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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Former SEC-registered adviser
A•••••••• M•••••••••
Legal name A• C•••••• M••••••••• C••••
Latest filing Mar 29, 2019
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
$814M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.9%
$15.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$814M as of Mar 29, 2019
Mar 28, 2012$304M then
HNW client RAUM$14.6M as of Mar 29, 2019
Mar 12, 2018$16.0M then
State-registered IARs (5.B.3)5 as of Mar 29, 2019
Mar 28, 20138 then
Employees (5.A)6 as of Mar 29, 2019
Mar 28, 20138 then
Private funds: no history
RAUM -12% over the last fiscal year+18% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $163MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $58.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$792M97%
- High-net-worth individuals$14.6M1.8%
- Charitable organizations$6.0M0.7%
- Pension and profit-sharing plans$1.5M0.2%
- Individuals$538,9360.1%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- M••• A••• S•••••• to V•••••• W••••• L••Apr 26, 2019 · Other
- W•••••• D•••••• N••• to N•••••• W••••• M•••••••••Sep 24, 2018 · Other
- N••••••• J••• B••••• to A•••••• P••••••• P•••••••• I•••May 25, 2017 · Other
- B•••• S•••• M••••••• to C••••• I••••••••• A••••••• L••Apr 13, 2016 · Other
- J••••• D•••• C••••• to B•• C•••••• M•••••••••Jan 5, 2016 · Other
- W••• M•••••• J•••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••Sep 8, 2015 · Other
Joined, latest
- B•••• S•••• M••••••• from L•• F•••••••• L••Dec 8, 2015 · Other
- W••• M•••••• J•••••• from P••••••••• R••••••••• B•••••••• S•••••••• I•••Nov 28, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••••• T•••••• · Directorcontrolsince 04/2016 · owns less than 5%
- D••••••• R•••••• J••••• · Directorcontrolsince 09/2006 · owns less than 5%
- S•••••• C••••••• J••••• · Directorcontrolsince 05/2006 · owns less than 5%
- S•••••• N•••••••• J••• · Directorcontrolsince 05/2006 · owns less than 5%
- S••••••• S••••• J••••• · Chief Compliance Officer (Cco)/Iarcontrolsince 05/2008 · owns less than 5%
- S••••••• M•••• A••• · Director/Iarcontrolsince 05/2006 · owns less than 5%
- S•••••• C••••••• J••••• · Director/Shareholdercontrolsince 05/2006 · owns F of A• B••••••
- S•••••• N•••••••• J••• · Director/Shareholdercontrolsince 05/2006 · owns F of A• B••••••
Entity owners
- A• B•••••• · 100% Shareholder/Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• T•••• A•• S•••••• B•••LP sponsorreal estatecustodiann
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 14Jan 17, 2019 to Mar 29, 2019
- Advisory employees · 6 to 5Jan 17, 2019 to Mar 29, 2019
- Employees · 7 to 6Jan 17, 2019 to Mar 29, 2019
- Discretionary RAUM · $927M to $814MJan 17, 2019 to Mar 29, 2019
- HNW RAUM · $16.0M to $14.6MJan 17, 2019 to Mar 29, 2019
- Individual RAUM · $874,661 to $538,936Jan 17, 2019 to Mar 29, 2019
- Pension RAUM · $1.6M to $1.5MJan 17, 2019 to Mar 29, 2019
- RAUM · $927M to $814MJan 17, 2019 to Mar 29, 2019
- Accounts · 103 to 15Mar 17, 2017 to Mar 12, 2018
- Advisory employees · 7 to 6Mar 17, 2017 to Mar 12, 2018
- HNW clients · unset to 7.0Mar 17, 2017 to Mar 12, 2018
- State-registered IARs · 7 to 5Mar 17, 2017 to Mar 12, 2018
- Other offices · unset to 0.0Mar 17, 2017 to Mar 12, 2018
- Discretionary RAUM · $795M to $927MMar 17, 2017 to Mar 12, 2018
- HNW RAUM · unset to 15967831.0Mar 17, 2017 to Mar 12, 2018
- Individual RAUM · unset to 874661.0Mar 17, 2017 to Mar 12, 2018
- Pension RAUM · unset to 1576841.0Mar 17, 2017 to Mar 12, 2018
- RAUM · $795M to $927MMar 17, 2017 to Mar 12, 2018
- Accounts · 79 to 103Mar 23, 2016 to Mar 17, 2017
- Advisory employees · 8 to 7Mar 23, 2016 to Mar 17, 2017
- Employees · 8 to 7Mar 23, 2016 to Mar 17, 2017
- State-registered IARs · 8 to 7Mar 23, 2016 to Mar 17, 2017
- Discretionary RAUM · $490M to $795MMar 23, 2016 to Mar 17, 2017
- RAUM · $490M to $795MMar 23, 2016 to Mar 17, 2017
- Accounts · 74 to 79Nov 19, 2015 to Mar 23, 2016
- Advisory employees · 9 to 8Nov 19, 2015 to Mar 23, 2016
- Advisory activities · 3 to 2Nov 19, 2015 to Mar 23, 2016
- Employees · 9 to 8Nov 19, 2015 to Mar 23, 2016
- State-registered IARs · 9 to 8Nov 19, 2015 to Mar 23, 2016
- Discretionary RAUM · $423M to $490MNov 19, 2015 to Mar 23, 2016
- RAUM · $423M to $490MNov 19, 2015 to Mar 23, 2016
- Business name · A••••••••• A••••••• to A•••••••• M•••••••••Oct 2, 2015 to Oct 6, 2015
- Legal name · AT FINANCIAL ADVISORS CORP. to AT CAPITAL MANAGEMENTOct 1, 2015 to Oct 2, 2015
- Legal name · AT CAPITAL MANAGEMENT to AT CAPITAL MANAGEMENT CORP.Oct 2, 2015 to Oct 2, 2015
- Accounts · 71 to 74Nov 24, 2014 to Mar 4, 2015
- Advisory employees · 8 to 9Nov 24, 2014 to Mar 4, 2015
- Employees · 8 to 9Nov 24, 2014 to Mar 4, 2015
- State-registered IARs · 8 to 9Nov 24, 2014 to Mar 4, 2015
- Discretionary RAUM · $424M to $423MNov 24, 2014 to Mar 4, 2015
- RAUM · $424M to $423MNov 24, 2014 to Mar 4, 2015
Signals
No event on the tape.
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