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
Alphasimplex Group, LLC
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 53 filings
SEC status approved since Oct 23, 2003
RAUM
$3.1B
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
33
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$3.1B as of Mar 26, 2026
Mar 30, 2012$3.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20130 then
Employees (5.A)33 as of Mar 26, 2026
Mar 28, 201332 then
Private funds1 as of Mar 26, 2026
Mar 30, 20122 then
RAUM -29% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $193MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%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
- -29%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 companies, 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$1.5B50%
- Investment companies$1.4B45%
- Pension and profit-sharing plans$149M4.8%
- Corporations and businesses$243,9240.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.95 institutional_share=0.05 related_bd=true related_bank=true bd_reps=1.0derived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Adaptive Trend Fund, L.P. | Hedge Fund | $939M | 10 | Mar 30, 2017 |
| Alphasimplex Quantitative Global Macro Fund, L.P.no longer reported | Hedge Fund | $116M | 10 | Mar 30, 2012 |
| Permal Alpha Simplex Ltd.no longer reported | Hedge Fund | $16.5M | 3 | Mar 30, 2012 |
| Alphasimplex Ats Fund, L.P.no longer reported | Hedge Fund | $13.5M | 14 | Feb 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Robert George Aylward · Chief Executive Officer Of Virtus Investment Partners, Inc.controlsince 04/2023 · owns less than 5%
- Michiel Arnout Eikeboom · Chief Compliance Officercontrolsince 03/2005 · owns less than 5%
- Chamberlain Jennifer Gooch · Head Of Business Finance And Operationscontrolsince 05/2019 · owns less than 5%
- Ryan Brent Mathus · Chief Commercial Officercontrolsince 10/2024 · owns less than 5%
- Cynthia Andra Purkalitis · Executive Vice President And Chief Legal Officer Of Virtus Investment Partners, Inc.controlsince 11/2023 · owns less than 5%
- Borger Ellerton Duncan Wilkinson · Presidentcontrolsince 10/2007 · owns less than 5%
Entity owners
- Virtus Partners, Inc. · Memberdirect · owns 75% or more
- Virtus Investment Partners, Inc. · Sole Shareholderindirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
Related persons
Schedule D 7.A
- Alphasimplex Gp, LLCpooled vehicle sponsory
- Ceredex Value Advisors LLCinvestment advisernRAUM $3.4B
- Duff & Phelps Investment Management Co.investment advisernRAUM $13B
- Kayne Anderson Rudnick Investment Management, LLCinvestment advisernRAUM $39B
- Nfj Investment Group, LLCinvestment advisernRAUM $3.0B
- Seix Clo Management Gp LLCpooled vehicle sponsorn
- Seix Clo Management LLCinvestment advisernRAUM $336M
- Silvant Capital Management LLCinvestment advisernRAUM $3.0B
- Sustainable Growth Advisers, LPinvestment advisernRAUM $17B
- Virtus Alternative Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- Virtus Advisers, LLCinvestment adviserbanknRAUM $1.4B
- Virtus Fixed Income Advisers, LLCinvestment adviserbanknRAUM $35B
- Virtus Capital Advisers, LLCinvestment adviserbanknRAUM $1.5B
- Virtus Global Partners Pte. Ltd.investment advisern
- Virtus International Fund Management Limitedinvestment adviserpooled vehicle sponsorn
- Virtus International Management Llpinvestment advisern
- Virtus Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- Vp Distributors LLCbroker-dealern
- Westchester Capital Management, LLCinvestment adviserbanknRAUM $2.9B
- Westchester Capital Partners, LLCinvestment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list Alphasimplex Group, LLC as a related person
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 26, 2026RAUM (Item 5.F) moved from $4,340,233,892 to $3,085,939,176 (-29.0%) between the annual amendments of 2025-03-25 and 2026-03-26; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 3.4% percentile
What changed
consecutive filings, newest first
- Advisory employees · 18 to 17Dec 15, 2025 to Mar 26, 2026
- Employees · 41 to 33Dec 15, 2025 to Mar 26, 2026
- Discretionary RAUM · $4.3B to $3.1BDec 15, 2025 to Mar 26, 2026
- Pension RAUM · $130M to $149MDec 15, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.8B to $1.5BDec 15, 2025 to Mar 26, 2026
- RAUM · $4.3B to $3.1BDec 15, 2025 to Mar 26, 2026
- Financial planning clients · unset to Jun 11, 2025 to Jul 15, 2025
- Accounts · 13 to 16Feb 3, 2025 to Mar 25, 2025
- Advisory employees · 19 to 18Feb 3, 2025 to Mar 25, 2025
- Employees · 44 to 41Feb 3, 2025 to Mar 25, 2025
- Discretionary RAUM · $4.5B to $4.3BFeb 3, 2025 to Mar 25, 2025
- Pension RAUM · $151M to $130MFeb 3, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $1.4B to $1.8BFeb 3, 2025 to Mar 25, 2025
