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•• B••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 316743SEC 801-126261IAPD
Legal name A•• B••• L••• M••••••••• L••
Latest filing Sep 27, 2023
First filing on the tape Jun 29, 2022 · 8 filings
RAUM
$4.3M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$4.3M gross assets
History
8 filings and snapshots on the tape
RAUM$4.3M as of Sep 27, 2023
Jun 29, 2022$4.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 27, 2023
Jun 29, 20220 then
Employees (5.A)1 as of Sep 27, 2023
Jun 29, 20221 then
Private funds3 as of Sep 27, 2023
Jun 29, 20223 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 27, 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
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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 assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• V••••••• L•Venture Capital Fund$3.3M1Jun 29, 2022
      L••• P••• C•••••• L•Venture Capital Fund$550,0002Jun 29, 2022
      V••• V••••••• L•Venture Capital Fund$500,0001Jun 29, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • L••• D••••• K• · Chief Compliance Officer For Investment Advisorcontrol
        since 06/2021 · owns less than 5%
      Entity owners
      • A•• B••• L•••• I•• · Shareholder
        direct · 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.
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Apr 19, 2023 to Jul 3, 2023
      • HQ city · unset to SAN FRANCISCO
        Apr 19, 2023 to Jul 3, 2023
      • HQ state · unset to CA
        Apr 19, 2023 to Jul 3, 2023
      Signals
      2 dated events
      • B•••••• P••• (Chief Executive Officer) no longer on Schedule A of A•• B••• L••• (listed 2022-06-29, absent 2022-07-26)
        Jul 26, 2022 · Control person left · inference
      • A•• B••• L••• filed its initial SEC registration (Form ADV)
        Jun 29, 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