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

Alexandria Capital

Former SEC-registered adviserArlington, VirginiaCRD 129120SEC 801-62471IAPD
Legal name Alexandria Capital, LLC
Latest filing Mar 31, 2021
First filing on the tape Apr 3, 2012 · 46 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2021
Apr 3, 2012$306M then
HNW client RAUM$1.0B as of Mar 31, 2021
Jan 30, 2018$829M then
State-registered IARs (5.B.3)7 as of Mar 31, 2021
Apr 3, 20120 then
Employees (5.A)20 as of Mar 31, 2021
Mar 27, 201312 then
Private funds1 as of Mar 31, 2019
Mar 31, 20161 then
RAUM +17% over the last fiscal year+11% a year over threeIARs 7 to 7offices 4 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$192MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
117derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$659,065derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.9derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, publications, 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.0B78%
  • Individuals$241M18%
  • State and municipal entities$33.5M2.5%
  • Pension and profit-sharing plans$13.1M1.0%
  • Corporations and businesses$930,6950.1%
Individual clients
533reported
HNW clients
283reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
2,040reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Alexandria Capital Growth Fund L.P.no longer reportedPrivate Equity Fund$2.6M15Mar 19, 2012
    Tbp Advisors Tax Exempt Bond Fund L.P.no longer reportedPrivate Equity Fund$666,7377Mar 19, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Andrew Jonathan Ferguson · Managing Partner, Chief Investment Officercontrol
      since 12/2017 · owns 10% to 25%
    • Sung Chun Augustine Hong · Chief Executive Officercontrol
      since 03/2010 · owns 10% to 25%
    • Michael Lawrence Waterhouse · Executive Directorcontrol
      since 12/2017 · owns 10% to 25%
    • Andrew Jonathan Ferguson · Membercontrol
      since 12/2017 · owns 25% to 50% of Fic Capital, Inc.
    • Sung Chun Augustine Hong · Membercontrol
      since 04/2010 · owns 25% to 50% of Alexandria Phl, LLC
    • Michael Lawrence Waterhouse · Membercontrol
      since 12/2017 · owns 25% to 50% of Fic Capital, Inc.
    • Theresa Lee · Chief Compliance Officer
      since 03/2012 · owns less than 5%
    • Steven Chansuk Park · Member
      since 01/2011 · owns 25% to 50% of Alexandria Phl, LLC
    Entity owners
    • Fic Capital, Inc. · Member
      direct · owns 25% to 50%
    • Alexandria Phl, LLC · Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,002 to 2,040
      Aug 19, 2020 to Mar 31, 2021
    • Advisory employees · 15 to 11
      Aug 19, 2020 to Mar 31, 2021
    • HNW clients · 286 to 283
      Aug 19, 2020 to Mar 31, 2021
    • Individual clients · 521 to 533
      Aug 19, 2020 to Mar 31, 2021
    • Assets in custody · $124M to $129M
      Aug 19, 2020 to Mar 31, 2021
    • Custody of client assets · true to false
      Aug 19, 2020 to Mar 31, 2021
    • Employees · 24 to 20
      Aug 19, 2020 to Mar 31, 2021
    • Insurance-licensed employees · 0 to 11
      Aug 19, 2020 to Mar 31, 2021
    • Other offices · 4 to 1
      Aug 19, 2020 to Mar 31, 2021
    • Discretionary RAUM · $1.1B to $1.3B
      Aug 19, 2020 to Mar 31, 2021
    • HNW RAUM · $913M to $1.0B
      Aug 19, 2020 to Mar 31, 2021
    • Individual RAUM · $178M to $241M
      Aug 19, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $62.3M to $85.7M
      Aug 19, 2020 to Mar 31, 2021
    • Pension RAUM · $11.7M to $13.1M
      Aug 19, 2020 to Mar 31, 2021
    • RAUM · $1.2B to $1.3B
      Aug 19, 2020 to Mar 31, 2021
    • Accounts · 1,948 to 2,002
      Oct 16, 2019 to Mar 30, 2020
    • Advisory employees · 12 to 15
      Oct 16, 2019 to Mar 30, 2020
    • Corporate clients · unset to 1.0
      Oct 16, 2019 to Mar 30, 2020
    • HNW clients · 242 to 286
      Oct 16, 2019 to Mar 30, 2020
    • Individual clients · 494 to 521
      Oct 16, 2019 to Mar 30, 2020
    • Pension plan clients · 2 to 3
      Oct 16, 2019 to Mar 30, 2020
    • Pooled vehicle clients · 1.0 to unset
      Oct 16, 2019 to Mar 30, 2020
    • Assets in custody · $84.4M to $124M
      Oct 16, 2019 to Mar 30, 2020
    • Employees · 20 to 24
      Oct 16, 2019 to Mar 30, 2020
    • State-registered IARs · 6 to 7
      Oct 16, 2019 to Mar 30, 2020
    • Private funds · 1 to unset
      Oct 16, 2019 to Mar 30, 2020
    • Discretionary RAUM · $910M to $1.1B
      Oct 16, 2019 to Mar 30, 2020
    • HNW RAUM · $751M to $913M
      Oct 16, 2019 to Mar 30, 2020
    • Individual RAUM · $170M to $178M
      Oct 16, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $55.0M to $62.3M
      Oct 16, 2019 to Mar 30, 2020
    • Pension RAUM · $9.4M to $11.7M
      Oct 16, 2019 to Mar 30, 2020
    • Pooled vehicle RAUM · 2617897.0 to unset
      Oct 16, 2019 to Mar 30, 2020
    • RAUM · $965M to $1.2B
      Oct 16, 2019 to Mar 30, 2020
    • HQ city · WASHINGTON to ARLINGTON
      May 2, 2019 to May 15, 2019
    • HQ state · DC to VA
      May 2, 2019 to May 15, 2019
    • Accounts · 1,805 to 1,948
      Dec 10, 2018 to Mar 31, 2019
    • Advisory employees · 11 to 12
      Dec 10, 2018 to Mar 31, 2019
    • HNW clients · 259 to 242
      Dec 10, 2018 to Mar 31, 2019
    • Individual clients · 441 to 494
      Dec 10, 2018 to Mar 31, 2019
    • Pension plan clients · 1 to 2
      Dec 10, 2018 to Mar 31, 2019
    Signals
    1 dated events
    • Alexandria Capital reported RAUM $991.2M, up 96% from $505.6M (2017-05-03 to 2018-01-30)
      Jan 30, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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