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
Aspen Partners, Ltd.
Latest filing Apr 28, 2020
First filing on the tape Mar 16, 2012 · 25 filings
RAUM
$7.5M
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
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$7.5M gross assets
History
25 filings and snapshots on the tape
RAUM$7.5M as of Mar 24, 2020
Mar 16, 2012$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Mar 16, 20120 then
Employees (5.A)4 as of Mar 24, 2020
Mar 21, 20137 then
Private funds1 as of Mar 24, 2020
Apr 1, 20191 then
RAUM -93% over the last fiscal year-69% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Apr 28, 2020; 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
- $7.5MderivedRAUM 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
- -93%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 assetsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$7.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Brendan Bostock to Private Advisors LLCDec 31, 2018 · Other
- Nathan Roland Dutzmann to Dimensional Fund Advisors LPDec 31, 2018 · Other
Joined, latest
- Brendan Bostock from Alliancebernstein L.P.Nov 23, 2016 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Contractual Income Fund | Other Private Fund | $7.5M | 14 | Sep 5, 2018 |
Owners and control persons
Schedule A and B, latest filing
- Ware William Bush · Directorcontrolsince 06/2007 · owns 50% to 75%
- Robert Bryan Fisher · Directorcontrolsince 06/2007 · owns 50% to 75%
- Holland Deborah Terry · Chief Financial Officercontrolsince 09/2009 · owns less than 5%
- Davis George Vick · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
Related persons
Schedule D 7.A
- Frontier Solutions, LLCbroker-dealery
Offices
Schedule D 1.F, the 25 largest
- Richmond, VA2 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 1Feb 20, 2020 to Mar 24, 2020
- Advisory activities · 2 to 1Feb 20, 2020 to Mar 24, 2020
- Employees · 7 to 4Feb 20, 2020 to Mar 24, 2020
- Discretionary RAUM · $107M to $7.5MFeb 20, 2020 to Mar 24, 2020
- Pooled vehicle RAUM · $7.5M to $7.5MFeb 20, 2020 to Mar 24, 2020
- RAUM · $107M to $7.5MFeb 20, 2020 to Mar 24, 2020
- HQ city · RICHMOND to ATLANTAApr 1, 2019 to Feb 20, 2020
- HQ state · VA to GAApr 1, 2019 to Feb 20, 2020
- Other offices · 2 to 1Apr 1, 2019 to Feb 20, 2020
- Accounts · 5 to 3Jan 24, 2019 to Apr 1, 2019
- State-registered IARs · 1 to 0Jan 24, 2019 to Apr 1, 2019
- Discretionary RAUM · $141M to $107MJan 24, 2019 to Apr 1, 2019
- Pooled vehicle RAUM · $7.4M to $7.5MJan 24, 2019 to Apr 1, 2019
- RAUM · $141M to $107MJan 24, 2019 to Apr 1, 2019
- Pooled vehicle RAUM · unset to 7410657.0Sep 5, 2018 to Jan 24, 2019
- Accounts · 4 to 5Mar 30, 2018 to Sep 5, 2018
- Advisory activities · 1 to 2Mar 30, 2018 to Sep 5, 2018
- Pooled vehicle clients · unset to 1.0Mar 30, 2018 to Sep 5, 2018
- Private funds · unset to 1Mar 30, 2018 to Sep 5, 2018
- Discretionary RAUM · $149M to $141MMar 30, 2018 to Sep 5, 2018
- RAUM · $149M to $141MMar 30, 2018 to Sep 5, 2018
- Accounts · 2 to 4Feb 25, 2018 to Mar 30, 2018
- Advisory employees · 5 to 4Feb 25, 2018 to Mar 30, 2018
- Employees · 9 to 7Feb 25, 2018 to Mar 30, 2018
- Discretionary RAUM · $145M to $149MFeb 25, 2018 to Mar 30, 2018
- RAUM · $145M to $149MFeb 25, 2018 to Mar 30, 2018
- Accounts · 4 to 2Feb 24, 2018 to Feb 25, 2018
- Discretionary RAUM · $249M to $145MFeb 24, 2018 to Feb 25, 2018
- RAUM · $249M to $145MFeb 24, 2018 to Feb 25, 2018
- BD registered reps · 6 to 4Sep 14, 2017 to Feb 24, 2018
- Employees · 11 to 9Sep 14, 2017 to Feb 24, 2018
- State-registered IARs · 3 to 1Sep 14, 2017 to Feb 24, 2018
- Other offices · unset to 2.0Sep 14, 2017 to Feb 24, 2018
- Accounts · 2 to 4Sep 2, 2016 to Mar 29, 2017
- Advisory employees · 4 to 5Sep 2, 2016 to Mar 29, 2017
- BD registered reps · 4 to 6Sep 2, 2016 to Mar 29, 2017
- Employees · 7 to 11Sep 2, 2016 to Mar 29, 2017
- State-registered IARs · 1 to 3Sep 2, 2016 to Mar 29, 2017
- Discretionary RAUM · $296M to $249MSep 2, 2016 to Mar 29, 2017
- RAUM · $296M to $249MSep 2, 2016 to Mar 29, 2017
Signals
3 dated events
- Davis George Vick (Chief Compliance Officer) appeared on Schedule A of Aspen Partners, Ltd.Mar 24, 2020 · Control person joined · fact
- Brian Howard Landers (Chief Compliance Officer) no longer on Schedule A of Aspen Partners, Ltd. (listed 2020-02-20, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Aspen Partners, Ltd. reported RAUM $145.0M, down 42% from $248.8M (2018-02-24 to 2018-02-25)Feb 25, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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