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
Aristeia Capital, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Jul 13, 2005
RAUM
$14B
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
65
24 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2026
Mar 29, 2012$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)65 as of Mar 31, 2026
Apr 1, 201347 then
Private funds3 as of Mar 31, 2026
Mar 29, 20122 then
RAUM -7.2% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $2.7BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%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
- -7.2%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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$11B77%
- Sovereign wealth funds$2.6B19%
- State and municipal entities$550M4.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.77 institutional_share=0.23 related_bd=false related_bank=true 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 |
|---|---|---|---|---|
| Aristeia Master, L.P. | Hedge Fund | $7.9B | 100 | Mar 29, 2012 |
| Aristeia Reflection Fundno longer reported | Hedge Fund | $660M | 10 | Mar 29, 2012 |
| Asig International Limited | Hedge Fund | $441M | 1 | Mar 28, 2018 |
| Aristeia Select Opportunities II, L.P. | Hedge Fund | $324M | 29 | Mar 31, 2022 |
| Windermere Cayman Fund Limited | Hedge Fund | $278M | 4 | Nov 29, 2022 |
| Windermere Ireland Fund Plcno longer reported | Hedge Fund | $102M | 5 | Apr 1, 2013 |
| Aristeia Select Opportunities I, L.P.no longer reported | Hedge Fund | $56.0M | 19 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Benjamin Andrew David · Chief Operating Officer; General Counsel; Chief Compliance Officercontrolsince 06/2009 · owns less than 5%
- Michael Anthony Frascella · Managercontrolsince 07/1997 · owns less than 5%
- Henry Robert Lynch · Managercontrolsince 07/1997 · owns less than 5%
- Robert William Techar · Managercontrolsince 01/2005 · owns less than 5%
- Michael Anthony Frascella · Limited Partnercontrolsince 12/2008 · owns 25% to 50% of Aristeia Holdings, LP
- Michael Anthony Frascella · Membercontrolsince 12/2008 · owns 25% to 50% of Aristeia Holdings Gp, L.L.C.
- Robert William Techar · Membercontrolsince 12/2008 · owns 25% to 50% of Aristeia Holdings Gp, L.L.C.
- Robert William Techar · Limited Partnercontrolsince 12/2008 · owns 25% to 50% of Aristeia Holdings, L.P.
Entity owners
- Aristeia Holdings, L.P. · Sole Memberdirect · owns 75% or more
- Aristeia Holdings Gp, L.L.C. · General Partnerindirect · owns F of Aristeia Holdings, LP
Related persons
Schedule D 7.A
- Aristeia Advisors, LLCbankpooled vehicle sponsorn
- Aristeia Select Opportunities Gp, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 23 to 24Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 3Mar 28, 2025 to Mar 31, 2026
- Employees · 64 to 65Mar 28, 2025 to Mar 31, 2026
- Private funds · 4 to 3Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $15B to $14BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $11B to $11BMar 28, 2025 to Mar 31, 2026
- RAUM · $15B to $14BMar 28, 2025 to Mar 31, 2026
- Advisory employees · 21 to 23Apr 1, 2024 to Mar 28, 2025
- Employees · 61 to 64Apr 1, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $12B to $15BApr 1, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $8.9B to $11BApr 1, 2024 to Mar 28, 2025
- RAUM · $12B to $15BApr 1, 2024 to Mar 28, 2025
- Advisory employees · 20 to 21Jul 5, 2023 to Mar 28, 2024
- Employees · 59 to 61Jul 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $9.9B to $12BJul 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $7.1B to $8.9BJul 5, 2023 to Mar 28, 2024
- RAUM · $9.9B to $12BJul 5, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 4Nov 29, 2022 to Mar 31, 2023
- Employees · 55 to 59Nov 29, 2022 to Mar 31, 2023
- Private funds · 5 to 4Nov 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $11B to $9.9BNov 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $11B to $7.1BNov 29, 2022 to Mar 31, 2023
- RAUM · $11B to $9.9BNov 29, 2022 to Mar 31, 2023
- Private funds · 4 to 5Apr 1, 2022 to Nov 29, 2022
- Accounts · 4 to 6Mar 26, 2021 to Mar 31, 2022
- Advisory employees · 18 to 20Mar 26, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 5Mar 26, 2021 to Mar 31, 2022
- Employees · 52 to 55Mar 26, 2021 to Mar 31, 2022
- Private funds · 3 to 4Mar 26, 2021 to Mar 31, 2022
- Discretionary RAUM · $10.0B to $11BMar 26, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $10.0B to $11BMar 26, 2021 to Mar 31, 2022
- RAUM · $10.0B to $11BMar 26, 2021 to Mar 31, 2022
- Advisory employees · 19 to 18Mar 26, 2020 to Mar 26, 2021
- Employees · 50 to 52Mar 26, 2020 to Mar 26, 2021
- Discretionary RAUM · $5.7B to $10.0BMar 26, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $5.7B to $10.0BMar 26, 2020 to Mar 26, 2021
- RAUM · $5.7B to $10.0BMar 26, 2020 to Mar 26, 2021
- Advisory employees · 16 to 19Mar 27, 2019 to Mar 26, 2020
Signals
3 dated events
- Aristeia Capital, Llc reported RAUM $10.0B, up 76% from $5.7B (2020-03-26 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Christopher Kevin Toner (Manager) no longer on Schedule A of Aristeia Capital, Llc (listed 2018-03-28, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Aristeia Capital, Llc reported RAUM $5.9B, up 30% from $4.5B (2017-03-28 to 2018-03-28)Mar 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/ARISTEIA-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ARISTEIACAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-842-8900reportedpublic 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026