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•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Apr 19, 2007
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$215M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$215M as of Mar 26, 2026
Mar 28, 2012$326M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20120 then
Employees (5.A)6 as of Mar 26, 2026
Mar 15, 20139 then
Private funds4 as of Mar 26, 2026
Mar 28, 20124 then
RAUM +84% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $215MderivedRAUM 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
- $53.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +84%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 pooled vehiclesreportedItem 5.G
- Custody
- $215M, 4 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$215M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $215M for 4 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=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• J••• C••••••••• | Seattle, Wa | Jun 15, 2004 | 24 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••••••••• J••• C••••••••• from L••••• C•••••• M••••••••• L••Jun 15, 2004 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• F•••• L••• | Hedge Fund | $209M | 87 | Mar 28, 2012 |
| S•••••••• M••••• F•••• L••• | Hedge Fund | $155M | 97 | Mar 28, 2012 |
| S•••••••• P••••••• L•• | Hedge Fund | $72.9M | 72 | Mar 28, 2012 |
| S•••••••• O•••••••• L••• | Hedge Fund | $23.8M | 25 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••••••• J••• · Managing Membercontrolsince 01/2004 · owns 75% or more
- C••••••••• D••••••••• J••• · Chief Operating Officer & Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- D•••••• J•••• P•••••• · Chief Financial Officercontrolsince 05/2018 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• M••••• F••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $116,917,642 to $214,648,357 (+84.0%) between the annual amendments of 2025-03-27 and 2026-03-26; the peer median change was +4.0% (1148 comparable advisers, 96.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 96% percentile
What changed
consecutive filings, newest first
- Assets in custody · $117M to $215MMar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $117M to $215MMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $117M to $215MMar 27, 2025 to Mar 26, 2026
- RAUM · $117M to $215MMar 27, 2025 to Mar 26, 2026
- Advisory employees · 5 to 4Jun 5, 2024 to Mar 27, 2025
- Assets in custody · $363M to $117MJun 5, 2024 to Mar 27, 2025
- Employees · 8 to 6Jun 5, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $363M to $117MJun 5, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $363M to $117MJun 5, 2024 to Mar 27, 2025
- RAUM · $363M to $117MJun 5, 2024 to Mar 27, 2025
- Advisory employees · 4 to 5Mar 23, 2023 to Mar 28, 2024
- Assets in custody · $370M to $363MMar 23, 2023 to Mar 28, 2024
- Employees · 7 to 8Mar 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $370M to $363MMar 23, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $370M to $363MMar 23, 2023 to Mar 28, 2024
- RAUM · $370M to $363MMar 23, 2023 to Mar 28, 2024
- Assets in custody · $601M to $370MMar 30, 2022 to Mar 23, 2023
- Employees · 8 to 7Mar 30, 2022 to Mar 23, 2023
- Discretionary RAUM · $601M to $370MMar 30, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $601M to $370MMar 30, 2022 to Mar 23, 2023
- RAUM · $601M to $370MMar 30, 2022 to Mar 23, 2023
- Assets in custody · $536M to $601MMar 24, 2021 to Mar 30, 2022
- Employees · 7 to 8Mar 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $536M to $601MMar 24, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $536M to $601MMar 24, 2021 to Mar 30, 2022
- RAUM · $536M to $601MMar 24, 2021 to Mar 30, 2022
- Assets in custody · $330M to $536MMar 26, 2020 to Mar 24, 2021
- Discretionary RAUM · $330M to $536MMar 26, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $330M to $536MMar 26, 2020 to Mar 24, 2021
- RAUM · $330M to $536MMar 26, 2020 to Mar 24, 2021
- Assets in custody · $232M to $330MMar 21, 2019 to Mar 26, 2020
- Discretionary RAUM · $232M to $330MMar 21, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $232M to $330MMar 21, 2019 to Mar 26, 2020
- RAUM · $232M to $330MMar 21, 2019 to Mar 26, 2020
- Assets in custody · $158M to $232MSep 24, 2018 to Mar 21, 2019
- Employees · 6 to 7Sep 24, 2018 to Mar 21, 2019
- Discretionary RAUM · $158M to $232MSep 24, 2018 to Mar 21, 2019
- Pooled vehicle RAUM · $158M to $232MSep 24, 2018 to Mar 21, 2019
- RAUM · $158M to $232MSep 24, 2018 to Mar 21, 2019
Signals
5 dated events
- A••••• C•••••• M••••••••• L•• reported RAUM $116.9M, down 68% from $363.4M (2024-06-05 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Mark Lawrence Gail (General Counsel, Chief Compliance Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L•• (listed 2024-03-28, absent 2024-06-05)Jun 5, 2024 · Control person left · inference
- A••••• C•••••• M••••••••• L•• reported RAUM $369.8M, down 38% from $600.5M (2022-03-30 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- A••••• C•••••• M••••••••• L•• reported RAUM $535.7M, up 62% from $330.1M (2020-03-26 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- P•••••• J••• D••••• (Chief Financial Officer) appeared on Schedule A of A••••• C•••••• M••••••••• L••Mar 21, 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
- Firm profile
- LINKEDIN.COM/COMPANY/A•••••-CAPITAL-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (206) 436-3600reportedpublic 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
- $215Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026