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•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 21, 2022 · 11 filings
SEC status approved since Nov 1, 2023
RAUM
$194M
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
20
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$194M as of Mar 31, 2026
Feb 29, 2024$25.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 29, 20240 then
Employees (5.A)20 as of Mar 31, 2026
Feb 29, 202431 then
Private funds1 as of Mar 31, 2026
Feb 29, 20241 then
RAUM +68% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 31, 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
- $97.2MderivedRAUM 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
- +68%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 vehiclesreportedItem 5.G
- Custody
- $194M, 2 clientsreportedItem 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$194M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $194M for 2 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• R••• E••••• F••••••• L• | Real Estate Fund | $25.8M | 8 | Dec 21, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J••• · Board Membercontrolsince 09/2024 · owns less than 5%
- B••••• J•••• C••••••••• · Board Membercontrolsince 09/2024 · owns less than 5%
- C••••• K••• · Board Membercontrolsince 09/2024 · owns less than 5%
- E••••••••• D••••••• F••••• · Board Membercontrolsince 07/2022 · owns less than 5%
- H•••••••• D•••••• W•••••• · Managing Director And Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- J•••••••• A••• K•••••• · Board Membercontrolsince 09/2024 · owns less than 5%
- K••••• P••••• S••••• · Board Membercontrolsince 09/2024 · owns less than 5%
- A••••••••• J••• · Sole Trustee, Beneficiarycontrolsince 11/2007 · owns F of T•• A•••••••• C• T•••• D•••• N••••••• 3•• 2•••
- E••••••••• D••••••• F••••• · Manager, Membercontrolsince 05/2011 · owns F of P••••••••• H•••••••• L••
- E••••••••• W••••• A•••• · Membercontrolsince 05/2011 · owns 50% to 75% of P••••••••• H•••••••• L••
- F••••• J•••• B••••••• · Managercontrolsince 07/2001 · owns F of O•••••• C•••••• M••••••••• L•••
- F••••• J•••• B••••••• · Managercontrolsince 05/2007 · owns F of O•••••• C•••••• G•••• H••••••• G•• L••
- K••••• B••••• A•••• · Managercontrolsince 05/1995 · owns F of O•••••• C•••••• M••••••••• L•••
- K••••• B••••• A•••• · Managercontrolsince 05/2007 · owns F of O•••••• C•••••• G•••• H••••••• G•• L••
- K••••• P••••• S••••• · Membercontrolsince 01/2021 · owns 25% to 50% of A••••••• A••••••••• I•••••••• L••
- L••••• D•••••• D••• · Managercontrolsince 04/2017 · owns F of O•••••• C•••••• M••••••••• L•••
- M••••• H•••••• S•••••• · Managercontrolsince 04/1995 · owns F of O•••••• C•••••• M••••••••• L•••
- M••••• H•••••• S•••••• · Managercontrolsince 05/2007 · owns F of O•••••• C•••••• G•••• H••••••• G•• L••
- M•••• T•••• E•••• · Managercontrolsince 03/2024 · owns F of O•••••• C•••••• M••••••••• L•••
- O••••••• R•••••• J• · Co-Ceocontrolsince 03/2024 · owns F of O•••••• C•••••• M••••••••• L•••
- P••••••••• A••••• R••• · Co-Ceocontrolsince 03/2024 · owns F of O•••••• C•••••• M••••••••• L•••
- S••••• A••••••••• J••••••• A•••••••• · Beneficiarycontrolsince 11/2007 · owns 50% to 75% of T•• A•••••••• C• T•••• D•••• N••••••• 3•• 2•••
- S••••• S••••••• M•••••• · Managercontrolsince 05/2007 · owns F of O•••••• C•••••• G•••• H••••••• G•• L••
- S••••• S••••••• M•••••• · Managercontrolsince 04/1995 · owns F of O•••••• C•••••• M••••••••• L•••
- T•••• R••••••• K•••• P•• · General Counselcontrolsince 03/2024 · owns F of O•••••• C•••••• M••••••••• L•••
- V••••••••• R•••••• P••••• · Managercontrolsince 03/2016 · owns F of O•••••• C•••••• M••••••••• L•••
Entity owners
- A•• R••• G•••• A••••• P•••••••• L•• · Memberdirect · owns 25% to 50%
- A•••• M••••••••• P•••••••• L•• · Managing Memberdirect · owns 50% to 75%
- A•• R••• E••••• H•••••••• L•• · Memberindirect · owns 75% or more of A•••• P••••••••• L••
- A••••••• A••••••••• I•••••••• L•• · Memberindirect · owns 25% to 50% of A•••• M••••••••• P•••••••• L••
- A•••• P••••••••• L•• · Managing Memberindirect · owns 50% to 75% of A•••• M••••••••• P•••••••• L••
- A•••• H••••••• I• L•• · Memberindirect · owns 75% or more of O•••••• N•• H••••••• L••
- A•••• S•••• H••••••• L•• · Memberindirect · owns 75% or more of A•••• H••••••• I• L••
- A•••• T•• L•• · Memberindirect · owns 75% or more of A•••• S•••• H••••••• L••
- B••••••••• A•••• M••••••••• L•• · Shareholderindirect · owns 25% to 50% of B••••••••• A•••• M••••••••• U•• · public reporting company
- B••••••••• A•••• M••••••••• U•• · Shareholderindirect · owns 75% or more of B••••••••• U• H••••••• I•••
- B••••••••• C••••••••• · Shareholderindirect · owns 75% or more of B••••••••• A•••• M••••••••• U•• · public reporting company
