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••••• C•••••• L••••••
Latest filing Jul 28, 2026
First filing on the tape Mar 30, 2012 · 48 filings
SEC status approved since Oct 1, 2003
RAUM
$2.6B
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
121
40 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$2.6B as of Jul 28, 2026
Apr 5, 2012$1.5B then
HNW client RAUM$0 as of Jul 28, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 28, 2026
Mar 28, 20130 then
Employees (5.A)121 as of Jul 28, 2026
Mar 28, 2013158 then
Private funds7 as of Jul 28, 2026
Apr 5, 20122 then
RAUM -26% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $365MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -26%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $42.4M, 1 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.6B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.4M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• C••• T•••• H• F••• | Hedge Fund | $2.0B | 24 | Mar 29, 2018 |
| A••••• H•••••• L•••••• | Hedge Fund | $515M | 9 | Mar 29, 2018 |
| A••••• D••••••••• T••••• F••• | Other Private Fund | $440M | 134 | Mar 31, 2017 |
| A••••• A••••••••• M•••••• M••••• F••• | Hedge Fund | $311M | 4 | Mar 30, 2020 |
| A••••• D••••••••• F••• | Hedge Fund | $284M | 84 | Mar 30, 2012 |
| A••••• T••••••• O••••••••• F•••no longer reported | Hedge Fund | $218M | 2 | Mar 30, 2020 |
| A••••• S••••••••• G••••• M•••• M••••• F••• | Hedge Fund | $204M | 8 | Mar 30, 2020 |
| A••••• C••• U•••• F••• | Other Private Fund | $163M | 5 | Mar 30, 2023 |
| A••••• C•••• D••••••••• F•••no longer reported | Hedge Fund | $108M | 2 | Mar 30, 2022 |
| A••••• D••••••••• T••••• T•••••• C•••••• 1•no longer reported | Hedge Fund | $97.4M | 3 | Feb 8, 2019 |
| A••••• M•••• S••••••• M••••• F••• | Hedge Fund | $58.5M | 2 | Mar 28, 2024 |
| O••••••• L• | Hedge Fund | $54.8M | 2 | Mar 10, 2015 |
| A••••• B••• R•••• F••• | Hedge Fund | $52.9M | 2 | Mar 28, 2024 |
| A••••• D••••••••• T•••• H• L• | Hedge Fund | $49.0M | 2 | Mar 31, 2021 |
| A••••• A••••• D••••••••• P••no longer reported | Hedge Fund | $44.3M | 1 | Mar 30, 2012 |
| A••••• A••••••• R••••• F•••no longer reported | Hedge Fund | $9.6M | 1 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• K••••• J•••• · Non-Executive Directorcontrolsince 12/2015 · owns less than 5%
- H•••• K•••••• · Chief Operating Officercontrolsince 01/2012 · owns less than 5%
- L••••• M•••••• A•••••• · Research Directorcontrolsince 01/1998 · owns 10% to 25%
- R••••• C••••••••• E••••• · Chief Risk Officercontrolsince 11/2024 · owns less than 5%
- R•••••••• R•••••••• J••• · Chief Commercial Officercontrolsince 03/2018 · owns less than 5%
- T•••• A••••••• J•••• · Chief Executive Officercontrolsince 01/1998 · owns 50% to 75%
- D•••••• E•••••••• · Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- C••••••• H•••• T••••••• L•••••• · T••••••indirect · owns F of C••••••• H•••• T••••••• L•••••• A• T•••••• O• A••••• C•••••• E••••••• B•••••• T•••• N••••• 2•
- C••••••• H•••• T••••••• L•••••• A• T•••••• O• A••••• C•••••• E••••••• B•••••• T•••• N••••• 2• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• C•••••• I•••banky
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $3,470,032,614 to $2,555,627,814 (-26.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 4.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 7Jan 19, 2026 to Mar 31, 2026
- Advisory employees · 60 to 40Jan 19, 2026 to Mar 31, 2026
- Pooled vehicle clients · 18 to 19Jan 19, 2026 to Mar 31, 2026
- Assets in custody · $44.0M to $42.4MJan 19, 2026 to Mar 31, 2026
- Employees · 142 to 121Jan 19, 2026 to Mar 31, 2026
- Discretionary RAUM · $3.5B to $2.6BJan 19, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $3.5B to $2.6BJan 19, 2026 to Mar 31, 2026
