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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Latest filing Sep 14, 2026
First filing on the tape Mar 27, 2012 · 31 filings
SEC status approved since Mar 22, 2007
RAUM
$35B
reported, Item 5.F
Discretionary
75%
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
177
128 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$35B as of Jun 29, 2026
Mar 27, 2012$22B then
HNW client RAUM$0 as of Jun 29, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Mar 26, 20130 then
Employees (5.A)177 as of Jun 29, 2026
Mar 26, 201347 then
Private funds21 as of Jun 29, 2026
Mar 27, 20121 then
RAUM +58% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $510MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 35%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
- +58%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $2.3B, 15 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
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B34%
- Banks and thrifts$9.0B26%
- Insurance companies$3.9B11%
- Pension and profit-sharing plans$3.6B10%
- Sovereign wealth funds$2.7B7.7%
- State and municipal entities$2.2B6.1%
- Investment companies$1.6B4.6%
- Corporations and businesses$56.8M0.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 25reported
- Charitable clients
- 0reported
- Accounts
- 69reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3B for 15 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.39 institutional_share=0.35 related_bd=false related_bank=false 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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• P•••••• C••••• L••• | Other Private Fund | $796M | 2 | Mar 19, 2021 |
| H••• S••••• C••••• I•••••••• L• | Other Private Fund | $349M | 2 | Mar 31, 2023 |
| O•• F••• L••no longer reported | Hedge Fund | $322M | 1 | Mar 27, 2012 |
| 1••• P••••••• F••• A• L•• | Hedge Fund | $321M | 2 | Mar 31, 2015 |
| P••••• O••••••••• F••• L• | Hedge Fund | $259M | 2 | Mar 31, 2023 |
| T••••••• L• | Hedge Fund | $251M | 2 | Mar 28, 2024 |
| 1••• P••••••• F••• B• L•• | Hedge Fund | $193M | 2 | Mar 31, 2015 |
| T•• C••••••• L• | Other Private Fund | $174M | 2 | Mar 31, 2023 |
| A••••• P•••••• C••••• L• • S••••• S••••• | Other Private Fund | $118M | 2 | Mar 28, 2024 |
| S••••••• M••• I••••••• | Real Estate Fund | $50.2M | 2 | Mar 16, 2018 |
| P••••••••• C••••••••• F••• L• | Private Equity Fund | $29.9M | 2 | Mar 28, 2024 |
| C••• 5•• L•no longer reported | Hedge Fund | $18.0M | 1 | Mar 26, 2013 |
| C••• K••••••• L•no longer reported | Hedge Fund | $17.0M | 1 | Mar 26, 2013 |
Owners and control persons
Schedule A and B, latest filing
- P••••••••• A••••••••• · Membercontrolsince 10/2006 · owns 25% to 50%
- S•••• A••• · Chief Financial Officercontrolsince 07/2022 · owns less than 5%
- V••• J••••• H••••• · Ceo, Managing Membercontrolsince 10/2006 · owns 10% to 25%
- A••••••••• P••••••• R•••••• · Membersince 10/2006 · owns 5% to 10%
- B•••••• V•••••• · Membersince 09/2009 · owns less than 5%
- D•••••••• M•••••••• M••••••• · Membersince 04/2020 · owns less than 5%
- F••••••• M••• · Member, General Counselsince 01/2014 · owns less than 5%
- F•••••••• S••••• A•••••••• · Membersince 10/2006 · owns less than 5%
- G•••••••• B••••• L•• · Membersince 01/2024 · owns less than 5%
- K•••• K•••• B•••• · Membersince 04/2020 · owns less than 5%
- K••••• M••••••• S••••• · Membersince 04/2020 · owns less than 5%
- L••••••• J•••••• P• · Membersince 10/2006 · owns 5% to 10%
- M•••••• T•••••• J•••• · Membersince 04/2020 · owns less than 5%
- N•••• W••••••• T•••••• · Membersince 01/2022 · owns less than 5%
- N•••••• O•••••• P•••• · Membersince 01/2016 · owns less than 5%
- S•••••• B•••••• E•••••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
- W•••••• M••••• · Membersince 02/2007 · owns 5% to 10%
Related persons
Schedule D 7.A
- A•••• A••• A••••••• L•••pooled vehicle sponsory
- A•••• B•••• A••••••• L•••pooled vehicle sponsory
- A•••• C• L••investment adviserLP sponsoryRAUM $2.1B
- A•••• C•••••• A••••••• L•••pooled vehicle sponsory
- A•••• C•••••• A••••••• L••• • S••••• S•••••pooled vehicle sponsory
- A•••• D•••• A••••••• L•pooled vehicle sponsory
- A•••• E••• A••••••• L•pooled vehicle sponsory
- A•••• E••••• L••••••investment advisery
