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••••••
Latest filing Jul 6, 2026
First filing on the tape Mar 25, 2022 · 13 filings
SEC status approved since May 24, 2022
RAUM
$2.3B
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
37
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$2.3B as of Jul 6, 2026
Mar 29, 2023$360M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 6, 2026
Mar 29, 20230 then
Employees (5.A)37 as of Jul 6, 2026
Mar 29, 202313 then
Private funds3 as of Jul 6, 2026
Mar 29, 20231 then
RAUM +99% over the last fiscal year+87% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 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
- $138MderivedRAUM 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
- +99%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 vehicles, portfolio management for investment companiesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.3B96%
- Investment companies$85.0M3.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• E••••••• A•••• M••••• F••• | Hedge Fund | $36.1M | 12 | Apr 12, 2021 |
| A••••••••• A•••• A•••• M••••• F••• | Hedge Fund | $24.8M | 10 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• A•••••• B•••••• · Managing Directorcontrolsince 05/2020 · owns less than 5%
- C•••• R••••••• S•• W•• · Managing Director, Chief Compliance Officercontrolsince 05/2020 · owns less than 5%
- C•••••• P•••••• · Managing Directorcontrolsince 05/2020 · owns less than 5%
- A••••••••• A•••••• B•••••• · Shareholdercontrolsince 05/2020 · owns 25% to 50% of A••••••••• H••••••• L••••••
- C•••• R••••••• S•• W•• · Shareholdercontrolsince 05/2020 · owns 25% to 50% of A••••••••• H••••••• L••••••
- C•••••• P•••••• · Shareholdercontrolsince 05/2020 · owns 25% to 50% of A••••••••• H••••••• L••••••
Entity owners
- A••••••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $1,174,566,783 to $2,339,219,168 (+99.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 94.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 14 to 17Feb 2, 2026 to Mar 30, 2026
- Advisory employees · 15 to 19Feb 2, 2026 to Mar 30, 2026
- Pooled vehicle clients · 13 to 16Feb 2, 2026 to Mar 30, 2026
- Employees · 30 to 37Feb 2, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $2.3BFeb 2, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $1.1B to $2.3BFeb 2, 2026 to Mar 30, 2026
- RAUM · $1.2B to $2.3BFeb 2, 2026 to Mar 30, 2026
- Accounts · 9 to 14Nov 5, 2024 to Mar 27, 2025
- Advisory employees · 11 to 15Nov 5, 2024 to Mar 27, 2025
- Pooled vehicle clients · 8 to 13Nov 5, 2024 to Mar 27, 2025
- Employees · 19 to 30Nov 5, 2024 to Mar 27, 2025
- Financial planning clients · unset to Nov 5, 2024 to Mar 27, 2025
- HQ state · unset to Nov 5, 2024 to Mar 27, 2025
- Private funds · 2 to 3Nov 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $533M to $1.2BNov 5, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $474M to $1.1BNov 5, 2024 to Mar 27, 2025
- RAUM · $533M to $1.2BNov 5, 2024 to Mar 27, 2025
- Accounts · 6 to 9Aug 15, 2023 to Mar 27, 2024
- Advisory employees · 7 to 11Aug 15, 2023 to Mar 27, 2024
- Advisory activities · 1 to 2Aug 15, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 8Aug 15, 2023 to Mar 27, 2024
- Employees · 13 to 19Aug 15, 2023 to Mar 27, 2024
- Private funds · 1 to 2Aug 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $360M to $533MAug 15, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $360M to $474MAug 15, 2023 to Mar 27, 2024
- RAUM · $360M to $533MAug 15, 2023 to Mar 27, 2024
- Accounts · 3 to 6Jul 7, 2022 to Mar 29, 2023
- Advisory employees · 4 to 7Jul 7, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 6Jul 7, 2022 to Mar 29, 2023
- Employees · 6 to 13Jul 7, 2022 to Mar 29, 2023
- Discretionary RAUM · $76.9M to $360MJul 7, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $76.9M to $360MJul 7, 2022 to Mar 29, 2023
- RAUM · $76.9M to $360MJul 7, 2022 to Mar 29, 2023
- Accounts · 2 to 3May 13, 2022 to May 20, 2022
- Pooled vehicle clients · 2 to 3May 13, 2022 to May 20, 2022
- Private funds · 2 to 1Mar 25, 2022 to May 13, 2022
Signals
5 dated events
- A••••••••• L•••••• reported RAUM $2.3B, up 99% from $1.2B (2026-02-02 to 2026-03-30)Mar 30, 2026 · ria raum c•••ge · derived
- A••••••••• L•••••• reported RAUM $1.2B, up 120% from $532.9M (2024-11-05 to 2025-03-27)Mar 27, 2025 · ria raum c•••ge · derived
- A••••••••• L•••••• reported RAUM $532.9M, up 48% from $359.6M (2023-08-15 to 2024-03-27)Mar 27, 2024 · ria raum c•••ge · derived
- A••••••••• L•••••• reported RAUM $359.6M, up 368% from $76.9M (2022-07-07 to 2023-03-29)Mar 29, 2023 · ria raum c•••ge · derived
- A••••••••• L•••••• filed its initial SEC registration (Form ADV)Mar 25, 2022 · 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
- Principal office phone
- 852 3698 9298reportedpublic record, Form ADV, Jul 6, 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