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
Autumn Wind Asset Management Inc
Latest filing Mar 7, 2024
First filing on the tape Mar 23, 2012 · 24 filings
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$133M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$34.0M gross assets
History
24 filings and snapshots on the tape
RAUM$165M as of Mar 7, 2024
Mar 23, 2012$76.0M then
HNW client RAUM$0 as of Mar 7, 2024
Feb 18, 2018$89.3M then
State-registered IARs (5.B.3)1 as of Mar 7, 2024
Mar 23, 20120 then
Employees (5.A)2 as of Mar 7, 2024
Mar 10, 20153 then
Private funds1 as of Mar 7, 2024
Mar 23, 20121 then
RAUM +17% over the last fiscal year+8.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2024; every figure names its basis
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $829,862derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $34.0M, 52 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$133M80%
- Pooled investment vehicles$32.4M20%
- Individual clients
- 71reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 199reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.0M for 52 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
- Thomas Neal Falkenberry to Modern Wealth Management, LLCMar 27, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Autumn Wind Global Multi-Strategies Fund, LLC | Hedge Fund | $32.4M | 2 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Neal Thomas Falkenberry · Presidentcontrolsince 05/2000 · owns 75% or more
- James Michael O'Donnell · Ccocontrolsince 03/2013 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Reston, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 191 to 199Jan 9, 2023 to Mar 7, 2024
- Individual clients · 68 to 71Jan 9, 2023 to Mar 7, 2024
- Discretionary RAUM · $142M to $165MJan 9, 2023 to Mar 7, 2024
- Individual RAUM · $110M to $133MJan 9, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $31.8M to $32.4MJan 9, 2023 to Mar 7, 2024
- RAUM · $142M to $165MJan 9, 2023 to Mar 7, 2024
- Accounts · 185 to 191Feb 8, 2022 to Jan 9, 2023
- HNW clients · 65 to 0Feb 8, 2022 to Jan 9, 2023
- Individual clients · 0 to 68Feb 8, 2022 to Jan 9, 2023
- Assets in custody · $33.3M to $34.0MFeb 8, 2022 to Jan 9, 2023
- Employees · 3 to 2Feb 8, 2022 to Jan 9, 2023
- Discretionary RAUM · $157M to $142MFeb 8, 2022 to Jan 9, 2023
- HNW RAUM · $123M to $0Feb 8, 2022 to Jan 9, 2023
- Individual RAUM · $0 to $110MFeb 8, 2022 to Jan 9, 2023
- Pooled vehicle RAUM · $34.0M to $31.8MFeb 8, 2022 to Jan 9, 2023
- RAUM · $157M to $142MFeb 8, 2022 to Jan 9, 2023
- Accounts · 171 to 185Feb 27, 2021 to Feb 8, 2022
- HNW clients · 62 to 65Feb 27, 2021 to Feb 8, 2022
- Assets in custody · $31.8M to $33.3MFeb 27, 2021 to Feb 8, 2022
- HQ city · GREAT FALLS to RESTONFeb 27, 2021 to Feb 8, 2022
- Discretionary RAUM · $129M to $157MFeb 27, 2021 to Feb 8, 2022
- HNW RAUM · $96.9M to $123MFeb 27, 2021 to Feb 8, 2022
- Pooled vehicle RAUM · $31.8M to $34.0MFeb 27, 2021 to Feb 8, 2022
- RAUM · $129M to $157MFeb 27, 2021 to Feb 8, 2022
- Accounts · 174 to 171Jul 8, 2020 to Feb 27, 2021
- Corporate clients · 1 to 0Jul 8, 2020 to Feb 27, 2021
- HNW clients · 65 to 62Jul 8, 2020 to Feb 27, 2021
- Assets in custody · $29.9M to $31.8MJul 8, 2020 to Feb 27, 2021
- Discretionary RAUM · $125M to $129MJul 8, 2020 to Feb 27, 2021
- HNW RAUM · $95.0M to $96.9MJul 8, 2020 to Feb 27, 2021
- Pooled vehicle RAUM · $29.9M to $31.8MJul 8, 2020 to Feb 27, 2021
- RAUM · $125M to $129MJul 8, 2020 to Feb 27, 2021
- Pooled vehicle clients · 0 to 1Mar 21, 2020 to Jun 26, 2020
- Assets in custody · $125M to $29.9MMar 21, 2020 to Jun 26, 2020
- HNW RAUM · $125M to $95.0MMar 21, 2020 to Jun 26, 2020
- Pooled vehicle RAUM · $0 to $29.9MMar 21, 2020 to Jun 26, 2020
- Accounts · 132 to 174Mar 11, 2019 to Mar 21, 2020
- Advisory employees · 2 to 1Mar 11, 2019 to Mar 21, 2020
- HNW clients · 35 to 65Mar 11, 2019 to Mar 21, 2020
- Individual clients · 96 to 0Mar 11, 2019 to Mar 21, 2020
Signals
2 dated events
- Thomas Neal Falkenberry left Autumn Wind Asset Management Inc for Modern Wealth Management, Llc (registered 2024-03-27)Mar 27, 2024 · Advisor changed firm · fact
- Autumn Wind Asset Management Inc filed its initial SEC registration (Form ADV)Dec 20, 2013 · 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
- AUTUMNWIND.COMreportedpublic record, Form ADV, Sep 18, 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
- 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