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•••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 12, 2013 · 26 filings
SEC status approved since Sep 18, 2013
RAUM
$1.4B
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
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Mar 21, 2014$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 21, 20140 then
Employees (5.A)9 as of Mar 27, 2026
Mar 21, 20145 then
Private funds4 as of Mar 27, 2026
Mar 21, 20144 then
RAUM +103% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $158MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +103%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• C••••••• L• | Hedge Fund | $254M | 46 | Mar 30, 2012 |
| A••• C•••••• •••• L• | Hedge Fund | $146M | 4 | Mar 31, 2023 |
| A••• G••••• D••• V••••• L• | Hedge Fund | $122M | 36 | Mar 30, 2012 |
| A••• G••••• D•••••••• F•••• L• | Hedge Fund | $51.6M | 22 | Mar 30, 2012 |
| A••• O••••••• C••••••• L••no longer reported | Hedge Fund | $32.6M | 10 | Mar 30, 2012 |
| P•••••••• G••••• H••••••••• F•••• L•no longer reported | Hedge Fund | $5.6M | 4 | Mar 30, 2012 |
| A••• G••••• D••• V•••• O•••••••• L••no longer reported | Hedge Fund | $500,000 | 11 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• E•••• C••• · Managing Member / Director Of Researchcontrolsince 03/2004 · owns 50% to 75%
- B•••••• D•••••• J•••• · Managing Member / Chief Investment Officercontrolsince 10/2008 · owns 50% to 75%
- Y••• R••••••• H••• · Chief Financial Officer / Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
Related persons
Schedule D 7.A
- D••• C•••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Minneapolis, MN3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $700,060,560 to $1,421,086,075 (+103.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was +11.0% (1368 comparable advisers, 94.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 94% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $700M to $1.4BMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $700M to $1.4BMar 31, 2025 to Mar 27, 2026
- RAUM · $700M to $1.4BMar 31, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $583M to $700MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $583M to $700MMar 28, 2024 to Mar 31, 2025
- RAUM · $583M to $700MMar 28, 2024 to Mar 31, 2025
- Employees · 8 to 9Apr 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $522M to $583MApr 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $522M to $583MApr 17, 2023 to Mar 28, 2024
- RAUM · $522M to $583MApr 17, 2023 to Mar 28, 2024
- Accounts · 6 to 9Oct 12, 2022 to Mar 31, 2023
- Advisory employees · 7 to 6Oct 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 9Oct 12, 2022 to Mar 31, 2023
- Employees · 9 to 8Oct 12, 2022 to Mar 31, 2023
- Private funds · 3 to 4Oct 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $399M to $522MOct 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $399M to $522MOct 12, 2022 to Mar 31, 2023
- RAUM · $399M to $522MOct 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $342M to $399MApr 13, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $342M to $399MApr 13, 2021 to Mar 31, 2022
- RAUM · $342M to $399MApr 13, 2021 to Mar 31, 2022
- Assets in custody · unset to 0.0Apr 17, 2020 to Mar 30, 2021
- Discretionary RAUM · $221M to $342MApr 17, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $221M to $342MApr 17, 2020 to Mar 30, 2021
- RAUM · $221M to $342MApr 17, 2020 to Mar 30, 2021
- Accounts · 7 to 6Mar 27, 2019 to Mar 30, 2020
- Pooled vehicle clients · 7 to 6Mar 27, 2019 to Mar 30, 2020
- Discretionary RAUM · $249M to $221MMar 27, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $249M to $221MMar 27, 2019 to Mar 30, 2020
- RAUM · $249M to $221MMar 27, 2019 to Mar 30, 2020
- Accounts · 6 to 7Apr 24, 2018 to Mar 27, 2019
- Advisory employees · 6 to 7Apr 24, 2018 to Mar 27, 2019
- Pooled vehicle clients · 6 to 7Apr 24, 2018 to Mar 27, 2019
- Employees · 8 to 9Apr 24, 2018 to Mar 27, 2019
- Discretionary RAUM · $243M to $249MApr 24, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $243M to $249MApr 24, 2018 to Mar 27, 2019
- RAUM · $243M to $249MApr 24, 2018 to Mar 27, 2019
- Accounts · 7 to 6Feb 23, 2018 to Mar 27, 2018
- Advisory employees · 5 to 6Feb 23, 2018 to Mar 27, 2018
Signals
4 dated events
- A••• C•••••• A•••••••• L•• reported RAUM $1.4B, up 103% from $700.1M (2025-03-31 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- A••• C•••••• A•••••••• L•• reported RAUM $522.3M, up 31% from $399.4M (2022-10-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A••• C•••••• A•••••••• L•• reported RAUM $342.4M, up 55% from $221.3M (2020-04-17 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- A••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 12, 2013 · First SEC registration · 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
- A•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (203) 409-6307reportedpublic record, Form ADV, Mar 27, 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