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•••••• R••• A•••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Oct 28, 2020 · 10 filings
SEC status approved since Nov 27, 2020
RAUM
$2.8B
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
17
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$2.8B as of Mar 31, 2026
Mar 24, 2021$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 24, 20210 then
Employees (5.A)17 as of Mar 31, 2026
Mar 24, 20215 then
Private funds1 as of Mar 31, 2026
Mar 24, 20211 then
RAUM +79% over the last fiscal year+76% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 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
- $202MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +79%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
- $69.7M, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$2.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.7M for 3 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=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• R••• C•• M•••••• L• | Hedge Fund | $85.4M | 5 | Mar 24, 2021 |
| A•••••• R••• M••••• F•••• L• | Hedge Fund | $20.2M | 2 | Mar 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• D•••• · Chief Investment Officer And General Partnercontrolsince 07/2020 · owns 75% or more
- F••••••• M••••••• L••••••• · Chief Compliance Officer, Chief Financial Officer And Chief Operating Officercontrolsince 10/2020 · owns less than 5%
Related persons
Schedule D 7.A
- A•••••• R••• G• L••pooled vehicle sponsorn
- C•• G• L•••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2026-02-10, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 11.0 to 17.0 (+55.0%) between the annual amendments of 2025-03-04 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 99.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,585,778,631 to $2,831,762,434 (+79.0%) between the annual amendments of 2025-03-04 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 92.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 14Feb 10, 2026 to Mar 31, 2026
- Advisory employees · 8 to 13Feb 10, 2026 to Mar 31, 2026
- Pooled vehicle clients · 10 to 14Feb 10, 2026 to Mar 31, 2026
- Assets in custody · $0 to $69.7MFeb 10, 2026 to Mar 31, 2026
- Custody of client assets · false to trueFeb 10, 2026 to Mar 31, 2026
- Employees · 11 to 17Feb 10, 2026 to Mar 31, 2026
- HQ city · NEW YORK to WESTPORTFeb 10, 2026 to Mar 31, 2026
- HQ state · NY to CTFeb 10, 2026 to Mar 31, 2026
- Other offices · 0 to 1Feb 10, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $2.8BFeb 10, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $2.8BFeb 10, 2026 to Mar 31, 2026
- RAUM · $1.6B to $2.8BFeb 10, 2026 to Mar 31, 2026
- Accounts · 13 to 10Mar 21, 2024 to Mar 4, 2025
- Advisory employees · 6 to 8Mar 21, 2024 to Mar 4, 2025
- Pooled vehicle clients · 13 to 10Mar 21, 2024 to Mar 4, 2025
- Employees · 9 to 11Mar 21, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 4, 2025
- Private funds · 2 to 1Mar 21, 2024 to Mar 4, 2025
- Discretionary RAUM · $906M to $1.6BMar 21, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $906M to $1.6BMar 21, 2024 to Mar 4, 2025
- RAUM · $906M to $1.6BMar 21, 2024 to Mar 4, 2025
- Accounts · 12 to 13Mar 31, 2023 to Mar 21, 2024
- Advisory employees · 4 to 6Mar 31, 2023 to Mar 21, 2024
- Pooled vehicle clients · 12 to 13Mar 31, 2023 to Mar 21, 2024
- Employees · 6 to 9Mar 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $520M to $906MMar 31, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $520M to $906MMar 31, 2023 to Mar 21, 2024
- RAUM · $520M to $906MMar 31, 2023 to Mar 21, 2024
- Accounts · 9 to 12Apr 27, 2022 to Mar 31, 2023
- Pooled vehicle clients · 9 to 12Apr 27, 2022 to Mar 31, 2023
- Discretionary RAUM · $351M to $520MApr 27, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $351M to $520MApr 27, 2022 to Mar 31, 2023
- RAUM · $351M to $520MApr 27, 2022 to Mar 31, 2023
- Related bank · false to trueApr 27, 2022 to Mar 31, 2023
- Discretionary RAUM · $386M to $351MApr 8, 2022 to Apr 27, 2022
- Pooled vehicle RAUM · $386M to $351MApr 8, 2022 to Apr 27, 2022
- RAUM · $386M to $351MApr 8, 2022 to Apr 27, 2022
- Accounts · 5 to 9Mar 24, 2021 to Mar 28, 2022
- Advisory employees · 3 to 4Mar 24, 2021 to Mar 28, 2022
- Pooled vehicle clients · 5 to 9Mar 24, 2021 to Mar 28, 2022
Signals
6 dated events
- A•••••• R••• A•••• M••••••••• L• reported RAUM $2.8B, up 79% from $1.6B (2026-02-10 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A•••••• R••• A•••• M••••••••• L• reported RAUM $1.6B, up 75% from $905.7M (2024-03-21 to 2025-03-04)Mar 4, 2025 · RAUM change · derived
- A•••••• R••• A•••• M••••••••• L• reported RAUM $905.7M, up 74% from $520.4M (2023-03-31 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- A•••••• R••• A•••• M••••••••• L• reported RAUM $520.4M, up 48% from $351.5M (2022-04-27 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••••• R••• A•••• M••••••••• L• reported RAUM $386.4M, up 94% from $199.5M (2021-03-24 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- A•••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)Oct 28, 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-793-6220reportedpublic record, Form ADV, Mar 31, 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