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.
SEC-registered adviser
Aetos Alternatives Management
Legal name Aetos Alternatives Management, L.P.
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Dec 13, 2001
RAUM
$5.8B
reported, Item 5.F
Discretionary
16%
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
19
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$5.8B as of Mar 25, 2026
Mar 28, 2012$5.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 28, 20120 then
Employees (5.A)19 as of Mar 25, 2026
Mar 28, 201330 then
Private funds7 as of Mar 25, 2026
Mar 28, 20126 then
RAUM +23% over the last fiscal year-6.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $5.8BderivedRAUM 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
- $54.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 16%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 19.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $848M, 15 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$2.7B47%
- Pension and profit-sharing plans$2.6B46%
- Investment companies$427M7.4%
- Pooled investment vehicles$4.9M0.1%
- Individual clients
- n/areported
- HNW clients
- 65reported
- Pension plan clients
- 13reported
- Charitable clients
- 16reported
- Accounts
- 107reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $848M for 15 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.07 institutional_share=0.93 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aetos Capital Long/Short Strategies Cayman Fund | Hedge Fund | $266M | 43 | Mar 28, 2012 |
| Aetos Capital Multi-Strategy Arbitrage Cayman Fund | Hedge Fund | $209M | 36 | Mar 28, 2012 |
| Aetos Capital Distressed Investment Strategies Cayman Fund | Hedge Fund | $56.7M | 36 | Mar 28, 2012 |
| Aetos Special Situations Opportunity Fund LP | Private Equity Fund | $11.1M | 3 | Mar 27, 2019 |
| Aetos Sustainability Long/Short Fund, LP | Hedge Fund | $4.4M | 3 | Mar 31, 2021 |
| Aetos Capital Long/Short Strategies Cayman Fund II | Hedge Fund | $2.7M | 10 | Mar 28, 2012 |
| Aetos Capital Multi-Strategy Arbitrage Cayman Fund II | Hedge Fund | $1.8M | 10 | Mar 28, 2012 |
| Aetos Capital Distressed Investment Strategies Cayman Fund II | Hedge Fund | $385,468 | 10 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Anne Rhea Casscells · Co-Presidentcontrolsince 02/2004 · owns 25% to 50%
- Frederick Michael Klein · Co-Presidentcontrolsince 02/2004 · owns 25% to 50%
- Francis Christopher Allwin · Managercontrolsince 07/2018 · owns F of Aclp Gp, LLC
- Francis Christopher Allwin · Trusteecontrolsince 07/2017 · owns F of James M Allwin 2001 Childrens' Trust
- Persefone Katrina Allwin · Trusteecontrolsince 07/2017 · owns F of James M Allwin 2001 Childrens' Trust
- Maria Allwin · Trusteecontrolsince 07/2017 · owns F of James M Allwin 2001 Childrens' Trust
- Maria Allwin · Trusteecontrolsince 09/2017 · owns F of The 2017 Maria Allwin Grat No. 1
- Maria Allwin · Membercontrolsince 07/2017 · owns 25% to 50% of The Allwin Family, LLC
- Elizabeth Anne Rhea Casscells · Membercontrolsince 07/2018 · owns 25% to 50% of Aetos Alternatives Management, LLC
- Frederick Michael Klein · Membercontrolsince 07/2018 · owns 25% to 50% of Aetos Alternatives Management, LLC
- Lewis Marc Baum · Chief Compliance Officer And Chief Legal Officersince 06/2024 · owns less than 5%
- David Scott Sawyer · Chief Financial Officersince 08/2004 · owns less than 5%
- James Harold Schaaff · Limited Partnersince 07/2018 · owns 5% to 10%
Entity owners
- Aclp, LP · Limited Partnerdirect · owns 25% to 50%
- Aetos Alternatives Management, LLC · General Partnerdirect · owns less than 5%
- Aclp Gp, LLC · General Partnerindirect · owns F of Aclp, LP
- Aclp, LP · Memberindirect · owns 25% to 50% of Aetos Alternatives Management, LLC