- RAUM · $3.5B to $2.6BJan 19, 2026 to Mar 31, 2026
- Accounts · 10 to 8Jan 29, 2025 to Mar 31, 2025
- Advisory employees · 61 to 60Jan 29, 2025 to Mar 31, 2025
- Corporate clients · 2.0 to unsetJan 29, 2025 to Mar 31, 2025
- Pension plan clients · 1 to 0Jan 29, 2025 to Mar 31, 2025
- Pooled vehicle clients · 21 to 18Jan 29, 2025 to Mar 31, 2025
- Assets in custody · $62.5M to $44.0MJan 29, 2025 to Mar 31, 2025
- Employees · 140 to 142Jan 29, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 29, 2025 to Mar 31, 2025
- Private funds · 8 to 7Jan 29, 2025 to Mar 31, 2025
- Discretionary RAUM · $3.4B to $3.5BJan 29, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $3.4B to $3.5BJan 29, 2025 to Mar 31, 2025
- RAUM · $3.4B to $3.5BJan 29, 2025 to Mar 31, 2025
- HQ state · unset to Dec 6, 2024 to Jan 29, 2025
- Advisory employees · 55 to 61Jan 8, 2024 to Mar 28, 2024
- Corporate clients · 1 to 2Jan 8, 2024 to Mar 28, 2024
- Pooled vehicle clients · 24 to 21Jan 8, 2024 to Mar 28, 2024
- Assets in custody · $209M to $62.5MJan 8, 2024 to Mar 28, 2024
- Employees · 128 to 140Jan 8, 2024 to Mar 28, 2024
- Discretionary RAUM · $5.9B to $3.4BJan 8, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $5.9B to $3.4BJan 8, 2024 to Mar 28, 2024
- RAUM · $5.9B to $3.4BJan 8, 2024 to Mar 28, 2024
- Accounts · 11 to 10Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 45 to 55Mar 30, 2022 to Mar 30, 2023
- Pension plan clients · 3 to 1Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $290M to $209MMar 30, 2022 to Mar 30, 2023
- Employees · 116 to 128Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $4.5B to $5.9BMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $4.5B to $5.9BMar 30, 2022 to Mar 30, 2023
- RAUM · $4.5B to $5.9BMar 30, 2022 to Mar 30, 2023
- Advisory employees · 41 to 45Jul 29, 2021 to Mar 30, 2022
- Pension plan clients · 4 to 3Jul 29, 2021 to Mar 30, 2022
- Pooled vehicle clients · 25 to 24Jul 29, 2021 to Mar 30, 2022
Signals
10 dated events
- A••••• C•••••• L•••••• reported RAUM $2.6B, down 26% from $3.5B (2026-01-19 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C••••••••• E••••• R•••• (Chief Risk Officer) appeared on Schedule A of A••••• C•••••• L••••••Dec 6, 2024 · Control person joined · fact
- A••••• C•••••• L•••••• reported RAUM $3.4B, down 42% from $5.9B (2024-01-08 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A••••• C•••••• L•••••• reported RAUM $5.9B, up 30% from $4.5B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- John Peter Gibbs (Non-Executive Director) no longer on Schedule A of A••••• C•••••• L•••••• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- A••••• C•••••• L•••••• reported RAUM $4.0B, up 84% from $2.2B (2019-10-16 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- E••••• Stark Jonathan Greenwold (Chief Compliance Officer) no longer on Schedule A of A••••• C•••••• L•••••• (listed 2019-02-14, absent 2019-04-23)Apr 23, 2019 · Control person left · inference
- A••••• C•••••• L•••••• reported RAUM $2.2B, up 35% from $1.6B (2018-10-04 to 2019-02-08)Feb 8, 2019 · RAUM change · derived
- John Allan Barney Dalton (Chief Technology Officer) no longer on Schedule A of A••••• C•••••• L•••••• (listed 2018-10-04, absent 2019-02-08)Feb 8, 2019 · Control person left · inference
- A••••• C•••••• L•••••• reported RAUM $1.6B, up 36% from $1.2B (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/aspect-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +442071709700reportedpublic record, Form ADV, Jul 28, 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
- Asset manager (funds and pooled vehicles)deriveda 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