- A•••• F•••••• A••••••• L•pooled vehicle sponsory
- A•••• G••• A••••••• L•pooled vehicle sponsory
- A•••• G• L•••pooled vehicle sponsory
- A•••• H••• K••• L••••••investment advisery
- A•••• H•••• A••••••• L•pooled vehicle sponsory
- A•••• I••• A••••••• L•pooled vehicle sponsory
- A•••• J•••• C••• L•••investment advisery
- A•••• K•••• A••••••• L•pooled vehicle sponsory
- A•••• N• A••••••• L•pooled vehicle sponsory
- A•••• R•• A••••••• L•pooled vehicle sponsory
- A•••• X• A••••••• L•pooled vehicle sponsory
Advisers that list A•••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL9 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $22,306,544,936 to $35,204,913,706 (+58.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +11.0% (113 comparable advisers, 96.0th percentile of changes)peers: other advisers, $20B and over (113) · 96% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 29, 2026 to Sep 14, 2026
- Private funds · 21 to unsetJun 29, 2026 to Sep 14, 2026
- Succession · false to unsetJun 29, 2026 to Sep 14, 2026
- Accounts · 54 to 69Jul 3, 2025 to Mar 31, 2026
- Advisory employees · 96 to 128Jul 3, 2025 to Mar 31, 2026
- Pooled vehicle clients · 25 to 31Jul 3, 2025 to Mar 31, 2026
- Assets in custody · $1.6B to $2.3BJul 3, 2025 to Mar 31, 2026
- Employees · 131 to 177Jul 3, 2025 to Mar 31, 2026
- Private funds · 15 to 21Jul 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $14B to $26BJul 3, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.1B to $8.9BJul 3, 2025 to Mar 31, 2026
- Pension RAUM · $3.1B to $3.6BJul 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.9B to $12BJul 3, 2025 to Mar 31, 2026
- RAUM · $22B to $35BJul 3, 2025 to Mar 31, 2026
- Financial planning clients · unset to May 2, 2025 to Jul 3, 2025
- Accounts · 42 to 54Jul 24, 2024 to Mar 28, 2025
- Advisory employees · 87 to 96Jul 24, 2024 to Mar 28, 2025
- Advisory activities · 5 to 6Jul 24, 2024 to Mar 28, 2025
- Pension plan clients · 22 to 25Jul 24, 2024 to Mar 28, 2025
- Pooled vehicle clients · 17 to 25Jul 24, 2024 to Mar 28, 2025
- Assets in custody · $1.6B to $1.6BJul 24, 2024 to Mar 28, 2025
- Employees · 113 to 131Jul 24, 2024 to Mar 28, 2025
- Private funds · 10 to 15Jul 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $12B to $14BJul 24, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $7.3B to $8.1BJul 24, 2024 to Mar 28, 2025
- Pension RAUM · $3.6B to $3.1BJul 24, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $5.3B to $6.9BJul 24, 2024 to Mar 28, 2025
- RAUM · $20B to $22BJul 24, 2024 to Mar 28, 2025
- Accounts · 37 to 42Jun 29, 2023 to Mar 28, 2024
- Advisory employees · 88 to 87Jun 29, 2023 to Mar 28, 2024
- Pension plan clients · 23 to 22Jun 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 15 to 17Jun 29, 2023 to Mar 28, 2024
- Assets in custody · $1.6B to $1.6BJun 29, 2023 to Mar 28, 2024
- Employees · 114 to 113Jun 29, 2023 to Mar 28, 2024
- Private funds · 7 to 10Jun 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $12B to $12BJun 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.3B to $7.3BJun 29, 2023 to Mar 28, 2024
- Pension RAUM · $3.4B to $3.6BJun 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.9B to $5.3BJun 29, 2023 to Mar 28, 2024
- RAUM · $18B to $20BJun 29, 2023 to Mar 28, 2024
Signals
5 dated events
- A•••• L•• reported RAUM $35.2B, up 58% from $22.3B (2025-07-03 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••• S••• (Chief Financial Officer) appeared on Schedule A of A•••• L••Jul 24, 2024 · Control person joined · fact
- A•••• L•• reported RAUM $16.5B, up 54% from $10.7B (2021-03-19 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A•••• L•• reported RAUM $10.7B, up 82% from $5.9B (2019-03-29 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- A•••• L•• reported RAUM $4.7B, down 91% from $53.7B (2017-06-13 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/A••••reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/aksia-ca-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-710-5710reportedpublic record, Form ADV, Sep 14, 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
- Other 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
Across the graphs
A•••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…