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

Ailsa Capital, Inc.

Former SEC-registered adviserDraper, UtahCRD 136463SEC 801-118618IAPD
Latest filing Mar 17, 2023
First filing on the tape Mar 30, 2020 · 11 filings
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$163M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$210M as of Mar 18, 2022
Mar 12, 2021$176M then
HNW client RAUM$123M as of Mar 18, 2022
Mar 12, 2021$113M then
State-registered IARs (5.B.3)4 as of Mar 18, 2022
Mar 12, 20214 then
Employees (5.A)5 as of Mar 18, 2022
Mar 12, 20215 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 4 to 1
Practice profile
derived from the filing of Mar 17, 2023; every figure names its basis
RAUM per advisor
$210MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
315derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$224,640derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.8%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$39.6M, 107 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$123M58%
  • Individuals$40.2M19%
  • Pension and profit-sharing plans$31.7M15%
  • Charitable organizations$8.9M4.2%
  • Corporations and businesses$6.5M3.1%
Individual clients
241reported
HNW clients
74reported
Pension plan clients
46reported
Charitable clients
5reported
Accounts
936reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$39.6M for 107 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alvin John Martindale · Owner/President/Chief Compliance Officercontrol
      since 11/2011 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 1
      Mar 6, 2023 to Mar 17, 2023
    • Employees · 4 to 1
      Mar 6, 2023 to Mar 17, 2023
    • State-registered IARs · 3 to 1
      Mar 6, 2023 to Mar 17, 2023
    • Advisory employees · 4 to 3
      Mar 18, 2022 to Mar 6, 2023
    • Employees · 5 to 4
      Mar 18, 2022 to Mar 6, 2023
    • State-registered IARs · 4 to 3
      Mar 18, 2022 to Mar 6, 2023
    • Accounts · 865 to 936
      Feb 15, 2022 to Mar 18, 2022
    • Corporate clients · 9 to 7
      Feb 15, 2022 to Mar 18, 2022
    • HNW clients · 78 to 74
      Feb 15, 2022 to Mar 18, 2022
    • Individual clients · 246 to 241
      Feb 15, 2022 to Mar 18, 2022
    • Pension plan clients · 18 to 46
      Feb 15, 2022 to Mar 18, 2022
    • Financial planning clients · 0 to 1-10
      Feb 15, 2022 to Mar 18, 2022
    • Discretionary RAUM · $176M to $210M
      Feb 15, 2022 to Mar 18, 2022
    • HNW RAUM · $113M to $123M
      Feb 15, 2022 to Mar 18, 2022
    • Individual RAUM · $37.1M to $40.2M
      Feb 15, 2022 to Mar 18, 2022
    • Pension RAUM · $11.1M to $31.7M
      Feb 15, 2022 to Mar 18, 2022
    • RAUM · $176M to $210M
      Feb 15, 2022 to Mar 18, 2022
    • Assets in custody · $11.6M to $39.6M
      Oct 26, 2021 to Feb 15, 2022
    • Accounts · 770 to 865
      Jul 29, 2020 to Mar 12, 2021
    • Charity clients · 3 to 5
      Jul 29, 2020 to Mar 12, 2021
    • Corporate clients · 5 to 9
      Jul 29, 2020 to Mar 12, 2021
    • HNW clients · 26 to 78
      Jul 29, 2020 to Mar 12, 2021
    • Individual clients · 349 to 246
      Jul 29, 2020 to Mar 12, 2021
    • Pension plan clients · 26 to 18
      Jul 29, 2020 to Mar 12, 2021
    • Assets in custody · $119M to $11.6M
      Jul 29, 2020 to Mar 12, 2021
    • Financial planning clients · 1-10 to 0
      Jul 29, 2020 to Mar 12, 2021
    • Discretionary RAUM · $119M to $176M
      Jul 29, 2020 to Mar 12, 2021
    • HNW RAUM · $46.4M to $113M
      Jul 29, 2020 to Mar 12, 2021
    • Individual RAUM · $52.4M to $37.1M
      Jul 29, 2020 to Mar 12, 2021
    • Pension RAUM · $14.3M to $11.1M
      Jul 29, 2020 to Mar 12, 2021
    • RAUM · $119M to $176M
      Jul 29, 2020 to Mar 12, 2021
    Signals
    6 dated events
    • Dane Joshua Jensen left Ailsa Capital, Inc. for Beacon Pointe Advisors, Llc (registered 2023-03-20)
      Mar 17, 2023 · Advisor changed firm · fact
    • Tiffany T Bodell left Ailsa Capital, Inc. for Beacon Pointe Advisors, Llc (registered 2023-03-20)
      Mar 17, 2023 · Advisor changed firm · fact
    • John Alvin Martindale left Ailsa Capital, Inc. for Beacon Pointe Advisors, Llc (registered 2023-03-20)
      Mar 17, 2023 · Advisor changed firm · fact
    • Ailsa Capital, Inc.'s advisors moved to Beacon Pointe Advisors, LLC (Draper, UT): 3 of 3 registered, on the same day
      Mar 17, 2023 · Firm absorbed (people side) · derived
    • Cam Taggart Mcclellan left Ailsa Capital, Inc. for Palisade Wealth Management (registered 2023-02-19)
      Mar 6, 2023 · Advisor changed firm · fact
    • Ailsa Capital, Inc. filed its initial SEC registration (Form ADV)
      Mar 30, 2020 · 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.
    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