DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
A••• G••••••• • C••• L•••
Latest filing Aug 12, 2024
First filing on the tape Jan 3, 2024 · 7 filings
RAUM
$1.9M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
$3.8M gross assets
History
7 filings and snapshots on the tape
RAUM$1.9M as of Aug 12, 2024
Jan 3, 2024$150,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 12, 2024
Jan 3, 20240 then
Employees (5.A)2 as of Aug 12, 2024
Jan 3, 20242 then
Private funds10 as of Aug 12, 2024
Jan 3, 20242 then
Practice profile
derived from the filing of Aug 12, 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
- $210,878derivedRAUM 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
- 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $1.9M, 9 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9M for 9 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
Private funds
32 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A••••• P•••••••• · Chief Executive Officer, Chief Investment Officer, And Chief Compliance Officercontrolsince 01/2024 · owns 25% to 50%
- G•••••••• A••••• P•••••••• · Chief Compliance Officer, Chief Executive Officer, And Chief Investment Officercontrolsince 07/2024 · owns 75% or more of A••• G••••••• G••••• M••••••••• C••••
Entity owners
- A••• G••••••• A•••• M••••••••• C•••• · M••••••direct · owns 75% or more
- A••• G••••••• G••••• M••••••••• C•••• · Sole Stockholderindirect · owns 75% or more of A••• G••••••• A•••• M••••••••• C••••
Related persons
Schedule D 7.A
- A••• G••••••• M••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Organization form · Limited Partnership to Limited Liability CompanyJul 19, 2024 to Aug 12, 2024
- Succession · false to trueJul 19, 2024 to Aug 12, 2024
- Private funds · 16 to 10Apr 24, 2024 to Jun 7, 2024
- Accounts · 4 to 9Mar 7, 2024 to Apr 24, 2024
- Advisory activities · 2 to 3Mar 7, 2024 to Apr 24, 2024
- Pooled vehicle clients · 3 to 9Mar 7, 2024 to Apr 24, 2024
- Assets in custody · $8,000 to $1.9MMar 7, 2024 to Apr 24, 2024
- Employees · 3 to 2Mar 7, 2024 to Apr 24, 2024
- Financial planning clients · unset to 0Mar 7, 2024 to Apr 24, 2024
- HQ city · WILTON to NEW YORKMar 7, 2024 to Apr 24, 2024
- HQ state · CT to NYMar 7, 2024 to Apr 24, 2024
- Private funds · 6 to 16Mar 7, 2024 to Apr 24, 2024
- Discretionary RAUM · $8,000 to $1.9MMar 7, 2024 to Apr 24, 2024
- Pooled vehicle RAUM · $3,000 to $1.9MMar 7, 2024 to Apr 24, 2024
- RAUM · $8,000 to $1.9MMar 7, 2024 to Apr 24, 2024
- Accounts · 2 to 4Jan 3, 2024 to Mar 7, 2024
- Advisory employees · 1 to 2Jan 3, 2024 to Mar 7, 2024
- Advisory activities · 1 to 2Jan 3, 2024 to Mar 7, 2024
- Business name · W••••••• M••••••••• L•• to A••• G••••••• • C••• L•••Jan 3, 2024 to Mar 7, 2024
- Pooled vehicle clients · 2 to 3Jan 3, 2024 to Mar 7, 2024
- Assets in custody · $0 to $8,000Jan 3, 2024 to Mar 7, 2024
- Custody of client assets · false to trueJan 3, 2024 to Mar 7, 2024
- Employees · 2 to 3Jan 3, 2024 to Mar 7, 2024
- HQ city · NEW YORK to WILTONJan 3, 2024 to Mar 7, 2024
- HQ state · NY to CTJan 3, 2024 to Mar 7, 2024
- Legal name · W••••••• M••••••••• L•• to A••• G••••••• • C••• L•••Jan 3, 2024 to Mar 7, 2024
- Organization form · Limited Liability Company to Limited PartnershipJan 3, 2024 to Mar 7, 2024
- Private funds · 2 to 6Jan 3, 2024 to Mar 7, 2024
- Discretionary RAUM · $150,000 to $8,000Jan 3, 2024 to Mar 7, 2024
- Pooled vehicle RAUM · $150,000 to $3,000Jan 3, 2024 to Mar 7, 2024
- RAUM · $150,000 to $8,000Jan 3, 2024 to Mar 7, 2024
Signals
2 dated events
- A••• G••••••• • C••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 12, 2024 · Succession (Item 4) · fact
- A••• G••••••• • C••• L••• filed its initial SEC registration (Form ADV)Mar 7, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• G••••••• • C••• L••• · Venture Capitalshared crd · organization
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