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••••• C•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 323347SEC 801-127078IAPD
Latest filing Jan 10, 2023
First filing on the tape Nov 21, 2022 · 3 filings
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$100M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$100M as of Jan 10, 2023
Nov 21, 2022$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 10, 2023
Nov 21, 20221 then
Employees (5.A)2 as of Jan 10, 2023
Nov 21, 20222 then
Private funds: no history
Practice profile
derived from the filing of Jan 10, 2023; every figure names its basis
RAUM per advisor
$100MderivedRAUM 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
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$100M100%
Individual clients
1reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••• A•••• · Ownercontrol
      since 12/2022 · owns F of A••••• C•••••• L••
    • A•••••• A••••• B••••••••• · Ceo
      since 11/2020 · owns 75% or more
    • B•••• R•••••• L•• · Cco
      since 10/2022 · owns less than 5%
    Entity owners
    • A••••• C•••••• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    3 dated events
    • R••••• L•• B••• left A••••• C•••••• A••••••• L•• for A•••••••• C••••••••• (registered 2023-06-05)
      Mar 6, 2024 · Advisor changed firm · fact
    • A•••• A••••• (Owner) appeared on Schedule A of A••••• C•••••• A••••••• L••
      Nov 27, 2022 · Control person joined · fact
    • A••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 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.
    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