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•••••• F••• M••••••••• L••
Latest filing May 4, 2026
First filing on the tape Mar 28, 2024 · 6 filings
SEC status approved since Apr 25, 2024
RAUM
$1.2B
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
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.2B as of May 4, 2026
Mar 26, 2025$830M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 26, 20250 then
Employees (5.A)13 as of May 4, 2026
Mar 26, 202512 then
Private funds3 as of May 4, 2026
Mar 26, 20253 then
RAUM +50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
- $414MderivedRAUM 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
- +50%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
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• C•••••• I••••••••• O••••••••• F••• L• | Private Equity Fund | $151M | 94 | Mar 28, 2024 |
| A••••••••• C•••••• I••••••••• F••• I•• L• | Private Equity Fund | $147M | 41 | Mar 28, 2024 |
| A••••••••• C•••••• I••••••••• L• | Private Equity Fund | $97.7M | 88 | Nov 12, 2020 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• H•••••• K••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- G••••••• J•••• V•••••• · Managing Member, Chief Investment Officercontrolsince 01/2020 · owns 50% to 75%
- R••••••• P•••• I•••••••• · Chief Financial Officercontrolsince 03/2020 · owns less than 5%
- B•••••••• J••••• R• · Managing Partnersince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••• G• L••pooled vehicle sponsorn
- A••••••••• C•••••• F••• G• L••pooled vehicle sponsorn
- A••••••••• C•••••• F••• I•• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 12 to 13Feb 2, 2026 to Mar 25, 2026
- Discretionary RAUM · $830M to $1.2BFeb 2, 2026 to Mar 25, 2026
- Pooled vehicle RAUM · $830M to $1.2BFeb 2, 2026 to Mar 25, 2026
- RAUM · $830M to $1.2BFeb 2, 2026 to Mar 25, 2026
- HQ city · to ENGLEWOOD CLIFFSMar 26, 2025 to Feb 2, 2026
- HQ state · to NJMar 26, 2025 to Feb 2, 2026
- Employees · 10 to 12Sep 25, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 25, 2024 to Mar 26, 2025
- HQ city · unset to Sep 25, 2024 to Mar 26, 2025
- HQ state · unset to Sep 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $247M to $830MSep 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $147M to $0Sep 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $394M to $830MSep 25, 2024 to Mar 26, 2025
- RAUM · $394M to $830MSep 25, 2024 to Mar 26, 2025
- Private funds · 6 to 3Mar 28, 2024 to Sep 25, 2024
Signals
5 dated events
- A••••••••• C•••••• F••• M••••••••• L•• reported RAUM $1.2B, up 50% from $830.5M (2026-02-02 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- A••••••••• C•••••• F••• M••••••••• L•• reported RAUM $830.5M, up 111% from $393.7M (2024-09-25 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Karl Herman Dimlich (Chief Compliance Officer) appeared on Schedule A of A••••••••• C•••••• F••• M••••••••• L••Sep 25, 2024 · Control person joined · fact
- Ignatiaus Paul Rubacky (Chief Financial Officer) appeared on Schedule A of A••••••••• C•••••• F••• M••••••••• L••Sep 25, 2024 · Control person joined · fact
- A••••••••• C•••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••••• C•••••• F••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••••••• C•••••• F••• M••••••••• 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
- 212-204-3516reportedpublic record, Form ADV, May 4, 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