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•••••••• P•••••••

Former SEC-registered adviserNew York, New YorkCRD 317103SEC 801-122616IAPD
Legal name A•••••••• P••••••• R••••••• A•• M••••••••• L••
Latest filing Feb 7, 2023
First filing on the tape Oct 4, 2021 · 6 filings
RAUM
$4.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$3.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.0M gross assets
History
6 filings and snapshots on the tape
RAUM$4.2M as of Feb 7, 2023
Mar 23, 2022$897,654 then
HNW client RAUM: $3.2M
State-registered IARs (5.B.3)0 as of Feb 7, 2023
Mar 23, 20220 then
Employees (5.A)4 as of Feb 7, 2023
Mar 23, 20224 then
Private funds: 1
RAUM +368% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 7, 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
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
+368%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • High-net-worth individuals$3.2M75%
  • Pooled investment vehicles$1.0M25%
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
$0 for 0 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•••••••• T••••••• O••••••••• F••• I•Hedge Fund$1.0M3Feb 7, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• T•••••• E•••••• · Co-Foundercontrol
        since 08/2021 · owns less than 5%
      • K•••• D•••••• S•••• · Co-Foundercontrol
        since 08/2021 · owns less than 5%
      • M••••• S••••••• I•• · Co-Foundercontrol
        since 08/2021 · owns less than 5%
      • K•••• D•••••• S•••• · Shareholdercontrol
        since 07/2021 · owns 25% to 50% of A•••••••• P•••••••• L••
      • M••••• S••••••• I•• · Shareholdercontrol
        since 07/2021 · owns 25% to 50% of A•••••••• P•••••••• L••
      • K••••••••• E•••• J••••• · Chief Compliance Officer
        since 03/2022 · owns less than 5%
      Entity owners
      • A•••••••• P•••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•• F••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 3
        Sep 26, 2022 to Feb 7, 2023
      • Advisory employees · 5 to 4
        Sep 26, 2022 to Feb 7, 2023
      • Pooled vehicle clients · unset to 1.0
        Sep 26, 2022 to Feb 7, 2023
      • Assets in custody · unset to 0.0
        Sep 26, 2022 to Feb 7, 2023
      • Custody of client assets · false to true
        Sep 26, 2022 to Feb 7, 2023
      • Employees · 5 to 4
        Sep 26, 2022 to Feb 7, 2023
      • Private funds · unset to 1
        Sep 26, 2022 to Feb 7, 2023
      • Discretionary RAUM · $1.5M to $4.2M
        Sep 26, 2022 to Feb 7, 2023
      • HNW RAUM · unset to 3169561.0
        Sep 26, 2022 to Feb 7, 2023
      • Pooled vehicle RAUM · unset to 1035745.0
        Sep 26, 2022 to Feb 7, 2023
      • RAUM · $1.5M to $4.2M
        Sep 26, 2022 to Feb 7, 2023
      • Advisory employees · 4 to 5
        Mar 23, 2022 to Sep 26, 2022
      • Advisory activities · 1 to 2
        Mar 23, 2022 to Sep 26, 2022
      • Employees · 4 to 5
        Mar 23, 2022 to Sep 26, 2022
      • HQ city · SUGAR LAND to NEW YORK
        Mar 23, 2022 to Sep 26, 2022
      • HQ state · TX to NY
        Mar 23, 2022 to Sep 26, 2022
      • Discretionary RAUM · $897,654 to $1.5M
        Mar 23, 2022 to Sep 26, 2022
      • RAUM · $897,654 to $1.5M
        Mar 23, 2022 to Sep 26, 2022
      • Discretionary RAUM · $428,000 to $897,654
        Jan 31, 2022 to Mar 23, 2022
      • RAUM · $428,000 to $897,654
        Jan 31, 2022 to Mar 23, 2022
      • Accounts · 0 to 1
        Oct 11, 2021 to Jan 31, 2022
      • Advisory employees · 3 to 4
        Oct 11, 2021 to Jan 31, 2022
      • Employees · 3 to 4
        Oct 11, 2021 to Jan 31, 2022
      • Discretionary RAUM · $0 to $428,000
        Oct 11, 2021 to Jan 31, 2022
      • RAUM · $0 to $428,000
        Oct 11, 2021 to Jan 31, 2022
      Signals
      1 dated events
      • A•••••••• P••••••• filed its initial SEC registration (Form ADV)
        Oct 4, 2021 · 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.
      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