- James M Allwin 2001 Childrens' Trust · Memberindirect · owns 25% to 50% of The Allwin Family, LLC
- The 2017 Maria Allwin Grat No. 1 · Memberindirect · owns 25% to 50% of The Allwin Family, LLC
- The Allwin Family, LLC · Limited Partnerindirect · owns 50% to 75% of Aclp, LP
- The Allwin Family, LLC · Memberindirect · owns 75% or more of Aclp Gp, LLC
Related persons
Schedule D 7.A
- Aetos Special Situations Gp, LLCpooled vehicle sponsory
- Aetos Sustainability Gp, LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Menlo Park, CA9 employees
What changed
consecutive filings, newest first
- Accounts · 110 to 107Jan 6, 2026 to Mar 25, 2026
- Advisory employees · 16 to 15Jan 6, 2026 to Mar 25, 2026
- Charity clients · 18 to 16Jan 6, 2026 to Mar 25, 2026
- HNW clients · 63 to 65Jan 6, 2026 to Mar 25, 2026
- Pooled vehicle clients · 8 to 7Jan 6, 2026 to Mar 25, 2026
- Assets in custody · $1.4B to $848MJan 6, 2026 to Mar 25, 2026
- Employees · 23 to 19Jan 6, 2026 to Mar 25, 2026
- State-registered IARs · 2 to 1Jan 6, 2026 to Mar 25, 2026
- Private funds · 8 to 7Jan 6, 2026 to Mar 25, 2026
- Discretionary RAUM · $1.4B to $925MJan 6, 2026 to Mar 25, 2026
- Non-discretionary RAUM · $3.3B to $4.9BJan 6, 2026 to Mar 25, 2026
- Pension RAUM · $1.8B to $2.6BJan 6, 2026 to Mar 25, 2026
- Pooled vehicle RAUM · $4.6M to $4.9MJan 6, 2026 to Mar 25, 2026
- RAUM · $4.7B to $5.8BJan 6, 2026 to Mar 25, 2026
- Accounts · 116 to 110Jun 7, 2024 to Mar 31, 2025
- Advisory employees · 15 to 16Jun 7, 2024 to Mar 31, 2025
- Charity clients · 13 to 18Jun 7, 2024 to Mar 31, 2025
- HNW clients · 65 to 63Jun 7, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 13Jun 7, 2024 to Mar 31, 2025
- Assets in custody · $1.9B to $1.4BJun 7, 2024 to Mar 31, 2025
- Employees · 25 to 23Jun 7, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 7, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.9B to $1.4BJun 7, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $3.4B to $3.3BJun 7, 2024 to Mar 31, 2025
- Pension RAUM · $2.1B to $1.8BJun 7, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.1M to $4.6MJun 7, 2024 to Mar 31, 2025
- RAUM · $5.4B to $4.7BJun 7, 2024 to Mar 31, 2025
- Accounts · 126 to 116Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 19 to 15Mar 29, 2023 to Mar 27, 2024
- Charity clients · 16 to 13Mar 29, 2023 to Mar 27, 2024
- HNW clients · 71 to 65Mar 29, 2023 to Mar 27, 2024
- Pension plan clients · 5 to 7Mar 29, 2023 to Mar 27, 2024
- Assets in custody · $2.1B to $1.9BMar 29, 2023 to Mar 27, 2024
- Employees · 28 to 25Mar 29, 2023 to Mar 27, 2024
- State-registered IARs · 0 to 2Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.7B to $1.9BMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $4.4B to $3.4BMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $2.6B to $2.1BMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $4.1M to $4.1MMar 29, 2023 to Mar 27, 2024
- RAUM · $7.1B to $5.4BMar 29, 2023 to Mar 27, 2024
Signals
2 dated events
- Nicholas Michael Allwin (Trustee) no longer on Schedule A of Aetos Alternatives Management (listed 2019-08-05, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Aetos Alternatives Management reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 30, 2018 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- Aetos Alternatives Management · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/aetos-alternatives-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- AETOS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-201-2500reportedpublic record, Form ADV, Mar 25, 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
- Institutional managerderiveda 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