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

Algonquin Advisors LLC

Former SEC-registered adviserGreenwich, ConnecticutCRD 114021SEC 801-60462IAPD
Latest filing Sep 24, 2020
First filing on the tape Mar 29, 2012 · 60 filings
RAUM
$232M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
47%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$97.0M gross assets
History
60 filings and snapshots on the tape
RAUM$232M as of Mar 27, 2020
Mar 29, 2012$196M then
HNW client RAUM$107M as of Mar 27, 2020
Mar 26, 2018$84.0M then
State-registered IARs (5.B.3)5 as of Mar 27, 2020
Mar 29, 20120 then
Employees (5.A)7 as of Mar 27, 2020
Mar 14, 20138 then
Private funds4 as of Mar 27, 2020
Mar 29, 20125 then
RAUM +9.6% over the last fiscal year-1.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 24, 2020; every figure names its basis
RAUM per advisor
$46.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.3MderivedHNW RAUM over HNW clients
Average account
$10.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$62.9M, 2 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
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$107M46%
  • Pooled investment vehicles$100M43%
  • Charitable organizations$23.1M9.9%
  • Individuals$1.8M0.8%
Individual clients
n/areported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$62.9M for 2 clientsreported
Compensation
% of AUM, fixed, hourly, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      The Algonquin Fund, L.P.Hedge Fund$24.5M8Mar 29, 2012
      Algonquin Credit Opportunity Fund I, L.P.no longer reportedOther Private Fund$16.7M5Mar 29, 2012
      The Algonquin Fund, Ltd.no longer reportedHedge Fund$9.8M4Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Taylor George Hubbard · Managing Partnercontrol
        since 10/1998 · owns 75% or more
      • Allen John Hyman · Chief Executive Officer Chief Compliance Officercontrol
        since 05/2010 · owns less than 5%
      Entity owners
      • The 2007 Hubbard Family Trust · Member
        direct · owns less than 5%
      • Klarberg, Richard · Trustee
        indirect · owns F of The 2007 Hubbard Family Trust
      Related persons
      Schedule D 7.A
      • Ammof Gp LLC
        pooled vehicle sponsory
      • Mai Wealth Private Equity Gp LLC
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 27 to 23
        Nov 11, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 8 to 6
        Nov 11, 2019 to Mar 27, 2020
      • Assets in custody · $83.6M to $62.9M
        Nov 11, 2019 to Mar 27, 2020
      • Private funds · 5 to 4
        Nov 11, 2019 to Mar 27, 2020
      • Discretionary RAUM · $191M to $194M
        Nov 11, 2019 to Mar 27, 2020
      • HNW RAUM · $76.5M to $107M
        Nov 11, 2019 to Mar 27, 2020
      • Individual RAUM · $2.1M to $1.8M
        Nov 11, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $21.1M to $38.9M
        Nov 11, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $122M to $100M
        Nov 11, 2019 to Mar 27, 2020
      • RAUM · $212M to $232M
        Nov 11, 2019 to Mar 27, 2020
      • Assets in custody · $102M to $83.6M
        Sep 18, 2018 to Mar 25, 2019
      • State-registered IARs · 6 to 5
        Sep 18, 2018 to Mar 25, 2019
      • Discretionary RAUM · $219M to $191M
        Sep 18, 2018 to Mar 25, 2019
      • HNW RAUM · $84.0M to $76.5M
        Sep 18, 2018 to Mar 25, 2019
      • Individual RAUM · $1.8M to $2.1M
        Sep 18, 2018 to Mar 25, 2019
      • Non-discretionary RAUM · $19.0M to $21.1M
        Sep 18, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $139M to $122M
        Sep 18, 2018 to Mar 25, 2019
      • RAUM · $238M to $212M
        Sep 18, 2018 to Mar 25, 2019
      • Accounts · 57 to 27
        Sep 14, 2017 to Mar 26, 2018
      • Advisory employees · 4 to 5
        Sep 14, 2017 to Mar 26, 2018
      • HNW clients · unset to 13.0
        Sep 14, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 8.0
        Sep 14, 2017 to Mar 26, 2018
      • Assets in custody · $85.9M to $102M
        Sep 14, 2017 to Mar 26, 2018
      • Employees · 6 to 7
        Sep 14, 2017 to Mar 26, 2018
      • State-registered IARs · 5 to 6
        Sep 14, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Sep 14, 2017 to Mar 26, 2018
      • Private funds · 6 to 5
        Sep 14, 2017 to Mar 26, 2018
      • Discretionary RAUM · $184M to $219M
        Sep 14, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 84039391.0
        Sep 14, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 1800791.0
        Sep 14, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $57.9M to $19.0M
        Sep 14, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 139415140.0
        Sep 14, 2017 to Mar 26, 2018
      • RAUM · $241M to $238M
        Sep 14, 2017 to Mar 26, 2018
      • Accounts · 44 to 57
        Jan 26, 2017 to Mar 16, 2017
      • Advisory employees · 6 to 4
        Jan 26, 2017 to Mar 16, 2017
      • Assets in custody · $92.1M to $85.9M
        Jan 26, 2017 to Mar 16, 2017
      • Employees · 9 to 6
        Jan 26, 2017 to Mar 16, 2017
      • State-registered IARs · 7 to 5
        Jan 26, 2017 to Mar 16, 2017
      • Private funds · 5 to 6
        Jan 26, 2017 to Mar 16, 2017
      • Discretionary RAUM · $186M to $184M
        Jan 26, 2017 to Mar 16, 2017
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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