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
Alps Advisors, Inc.
Latest filing Mar 31, 2026
First filing on the tape Nov 21, 2011 · 38 filings
SEC status approved since Sep 12, 2006
RAUM
$39B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$2.6B
derived; firm RAUM over IAPD count
Employees
73
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$39B as of Mar 31, 2026
Dec 22, 2011$4.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Mar 31, 2026
Dec 22, 20110 then
Employees (5.A)73 as of Mar 31, 2026
Mar 28, 201322 then
Private funds: no history
RAUM +36% over the last fiscal year+26% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $2.6BderivedRAUM 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
- $1.8BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.9derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$37B96%
- Other investment advisers$1.7B4.5%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=27.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Tara Jill Neckel | Denver, Co | Aug 9, 2007 | 22 y | 1 |
| Alecia Dawn Wellen | Denver, Co | May 27, 2015 | 20 y | 5 |
| Kyle Thomas Reilly | Denver, Co | Sep 26, 2021 | 11 y | 0 |
| Karl Josef Zeller | Denver, Co | Feb 4, 2022 | 24 y | 5 |
| Laton Andrew SpahrChartered Financial Analyst | Denver, Co | Dec 11, 2022 | 17 y | 1 |
| Alexander John Leskowitz HagmeyerChartered Financial Analyst | Denver, Co | Dec 11, 2022 | 13 y | 0 |
| Eric Pendleton Hewitt | Denver, Co | Jan 25, 2023 | 13 y | 1 |
| Justin Louis Hillstrom | Denver, Co | Mar 8, 2023 | 11 y | 0 |
| Robert Douglas Mcclure | Denver, Co | Jul 5, 2023 | 24 y | 1 |
| Richard Edward Baker | Denver, Co | Aug 3, 2023 | 12 y | 0 |
| Warren BethChartered Financial Analyst | Denver, Co | Aug 23, 2023 | 13 y | 0 |
| Robert Ridgway MclaughlinChartered Financial Analyst | Denver, Co | Aug 23, 2023 | 11 y | 1 |
| Christopher Michael ProctorChartered Financial Analyst | Denver, Co | Aug 23, 2023 | 22 y | 1 |
| Sahra Tzortzis | Denver, Co | Nov 25, 2024 | 11 y | 0 |
| Ryan Nicklaus Strelesky | Denver, Co | Aug 21, 2025 | 11 y | 0 |
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
- Jessica Lynn Gauerke to Midwest Financial PartnersJun 17, 2022 · Other
- Izabela Urszula Sadeghi to Charles Schwab & Co., Inc.Aug 13, 2014 · Other
- Alecia Dawn Wellen to Charles Schwab & Co., Inc.May 30, 2014 · Other
Joined, latest
- Christopher Michael Proctor from Elmhurst FinancialAug 23, 2023 · Other
- Robert Ridgway Mclaughlin from Allio AdvisorsAug 23, 2023 · Other
- Robert Douglas Mcclure from Credit Suisse Securities (USA) LLCJul 5, 2023 · Other
- Eric Pendleton Hewitt from Columbia Management Investment Advisers, LLCJan 25, 2023 · Other
- Laton Andrew Spahr from Columbia Management Investment Advisers, LLCDec 11, 2022 · Other
- Karl Josef Zeller from M&T Securities, Inc.Feb 4, 2022 · Other
- Jessica Lynn Gauerke from Usadvisors Wealth Management, LLCSep 27, 2021 · Other
- Alecia Dawn Wellen from Charles Schwab & Co., Inc.May 27, 2015 · Other
- Alecia Dawn Wellen from Cetera Advisors LLCAug 20, 2009 · Other
- Tara Jill Neckel from Cetera Advisor Networks LLCAug 9, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Leskowitz Alexander Hagmeyer · Co-Chief Investment Officercontrolsince 06/2023 · owns less than 5%
- Pendleton Eric Hewitt · Co-Chief Investment Officercontrolsince 06/2023 · owns less than 5%
- Craig Richard Noyes · Senior Vp, General Counselcontrolsince 02/2018 · owns less than 5%
- Andrew Laton Spahr · President, Directorcontrolsince 10/2019 · owns less than 5%
- Joseph Matthew Sutula · Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
Entity owners
- Alps Holdings, Inc. · Parentdirect · owns 75% or more
- Dst Systems, Inc. · Ownerindirect · owns 75% or more of Alps Holdings, Inc. · public reporting company
- Ss&C Technologies Holdings, Inc. · Ownerindirect · owns 75% or more of Ss&C Technologies, Inc. · public reporting company
- Ss&C Technologies, Inc. · Ownerindirect · owns 75% or more of Dst Systems, Inc.