- B••••••••• O•••••• H•••••••• L•• · Memberindirect · owns F of B••••••••• O•• H•••••••• L••
- B••••••••• O•• H••••••• I•• L•• · Memberindirect · owns 50% to 75% of O•••••• C•••••• I• L•••
- B••••••••• O•• H•••••••• L•• · Member - Class Bindirect · owns F of B••••••••• O•• H••••••• I•• L••
- B••••••••• U• H••••••• I••• · Shareholderindirect · owns 75% or more of B••••••••• U• I•••
- B••••••••• U• I••• · Memberindirect · owns 75% or more of A•••• T•• L••
- O•••••• C•••••• G•••• H••••••• G•• L•• · General Partnerindirect · owns F of O•••••• C•••••• G•••• H•••••••• L•••
- O•••••• C•••••• G•••• H•••••••• L••• · Memberindirect · owns 25% to 50% of O•••••• C•••••• I• L•••
- O•••••• C•••••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of O•••••• C•••••• M••••••••• G•• L••
- O•••••• C•••••• H•••••••• L•• · Memberindirect · owns F of O•••••• C•••••• I• G•• L••
Related persons
Schedule D 7.A
- A•••• G•• L••pooled vehicle sponsory
- A••••••• I••••••••• L••investment advisernRAUM $6.1B
Advisers that list A•••• M••••••••• L•• as a related person
- 295468 n
Offices
Schedule D 1.F, the 25 largest
- Melville, NY9 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $115,969,750 to $194,450,000 (+68.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 94.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 94% percentile
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 31.0 to 20.0 (-35.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (393 comparable advisers, 6.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 5.9% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 2May 5, 2025 to Mar 31, 2026
- Advisory employees · 20 to 13May 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 2May 5, 2025 to Mar 31, 2026
- Assets in custody · $116M to $194MMay 5, 2025 to Mar 31, 2026
- Employees · 31 to 20May 5, 2025 to Mar 31, 2026
- Other offices · 1 to 0May 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $116M to $194MMay 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $116M to $194MMay 5, 2025 to Mar 31, 2026
- RAUM · $116M to $194MMay 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 5, 2025
- Accounts · 1 to 3Oct 30, 2024 to Mar 31, 2025
- Pooled vehicle clients · 1 to 3Oct 30, 2024 to Mar 31, 2025
- Assets in custody · $25.8M to $116MOct 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $25.8M to $116MOct 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $25.8M to $116MOct 30, 2024 to Mar 31, 2025
- RAUM · $25.8M to $116MOct 30, 2024 to Mar 31, 2025
- Advisory employees · 7 to 20Aug 29, 2023 to Feb 29, 2024
- Assets in custody · $0 to $25.8MAug 29, 2023 to Feb 29, 2024
- Employees · 15 to 31Aug 29, 2023 to Feb 29, 2024
- Other offices · 0 to 1Aug 29, 2023 to Feb 29, 2024
- Discretionary RAUM · $15.8M to $25.8MAug 29, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · $15.8M to $25.8MAug 29, 2023 to Feb 29, 2024
- RAUM · $15.8M to $25.8MAug 29, 2023 to Feb 29, 2024
Signals
16 dated events
- Stanley Howard Marks (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Allen Bruce Karsh (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Michael Sheldon Stone (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Bernkopf John Frank (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Emmet Todd Molz (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Parama Rodney Vencatachellum (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Dane Daniel Levin (Manager) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- J R••••• O•••••• (Co-Ceo) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Ryan Armen Panossian (Co-Ceo) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Kwang Pei Richard Ting (General Counsel) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Christopher John Brady (Board Member) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Katy Cheng (Board Member) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Kathryn Amy Johannes (Board Member) appeared on Schedule A of A•••• M••••••••• L••Oct 30, 2024 · Control person joined · fact
- Western Donald Hastings (Managing Director And Chief Compliance Officer) appeared on Schedule A of A•••• M••••••••• L••Apr 23, 2024 · Control person joined · fact
- Christopher Mccarthy (Chief Compliance Officer) no longer on Schedule A of A•••• M••••••••• L•• (listed 2024-02-29, absent 2024-04-23)Apr 23, 2024 · Control person left · inference
- A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 21, 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
- (212) 721-5500reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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