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.
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SEC-registered adviser
A••••••• A•••••• L••
Latest filing Jun 30, 2026
First filing on the tape Mar 29, 2012 · 26 filings
SEC status approved since Apr 24, 2006
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
125
74 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Jun 30, 2026
Jun 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Jun 30, 2026
Jun 22, 20120 then
Employees (5.A)125 as of Jun 30, 2026
Jun 28, 201353 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 24 to 11
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.5derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, educational seminars, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 22reported
- Charitable clients
- 20reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R•••••• C•••••• | San Francisco, Ca | Apr 24, 2006 | 23 y | 0 |
| A••••• D••••• M•••••••• | San Francisco, Ca | Jan 8, 2008 | 18 y | 0 |
| A••••••• S••••• W••••• | Norwalk, Ct | Jun 22, 2010 | 16 y | 0 |
| D•••• H• T••••• | Norwalk, Ct | Aug 25, 2010 | 16 y | 0 |
| T•••••• L••••••••• | San Francisco, Ca | Nov 30, 2015 | 21 y | 0 |
| K•••••• H••••••••• J•••• | San Francisco, Ca | Jan 1, 2025 | 16 y | 0 |
| J••• P••• S••••••• | San Francisco, Ca | Jan 1, 2025 | 22 y | 2 |
| T••••• S•••••• C••••••• | San Francisco, Ca | Jan 1, 2026 | 19 y | 0 |
| G• S•••••• K•••••• | San Francisco, Ca | Jan 1, 2026 | 28 y | 2 |
| W•••••• G• G•••••••• | Norwalk, Ct | Jan 5, 2026 | 14 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• S•••••• S•••• to C•••••• C••••• G••••• I•••May 31, 2019 · Other
- J••• P••• S••••••• to I• L•••• L••Sep 28, 2012 · Other
Joined, latest
- G• S•••••• K•••••• from B•• H••••• F•••••••• A•••••••• I••Jan 1, 2026 · Other
- J••• P••• S••••••• from I• L•••• L••Jan 1, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••• R•••••• · Elected Managercontrolsince 05/2006 · owns less than 5%
- G••• H••••••••• S•••• · Elected Managercontrolsince 08/2024 · owns less than 5%
- H•••••••• D••••• M•••••• · Elected Managercontrolsince 08/2003 · owns less than 5%
- K••••••• A••••• · Chief Operating Officercontrolsince 04/2022 · owns less than 5%
- M••••••••• A•••••• D••••• · Elected Managercontrolsince 04/2018 · owns less than 5%
- M••••••••• M••••• · Elected Managercontrolsince 08/2024 · owns less than 5%
- P••••• N••••••• S•••••• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- S•••• H••••• · Chief Financial Officercontrolsince 04/2023 · owns less than 5%
- R••••••• S••••• B•••••• · Ordinary Shareholdercontrolsince 03/1994 · owns 25% to 50% of A••••••• P••••••• L••••••
Entity owners
- A••••••• P••••••• ••••••••• · Sole Member - Ordinary Sharesdirect · owns 75% or more
- A••••••• P••••••• L•••••• · Ordinary Shareholderindirect · owns 75% or more of A••••••• P••••••• •••••••••
Related persons
Schedule D 7.A
- A••••••• C••••• L••••••investment advisern
- A••••••• P••••••• ••••• L••••••investment advisern
- A••••••• P••••••• •••••••• L••••••investment advisern
- A••••••• P••••••• ••••••• L••••••investment advisern
- A••••••• P••••••• ••••••• L••••••investment advisern
- A••••••• P••••••• ••••••••• P••• L•••investment advisern
- A••••••• P••••••• D••••••••• A•investment advisern
- A••••••• P••••••• J••••investment advisern
- A••••••• P••••••• L••••••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 8 | 2 | 0 | ||
| Norwalk, Ct | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT47 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jun 30, 2026employees per registered advisor of 12.5 against a peer median of 1.3 (68 comparable advisers, 99.0th percentile, 26.6 robust deviations)peers: other advisers, under $100M (68) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 70 to 74Sep 26, 2025 to Jun 30, 2026
