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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••• F••• M••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 25, 2022 · 12 filings
SEC status approved since Feb 25, 2022
RAUM
$4.5B
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
239
88 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$4.5B as of Mar 27, 2026
Mar 31, 2023$877M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20230 then
Employees (5.A)239 as of Mar 27, 2026
Mar 31, 202397 then
Private funds: no history
RAUM +34% over the last fiscal year+73% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 27, 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
- $4.5BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%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 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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=true related_bank=true bd_reps=14.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• T•••••• J••••• · Chief Executive Officer & Presidentcontrolsince 01/2022 · owns less than 5%
- N•••••• J•••• · General Counsel - Secretary & Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- W••••••• T•••••••• J••••• · Chief Financial Officer & Treasurercontrolsince 01/2022 · owns less than 5%
Entity owners
- A•••••• G••••• • C••• L••• · Sole M•••••direct · owns 75% or more
- T•• O•••••••• G•••• I•• L••• · Managing M•••••direct · owns 75% or more
- A• G• L•• · General Partnerindirect · owns F of A•••••• G••••• • C••• L•••
- T•• G•••• H••••••• •••• L••• · L•••••• Partnerindirect · owns 50% to 75% of T•• O•••••••• G•••• I•• L•••
- T•• O•••••••• G•••• I•• L••• · Managing M•••••indirect · owns 75% or more of A• G• L••
- T•• N•• H•••••••• L•• · L•••••• Partnerindirect · owns 75% or more of T•• G•••• H••••••• •••• L•••
- T•• P•••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of T•• N•• H•••••••• L••
Related persons
Schedule D 7.A
- A• A•••• G• L••bankpooled vehicle sponsorn
- A• A•• L••bankpooled vehicle sponsorn
- A• A•••••• G• L••bankpooled vehicle sponsorn
- A• A••• C••••• G•• L••bankpooled vehicle sponsorn
- A• A••• I• L••bankpooled vehicle sponsorn
- A• A••• I•• L••bankpooled vehicle sponsorn
- A• A••• I• L••bankpooled vehicle sponsorn
- A• A••• L••bankpooled vehicle sponsorn
- A• A••• V• L••bankpooled vehicle sponsorn
- A• A•••• B•••• C••••• G•• L••bankpooled vehicle sponsorn
- A• C•••••• R••••••• V••• L••bankpooled vehicle sponsorn
- A• C•••••• S•••••••• G• L••bankpooled vehicle sponsorn
- A• C••••• S••••• G• L••bankpooled vehicle sponsorn
- A• C•• E••••• F••• G•• L••bankpooled vehicle sponsorn
- A• C•••••••• C••••• O••••••••• G• L••pooled vehicle sponsorn
- A• C••••• S•••••••• F••• G•• L••bankpooled vehicle sponsorn
- A• C••••• S•••••••• F••• I• G•• L••bankpooled vehicle sponsorn
- A• C•••• G• L••bankpooled vehicle sponsorn
- A• C•••• I• G• L••bankpooled vehicle sponsorn
- A• C•••• I•• G• L••bankpooled vehicle sponsorn
- A• C•••• •••••• D••••••••• F••• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• E•••••••• F••• G• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• ••• G•• L••pooled vehicle sponsorn
- A• D••••• L•••••• F••• ••• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• I• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• I•• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• I• A•••• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• I• G•• L••bankpooled vehicle sponsorn
- A• D••••• L•••••• F••• V• G•• L••bankpooled vehicle sponsorn
Advisers that list A••• F••• M••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL77 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Mar 27, 2026related persons on Schedule D 7.A of 377.0 against a peer median of 7.0 (850 comparable advisers, 100.0th percentile, 83.2 robust deviations)peers: ASSET_M••••••, $1B to $5B (850) · 100% percentile
