DFX Intelligence
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SEC-registered adviser
A••••••• M••••••••• L•
Latest filing Mar 16, 2026
First filing on the tape Oct 20, 2025 · 2 filings
SEC status approved since Nov 20, 2025
RAUM
$530M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$530M as of Mar 16, 2026
Oct 20, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Oct 20, 20250 then
Employees (5.A)8 as of Mar 16, 2026
Oct 20, 20258 then
Private funds: 3
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 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
- $132MderivedRAUM 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 vehiclesreportedItem 5.G
- Custody
- $530M, 4 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
- 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)
- 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$530M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $530M for 4 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• T•••••• Y••• · Managing Directorcontrolsince 05/2025 · owns 25% to 50%
- M••••••• H••••••• L•••• · Chief Compliance Officercontrolsince 05/2025 · owns less than 5%
- S••••••••• M•••• S••••• · Managing Directorcontrolsince 05/2025 · owns 50% to 75%
Entity owners
- A••••••• M••••••••• G• 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
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 16, 2026advises private funds (Item 7.B): no on the filing of 2025-10-20, yes on the filing of 2026-03-16peers: asset managers, $500M to $1B (784)
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-20, yes on the filing of 2026-03-16peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 0 to 4Oct 20, 2025 to Mar 16, 2026
- Advisory employees · 3 to 5Oct 20, 2025 to Mar 16, 2026
- Pooled vehicle clients · unset to 4.0Oct 20, 2025 to Mar 16, 2026
- Assets in custody · unset to 529972445.0Oct 20, 2025 to Mar 16, 2026
- Custody of client assets · false to trueOct 20, 2025 to Mar 16, 2026
- Private funds · unset to 3Oct 20, 2025 to Mar 16, 2026
- Discretionary RAUM · $0 to $530MOct 20, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · unset to 529972445.0Oct 20, 2025 to Mar 16, 2026
- RAUM · $0 to $530MOct 20, 2025 to Mar 16, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A••••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- a••••••.comreportedpublic record, Form ADV, Mar 16, 2026
- Principal office phone
- 307-413-4592reportedpublic record, Form ADV, Mar 16, 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