Related persons
Schedule D 7.A
- Alps Distributors, Inc.broker-dealern
- Alps Portfolio Solutions Distributor, Inc.broker-dealern
- Eze Castle Transaction Services LLCbroker-dealern
- Eze Software Group Pty Limitedbroker-dealern
- Second Street Securities, Inc.broker-dealern
- Ss&C Market Services, LLCbroker-dealern
Advisers that list Alps Advisors, Inc. as a related person
- 135117 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 15 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA5 employees
What changed
consecutive filings, newest first
- Accounts · 17 to 22Sep 30, 2025 to Mar 31, 2026
- BD registered reps · 29 to 27Sep 30, 2025 to Mar 31, 2026
- Employees · 74 to 73Sep 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $31B to $38BSep 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $537MSep 30, 2025 to Mar 31, 2026
- RAUM · $31B to $39BSep 30, 2025 to Mar 31, 2026
- Accounts · 12 to 17Mar 31, 2025 to Sep 30, 2025
- Discretionary RAUM · $29B to $31BMar 31, 2025 to Sep 30, 2025
- RAUM · $29B to $31BMar 31, 2025 to Sep 30, 2025
- Accounts · 7 to 12Sep 20, 2024 to Mar 31, 2025
- Advisory employees · 27 to 28Sep 20, 2024 to Mar 31, 2025
- BD registered reps · 27 to 29Sep 20, 2024 to Mar 31, 2025
- Employees · 64 to 74Sep 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 20, 2024 to Mar 31, 2025
- State-registered IARs · 14 to 15Sep 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $24B to $29BSep 20, 2024 to Mar 31, 2025
- RAUM · $24B to $29BSep 20, 2024 to Mar 31, 2025
- Accounts · 8 to 7Jun 30, 2023 to Mar 28, 2024
- Advisory employees · 24 to 27Jun 30, 2023 to Mar 28, 2024
- BD registered reps · 41 to 27Jun 30, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 14Jun 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $19B to $24BJun 30, 2023 to Mar 28, 2024
- RAUM · $19B to $24BJun 30, 2023 to Mar 28, 2024
- Related adviser · true to falseJun 30, 2023 to Mar 28, 2024
- Advisory employees · 18 to 24Jan 6, 2023 to Mar 31, 2023
- BD registered reps · 36 to 41Jan 6, 2023 to Mar 31, 2023
- Employees · 56 to 64Jan 6, 2023 to Mar 31, 2023
- State-registered IARs · 6 to 10Jan 6, 2023 to Mar 31, 2023
- Discretionary RAUM · $19B to $19BJan 6, 2023 to Mar 31, 2023
- RAUM · $19B to $19BJan 6, 2023 to Mar 31, 2023
- Advisory activities · 1 to 2Mar 31, 2022 to Aug 19, 2022
- Discretionary RAUM · $18B to $19BMar 31, 2022 to Aug 19, 2022
- RAUM · $18B to $19BMar 31, 2022 to Aug 19, 2022
- Accounts · 9 to 8Jun 18, 2021 to Mar 31, 2022
- Advisory employees · 16 to 18Jun 18, 2021 to Mar 31, 2022
- BD registered reps · 33 to 36Jun 18, 2021 to Mar 31, 2022
- Employees · 53 to 56Jun 18, 2021 to Mar 31, 2022
- State-registered IARs · 3 to 6Jun 18, 2021 to Mar 31, 2022
- Discretionary RAUM · $16B to $18BJun 18, 2021 to Mar 31, 2022
- RAUM · $16B to $18BJun 18, 2021 to Mar 31, 2022
Signals
12 dated events
- Alps Advisors, Inc. reported RAUM $38.8B, up 26% from $30.8B (2025-09-30 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Robert William Parmentier (Senior Vp, Chief Investment Officer) no longer on Schedule A of Alps Advisors, Inc. (listed 2023-03-31, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- Pendleton Eric Hewitt (Co-Chief Investment Officer) appeared on Schedule A of Alps Advisors, Inc.Jun 30, 2023 · Control person joined · fact
- John Leskowitz Alexander Hagmeyer (Co-Chief Investment Officer) appeared on Schedule A of Alps Advisors, Inc.Jun 30, 2023 · Control person joined · fact
- Jessica Lynn Gauerke left Alps Advisors, Inc. for Midwest Financial Partners (registered 2024-06-10)Jun 17, 2022 · Advisor changed firm · fact
- John Bradley Swenson (Executive Vp, Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2021-03-30, absent 2021-06-18)Jun 18, 2021 · Control person left · inference
- J Michael Sleightholme (President, Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-09-10, absent 2019-11-04)Nov 4, 2019 · Control person left · inference
- Andrew Laton Spahr (President, Director) appeared on Schedule A of Alps Advisors, Inc.Nov 4, 2019 · Control person joined · fact
- Erin Nelson (Senior Vp, Chief Compliance Officer) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-06-24, absent 2019-09-10)Sep 10, 2019 · Control person left · inference
- J Michael Sleightholme (President, Director) appeared on Schedule A of Alps Advisors, Inc.Jun 24, 2019 · Control person joined · fact
- Joseph Edmund Burke (Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-03-26, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- Oppegard Jeremy May (Executive Vp, Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-03-26, absent 2019-06-24)Jun 24, 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/ss-c-technologiesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SSCTECH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-623-2577reportedpublic record, Form ADV, Mar 31, 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
- $2.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026