••••••• J••••••• · Partner And Chief Investment Officercontrol
        since 10/2020 · owns 25% to 50%
      • F•••• M••••••• K•••• · Partner And Chief Investment Officercontrol
        since 07/2020 · owns 50% to 75%
      • S••••••• A•••••• M••• · Partner And Chief Compliance Officercontrol
        since 07/2020 · owns 5% to 10%
      • B••••• A••••••••• J••••••• · Membercontrol
        since 10/2020 · owns 25% to 50% of A• C•••••• M••••••••• G• L••
      • F•••• M••••••• K•••• · Managing Membercontrol
        since 07/2020 · owns 50% to 75% of A• C•••••• M••••••••• G• L••
      Entity owners
      • A• C•••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A• P••••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Jun 1, 2022 to Mar 6, 2023
      • Assets in custody · $158M to $109M
        Jun 1, 2022 to Mar 6, 2023
      • Employees · 5 to 3
        Jun 1, 2022 to Mar 6, 2023
      • HQ city · NEW YORK to EAST HAMPTON
        Jun 1, 2022 to Mar 6, 2023
      • Other offices · 1 to 0
        Jun 1, 2022 to Mar 6, 2023
      • Private funds · 2 to 1
        Jun 1, 2022 to Mar 6, 2023
      • Discretionary RAUM · $182M to $109M
        Jun 1, 2022 to Mar 6, 2023
      • Pooled vehicle RAUM · $182M to $109M
        Jun 1, 2022 to Mar 6, 2023
      • RAUM · $182M to $109M
        Jun 1, 2022 to Mar 6, 2023
      Signals
      1 dated events
      • A• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 1, 2022 · 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