- Charity clients · 24 to 20Sep 26, 2025 to Jun 30, 2026
- Employees · 114 to 125Sep 26, 2025 to Jun 30, 2026
- State-registered IARs · 15 to 11Sep 26, 2025 to Jun 30, 2026
- Financial planning clients · 0 to 0Jun 27, 2025 to Sep 26, 2025
- Accounts · unset to 0.0Aug 29, 2024 to Jun 27, 2025
- Advisory employees · 77 to 70Aug 29, 2024 to Jun 27, 2025
- Charity clients · 25 to 24Aug 29, 2024 to Jun 27, 2025
- Corporate clients · 36 to 38Aug 29, 2024 to Jun 27, 2025
- HNW clients · unset to 0.0Aug 29, 2024 to Jun 27, 2025
- Individual clients · unset to 0.0Aug 29, 2024 to Jun 27, 2025
- Pension plan clients · 24 to 22Aug 29, 2024 to Jun 27, 2025
- Employees · 120 to 114Aug 29, 2024 to Jun 27, 2025
- State-registered IARs · 19 to 15Aug 29, 2024 to Jun 27, 2025
- Discretionary RAUM · unset to 0.0Aug 29, 2024 to Jun 27, 2025
- Non-discretionary RAUM · unset to 0.0Aug 29, 2024 to Jun 27, 2025
- RAUM · unset to 0.0Aug 29, 2024 to Jun 27, 2025
- Charity clients · 24 to 25Nov 8, 2023 to Jun 28, 2024
- Corporate clients · 31 to 36Nov 8, 2023 to Jun 28, 2024
- Employees · 121 to 120Nov 8, 2023 to Jun 28, 2024
- State-registered IARs · 24 to 19Nov 8, 2023 to Jun 28, 2024
- Advisory employees · 76 to 77May 1, 2023 to Jun 29, 2023
- Charity clients · 21 to 24May 1, 2023 to Jun 29, 2023
- Corporate clients · 34 to 31May 1, 2023 to Jun 29, 2023
- Pension plan clients · 27 to 24May 1, 2023 to Jun 29, 2023
- Employees · 119 to 121May 1, 2023 to Jun 29, 2023
- State-registered IARs · 25 to 24May 1, 2023 to Jun 29, 2023
- Advisory employees · 61 to 76Dec 3, 2021 to Jun 29, 2022
- Charity clients · 19 to 21Dec 3, 2021 to Jun 29, 2022
- Corporate clients · 33 to 34Dec 3, 2021 to Jun 29, 2022
- Pension plan clients · 26 to 27Dec 3, 2021 to Jun 29, 2022
- Employees · 102 to 119Dec 3, 2021 to Jun 29, 2022
- State-registered IARs · 28 to 25Dec 3, 2021 to Jun 29, 2022
- Advisory employees · 57 to 61Jun 29, 2020 to Jun 29, 2021
- Charity clients · 18 to 19Jun 29, 2020 to Jun 29, 2021
- Corporate clients · 29 to 33Jun 29, 2020 to Jun 29, 2021
- Pension plan clients · 25 to 26Jun 29, 2020 to Jun 29, 2021
- Employees · 89 to 102Jun 29, 2020 to Jun 29, 2021
- State-registered IARs · 27 to 28Jun 29, 2020 to Jun 29, 2021
- Advisory employees · 52 to 57Nov 8, 2019 to Jun 29, 2020
Signals
8 dated events
- Guy Alexander Ingram (Elected Manager) no longer on Schedule A of A••••••• A•••••• L•• (listed 2024-06-28, absent 2024-08-29)Aug 29, 2024 · Control person left · inference
- Meropi Moliviatis-Stavrou (Elected Manager) appeared on Schedule A of A••••••• A•••••• L••Aug 29, 2024 · Control person joined · fact
- S•••• G••• H••••••••• (Elected Manager) appeared on Schedule A of A••••••• A•••••• L••Aug 29, 2024 · Control person joined · fact
- Heeral Shah (Chief Financial Officer) appeared on Schedule A of A••••••• A•••••• L••May 1, 2023 · Control person joined · fact
- Clare Cotton (Elected Manager) no longer on Schedule A of A••••••• A•••••• L•• (listed 2022-06-29, absent 2023-05-01)May 1, 2023 · Control person left · inference
- Taylor Christine Edwards (Chief Operating Officer/Elected Manager) no longer on Schedule A of A••••••• A•••••• L•• (listed 2021-12-03, absent 2022-06-29)Jun 29, 2022 · Control person left · inference
- A••••• K•••••• (Chief Operating Officer) appeared on Schedule A of A••••••• A•••••• L••Jun 29, 2022 · Control person joined · fact
- Subhash Nishith Patel (Chief Compliance Officer) appeared on Schedule A of A••••••• A•••••• L••Oct 30, 2019 · Control person joined · 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
- albourne.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-489-7200reportedpublic record, Form ADV, Jun 30, 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
- No RAUM reportedderiveda 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