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•••• C••••••• L••
Latest filing Mar 5, 2026
First filing on the tape May 9, 2024 · 6 filings
SEC status approved since Jul 17, 2024
RAUM
$3.2B
reported, Item 5.F
Discretionary
5.0%
of RAUM
Private clients
0.8%
$26.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$3.2B as of Mar 5, 2026
Jan 20, 2025$3.1B then
HNW client RAUM$26.8M as of Mar 5, 2026
Jan 20, 2025$27.0M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Jan 20, 20251 then
Employees (5.A)7 as of Mar 5, 2026
Jan 20, 20255 then
Private funds4 as of Mar 5, 2026
Jan 20, 20254 then
RAUM +3.7% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.4MderivedHNW RAUM over HNW clients
- Average account
- $266MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.0%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.9B61%
- Charitable organizations$1.1B34%
- Pooled investment vehicles$123M3.9%
- High-net-worth individuals$26.8M0.8%
- Insurance companies$6.7M0.2%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.65 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R•••••• J••••• | New York, Ny | Jan 21, 2025 | 25 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• R•••••• J••••• from H••••••• G••••Jan 21, 2025 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• H••••••• R••• E••••• I••••• F•••• L• | Real Estate Fund | $52.9M | 10 | Mar 14, 2023 |
| H••••••• O• F••• I• L• | Real Estate Fund | $24.5M | 39 | May 13, 2020 |
| P•• H••••••• M••••••••• L• | Hedge Fund | $22.9M | 12 | Apr 16, 2024 |
| P•• H••••••• M••••••••• L•• | Hedge Fund | $12.4M | 3 | Apr 16, 2024 |
| H••••••• O• F••• I•• L• | Real Estate Fund | $12.2M | 13 | Mar 14, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• B••••• M•••••• · Managing Partnercontrolsince 01/2024 · owns 50% to 75%
- J•••••• J•••••• R•••••• · Partner, Chief Compliance Officercontrolsince 01/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 5, 2026institutional share of RAUM of 34% against a peer median of 0% (1506 comparable advisers, 100.0th percentile, 11.6 robust deviations)peers: asset managers, $1B to $5B (1,506) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 14 to 12Feb 24, 2025 to Mar 5, 2026
- HNW clients · 3 to 2Feb 24, 2025 to Mar 5, 2026
- Employees · 5 to 7Feb 24, 2025 to Mar 5, 2026
- HQ city · NEW YORK to Feb 24, 2025 to Mar 5, 2026
- HQ state · NY to Feb 24, 2025 to Mar 5, 2026
- Discretionary RAUM · $158M to $159MFeb 24, 2025 to Mar 5, 2026
- HNW RAUM · $27.0M to $26.8MFeb 24, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $2.9B to $3.0BFeb 24, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $207M to $123MFeb 24, 2025 to Mar 5, 2026
- RAUM · $3.1B to $3.2BFeb 24, 2025 to Mar 5, 2026
- Financial planning clients · unset to Jan 20, 2025 to Feb 24, 2025
- Accounts · 13 to 14Jul 12, 2024 to Jan 20, 2025
- Business name · H••••••• C••••••• L•• to A•••• C••••••• L••Jul 12, 2024 to Jan 20, 2025
- Charity clients · unset to 1.0Jul 12, 2024 to Jan 20, 2025
- HNW clients · unset to 3.0Jul 12, 2024 to Jan 20, 2025
- Employees · 4 to 5Jul 12, 2024 to Jan 20, 2025
- Legal name · H••••••• C••••••• L•• to A•••• C••••••• L••Jul 12, 2024 to Jan 20, 2025
- Private funds · 5 to 4Jul 12, 2024 to Jan 20, 2025
- Discretionary RAUM · $2.7B to $158MJul 12, 2024 to Jan 20, 2025
- HNW RAUM · $27.0M to $27.0MJul 12, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $0 to $2.9BJul 12, 2024 to Jan 20, 2025
- Pooled vehicle RAUM · $125M to $207MJul 12, 2024 to Jan 20, 2025
- RAUM · $2.7B to $3.1BJul 12, 2024 to Jan 20, 2025
Signals
1 dated events
- H••••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 9, 2024 · 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
- altes.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 6465479080reportedpublic record, Form ADV, Mar 5, 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
- $3.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A•••• C••••••• 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.
Checking your plan…