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••• I••••••••• M••••••••• L•
Latest filing Apr 8, 2026
First filing on the tape Nov 17, 2025 · 3 filings
SEC status approved since Dec 9, 2025
RAUM
$134M
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
17
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$134M as of Apr 8, 2026
Nov 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 8, 2026
Nov 17, 20250 then
Employees (5.A)17 as of Apr 8, 2026
Nov 17, 202516 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 8, 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
- $134MderivedRAUM 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 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$134M100%
- 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=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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• A•••• L••• · Financial Controller, Non- Member Manager, Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- Z•••••••• A•••••• C•••••• · Non-Member Managersince 02/2025 · owns less than 5%
- Z•••••••• J••••• D••••••••• · Non-Member Managersince 02/2025 · owns less than 5%
Entity owners
- A••• I• 2• L•• · General Partnerdirect · owns less than 5%
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
- business activity changedChange between filings · filing Apr 8, 2026advises private funds (Item 7.B): no on the filing of 2026-03-31, yes on the filing of 2026-04-08peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 0 to 1Mar 31, 2026 to Apr 8, 2026
- Pooled vehicle clients · 0 to 1Mar 31, 2026 to Apr 8, 2026
- Private funds · unset to 1Mar 31, 2026 to Apr 8, 2026
- Discretionary RAUM · $0 to $134MMar 31, 2026 to Apr 8, 2026
- Pooled vehicle RAUM · $0 to $134MMar 31, 2026 to Apr 8, 2026
- RAUM · $0 to $134MMar 31, 2026 to Apr 8, 2026
- Employees · 16 to 17Nov 17, 2025 to Mar 31, 2026
- Insurance-licensed employees · 11 to 0Nov 17, 2025 to Mar 31, 2026
Signals
1 dated events
- Andrew Charles Zaroulis, registered through A••• I••••••••• P••••••• L• (New York, NY), is a direct owner of A••• I••••••••• M••••••••• L•, an adviser first registered 2025-11-17Nov 17, 2025 · Owner of a newly registered adviser · fact
Across DFX
shared identifiers only, never a name match
- A••• I••••••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-521 5096reportedpublic record, Form ADV, Apr 8, 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