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.

Former SEC-registered adviser

Aster Investment Management Co Inc

Former SEC-registered adviserLarkspur, CaliforniaCRD 106551SEC 801-12928IAPD
Latest filing Mar 27, 2013
First filing on the tape Mar 15, 2012 · 5 filings
RAUM
$2.7B
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.7B as of Mar 27, 2013
Mar 15, 2012$3.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2013
Mar 15, 20120 then
Employees (5.A): 10
Private funds: no history
RAUM -21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2013; 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
$904MderivedRAUM 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
-21%derivedbetween 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 investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
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
    • Edward Larry Cordisco · Vp Of Researchcontrol
      since 04/2012 · owns less than 5%
    • Herbert James England · Vp Of Researchcontrol
      since 08/2001 · owns less than 5%
    • Bernard Gregg Keeling · Chief Compliance Officercontrol
      since 10/2004 · owns less than 5%
    • Christopher Kevin O'Boyle · Director Of Researchcontrol
      since 04/2012 · owns less than 5%
    • Joseph James O'Connor · Vp Of Researchcontrol
      since 01/2004 · owns less than 5%
    • Nmn Michael Stolper · Directorcontrol
      since 04/2012 · owns less than 5%
    • Ling Cheng William Tao · Vp Of Researchcontrol
      since 09/2007 · owns less than 5%
    Entity owners
    • Richard F. Aster, Jr. Trust; First Republic Trust Company, A Divisioin Of First Republic Bank, Trustee · Corporate Trustee
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · unset to 5.0
      Jul 10, 2012 to Mar 27, 2013
    • Employees · unset to 10.0
      Jul 10, 2012 to Mar 27, 2013
    • Discretionary RAUM · $3.2B to $2.7B
      Jul 10, 2012 to Mar 27, 2013
    • RAUM · $3.2B to $2.7B
      Jul 10, 2012 to Mar 27, 2013
    • Accounts · 26 to 3
      Apr 24, 2012 to Jul 10, 2012
    • Advisory activities · 3 to 1
      Apr 24, 2012 to Jul 10, 2012
    • Discretionary RAUM · $3.4B to $3.2B
      Apr 24, 2012 to Jul 10, 2012
    • RAUM · $3.4B to $3.2B
      Apr 24, 2012 to Jul 10, 2012
    Signals
    No event on the tape.
    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