DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Former SEC-registered adviser
A• I••••••••• M•••••••••
Legal name A• I••••••••• M••••••••• L••
Latest filing Sep 19, 2024
First filing on the tape Mar 30, 2023 · 7 filings
SEC status approved since May 1, 2023
RAUM
$2.8B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
16%
$451M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.8B as of Sep 19, 2024
Mar 30, 2023$0 then
HNW client RAUM$0 as of Sep 19, 2024
Mar 30, 2023$0 then
State-registered IARs (5.B.3)0 as of Sep 19, 2024
Mar 30, 20230 then
Employees (5.A)10 as of Sep 19, 2024
Mar 30, 20235 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 19, 2024; 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
- $947MderivedRAUM 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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.4B84%
- Individuals$451M16%
- Individual clients
- 1reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• T•• · Presidentcontrolsince 06/2023 · owns less than 5%
- L•••••••• J•••••• T••• · Ownercontrolsince 09/2021 · owns 25% to 50% of A••••••
- G•••••••• A••• M••••••• · Chief Compliance Officersince 09/2024 · owns less than 5%
Entity owners
- A•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• S••••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 3Feb 12, 2024 to Mar 26, 2024
- Advisory employees · 5 to 10Feb 12, 2024 to Mar 26, 2024
- BD registered reps · 6 to 4Feb 12, 2024 to Mar 26, 2024
- Individual clients · 0 to 1Feb 12, 2024 to Mar 26, 2024
- Employees · 12 to 10Feb 12, 2024 to Mar 26, 2024
- Individual RAUM · $0 to $451MFeb 12, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $100M to $2.8BFeb 12, 2024 to Mar 26, 2024
- RAUM · $100M to $2.8BFeb 12, 2024 to Mar 26, 2024
- BD registered reps · 0 to 6Aug 31, 2023 to Feb 12, 2024
- Employees · 5 to 12Aug 31, 2023 to Feb 12, 2024
- Accounts · 0 to 1Jul 7, 2023 to Aug 31, 2023
- Non-discretionary RAUM · $0 to $100MJul 7, 2023 to Aug 31, 2023
- RAUM · $0 to $100MJul 7, 2023 to Aug 31, 2023
Signals
7 dated events
- A• I••••••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $2.8B)May 2, 2025 · Left the SEC roster · derived
- K Bryan Jacobsen (Chief Compliance Officer) no longer on Schedule A of A• I••••••••• M••••••••• (listed 2024-03-26, absent 2024-09-13)Sep 13, 2024 · Control person left · inference
- A• I••••••••• M••••••••• reported RAUM $2.8B, up 2741% from $100.0M (2024-02-12 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- K Bryan Jacobsen (Chief Compliance Officer) appeared on Schedule A of A• I••••••••• M•••••••••Feb 12, 2024 · Control person joined · fact
- William John Wiseman (President) no longer on Schedule A of A• I••••••••• M••••••••• (listed 2023-03-30, absent 2023-07-07)Jul 7, 2023 · Control person left · inference
- Tan Rowena Carreon (President) appeared on Schedule A of A• I••••••••• M•••••••••Jul 7, 2023 · Control person joined · fact
- A• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 30, 2023 · 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