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

Astor Asset Management LLC

Former SEC-registered adviserChicago, IllinoisCRD 116408SEC 801-61526IAPD
Latest filing Jul 8, 2013
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$631M
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
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$631M as of Mar 26, 2013
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 15
Employees (5.A): 17
Private funds: no history
RAUM -44% over the last fiscal year
Practice profile
derived from the filing of Jul 8, 2013; every figure names its basis
RAUM per advisor
$42.1MderivedRAUM 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
$192,056derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
15.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-44%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 individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
3,287reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Neil Robert Stein · Sr. Managing Directorcontrol
    since 10/2001 · owns less than 5%
  • Frank Matthew Mohlman · Chief Compliance Officer
    since 03/2012 · owns less than 5%
Entity owners
  • Knight Capital Holdings LLC · Owner
    direct · owns 75% or more
  • Kcg Holdings, Inc. · Owner
    indirect · owns 75% or more of Knight Capital Group, Inc. · public reporting company
  • Knight Capital Group, Inc. · Owner
    indirect · owns 75% or more of Knight Capital Holdings LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 5,677 to 3,287
    Sep 21, 2012 to Mar 26, 2013
  • Advisory employees · unset to 16.0
    Sep 21, 2012 to Mar 26, 2013
  • BD registered reps · unset to 10.0
    Sep 21, 2012 to Mar 26, 2013
  • Employees · unset to 17.0
    Sep 21, 2012 to Mar 26, 2013
  • State-registered IARs · unset to 15.0
    Sep 21, 2012 to Mar 26, 2013
  • Discretionary RAUM · $1.1B to $631M
    Sep 21, 2012 to Mar 26, 2013
  • RAUM · $1.1B to $631M
    Sep 21, 2012 to Mar 26, 2013
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