- RAUM · $4.5B to $4.3BFeb 3, 2025 to Mar 25, 2025
- Accounts · 15 to 13Dec 6, 2023 to Mar 27, 2024
- Advisory employees · 18 to 19Dec 6, 2023 to Mar 27, 2024
- BD registered reps · 0 to 1Dec 6, 2023 to Mar 27, 2024
- Employees · 41 to 44Dec 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $5.8B to $4.5BDec 6, 2023 to Mar 27, 2024
- Pension RAUM · $169M to $151MDec 6, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.5B to $1.4BDec 6, 2023 to Mar 27, 2024
- RAUM · $5.8B to $4.5BDec 6, 2023 to Mar 27, 2024
- Advisory employees · 20 to 18Nov 3, 2022 to Mar 22, 2023
- Employees · 44 to 41Nov 3, 2022 to Mar 22, 2023
- Discretionary RAUM · $4.0B to $5.8BNov 3, 2022 to Mar 22, 2023
- Pension RAUM · $168M to $169MNov 3, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $1.2B to $1.5BNov 3, 2022 to Mar 22, 2023
- RAUM · $4.0B to $5.8BNov 3, 2022 to Mar 22, 2023
- Accounts · 16 to 15Jul 14, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.7B to $4.0BJul 14, 2021 to Mar 31, 2022
- Pension RAUM · $167M to $168MJul 14, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $979M to $1.2BJul 14, 2021 to Mar 31, 2022
- RAUM · $3.7B to $4.0BJul 14, 2021 to Mar 31, 2022
- Advisory employees · 23 to 20Jan 26, 2021 to Mar 31, 2021
- Pooled vehicle clients · 4 to 5Jan 26, 2021 to Mar 31, 2021
- Employees · 49 to 44Jan 26, 2021 to Mar 31, 2021
- Discretionary RAUM · $4.1B to $3.7BJan 26, 2021 to Mar 31, 2021
- Pension RAUM · unset to 167228836.0Jan 26, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $1.1B to $979MJan 26, 2021 to Mar 31, 2021
- RAUM · $4.1B to $3.7BJan 26, 2021 to Mar 31, 2021
Signals
18 dated events
- Alphasimplex Group, Llc reported RAUM $3.1B, down 29% from $4.3B (2025-12-15 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Ryan Brent Mathus (Chief Commercial Officer) appeared on Schedule A of Alphasimplex Group, LlcOct 31, 2024 · Control person joined · fact
- Robert George Aylward (Chief Executive Officer Of Virtus Investment Partners, Inc.) appeared on Schedule A of Alphasimplex Group, LlcDec 6, 2023 · Control person joined · fact
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer Of Virtus Investment Partners, Inc.) appeared on Schedule A of Alphasimplex Group, LlcDec 6, 2023 · Control person joined · fact
- Robert George Aylward (Chief Executive Officer) no longer on Schedule A of Alphasimplex Group, Llc (listed 2023-04-11, absent 2023-05-03)May 3, 2023 · Control person left · inference
- Theodore James Orfanos (Director) no longer on Schedule A of Alphasimplex Group, Llc (listed 2023-03-22, absent 2023-04-11)Apr 11, 2023 · Control person left · inference
- Lawrence David Giunta (Director) no longer on Schedule A of Alphasimplex Group, Llc (listed 2023-03-22, absent 2023-04-11)Apr 11, 2023 · Control person left · inference
- Daniel-Joseph Alexander Healy (Director) no longer on Schedule A of Alphasimplex Group, Llc (listed 2023-03-22, absent 2023-04-11)Apr 11, 2023 · Control person left · inference
- Ryan Brent Mathus (Director) no longer on Schedule A of Alphasimplex Group, Llc (listed 2023-03-22, absent 2023-04-11)Apr 11, 2023 · Control person left · inference
- Robert George Aylward (Chief Executive Officer) appeared on Schedule A of Alphasimplex Group, LlcApr 11, 2023 · Control person joined · fact
- Norman Eric Ward (Director) no longer on Schedule A of Alphasimplex Group, Llc (listed 2023-03-22, absent 2023-04-11)Apr 11, 2023 · Control person left · inference
- Alphasimplex Group, Llc reported RAUM $5.8B, up 45% from $4.0B (2022-11-03 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Ryan Brent Mathus (Director) appeared on Schedule A of Alphasimplex Group, LlcJun 21, 2021 · Control person joined · fact
- Theodore James Orfanos (Director) appeared on Schedule A of Alphasimplex Group, LlcJan 26, 2021 · Control person joined · fact
- Mills Beverly Bearden (Director) no longer on Schedule A of Alphasimplex Group, Llc (listed 2020-08-03, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- Chamberlain Jennifer Gooch (Director, Chief Financial Officer) appeared on Schedule A of Alphasimplex Group, LlcMay 31, 2019 · Control person joined · fact
- Alphasimplex Group, Llc reported RAUM $4.6B, down 25% from $6.1B (2019-02-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Anthony Kendall Walker (Director, Chief Operating Officer) no longer on Schedule A of Alphasimplex Group, Llc (listed 2018-08-22, absent 2019-02-28)Feb 28, 2019 · Control person left · inference
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/ALPHASIMPLEXreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ALPHASIMPLEX.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-475-7100reportedpublic record, Form ADV, Mar 26, 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