What changed
consecutive filings, newest first
- Advisory employees · 83 to 88Mar 28, 2025 to Mar 27, 2026
- BD registered reps · 8 to 14Mar 28, 2025 to Mar 27, 2026
- Employees · 236 to 239Mar 28, 2025 to Mar 27, 2026
- Other offices · 1 to 2Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.4B to $4.5BMar 28, 2025 to Mar 27, 2026
- RAUM · $3.4B to $4.5BMar 28, 2025 to Mar 27, 2026
- Advisory employees · 78 to 83Sep 27, 2024 to Mar 28, 2025
- BD registered reps · 0 to 8Sep 27, 2024 to Mar 28, 2025
- Employees · 350 to 236Sep 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $3.4BSep 27, 2024 to Mar 28, 2025
- RAUM · $1.5B to $3.4BSep 27, 2024 to Mar 28, 2025
- Related insurance company · true to falseSep 27, 2024 to Mar 28, 2025
- Advisory employees · 70 to 78Dec 1, 2023 to Mar 28, 2024
- Employees · 97 to 350Dec 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $877M to $1.5BDec 1, 2023 to Mar 28, 2024
- RAUM · $877M to $1.5BDec 1, 2023 to Mar 28, 2024
- Related insurance company · false to trueOct 11, 2023 to Dec 1, 2023
- Accounts · unset to 1.0Aug 12, 2022 to Mar 31, 2023
- Advisory employees · 59 to 70Aug 12, 2022 to Mar 31, 2023
- Employees · 76 to 97Aug 12, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 877465185.0Aug 12, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Aug 12, 2022 to Mar 31, 2023
- RAUM · unset to 877465185.0Aug 12, 2022 to Mar 31, 2023
Signals
13 dated events
- A••• F••• M••••••• L•• reported RAUM $4.5B, up 34% from $3.4B (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- A••• F••• M••••••• L•• reported RAUM $3.4B, up 128% from $1.5B (2024-09-27 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Nmn David Bonderman (Shareholder) no longer on Schedule A of A••• F••• M••••••• L•• (listed 2024-03-28, absent 2024-09-27)Sep 27, 2024 · Control person left · inference
- George James Coulter (Shareholder) no longer on Schedule A of A••• F••• M••••••• L•• (listed 2024-03-28, absent 2024-09-27)Sep 27, 2024 · Control person left · inference
- A••• F••• M••••••• L•• reported RAUM $1.5B, up 68% from $877.5M (2023-12-01 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Robert Adam Schwartz (Managing Member) no longer on Schedule A of A••• F••• M••••••• L•• (listed 2023-10-11, absent 2023-12-01)Dec 1, 2023 · Control person left · inference
- Sean Joshua Baumgarten (Managing Member) no longer on Schedule A of A••• F••• M••••••• L•• (listed 2023-10-11, absent 2023-12-01)Dec 1, 2023 · Control person left · inference
- Nmn David Bonderman (Shareholder) appeared on Schedule A of A••• F••• M••••••• L••Dec 1, 2023 · Control person joined · fact
- George James Coulter (Shareholder) appeared on Schedule A of A••• F••• M••••••• L••Dec 1, 2023 · Control person joined · fact
- M Richa Gulati (Chief Compliance Officer) no longer on Schedule A of A••• F••• M••••••• L•• (listed 2023-03-31, absent 2023-10-10)Oct 10, 2023 · Control person left · inference
- M Richa Gulati (Chief Compliance Officer) appeared on Schedule A of A••• F••• M••••••• L••Aug 12, 2022 · Control person joined · fact
- James Adam Freedman (Chief Compliance Officer) no longer on Schedule A of A••• F••• M••••••• L•• (listed 2022-05-18, absent 2022-08-12)Aug 12, 2022 · Control person left · inference
- A••• F••• M••••••• L•• filed its initial SEC registration (Form ADV)Jan 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
- Website
- agtbcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-692-2000reportedpublic record, Form ADV, Mar 27, 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 M••••••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