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

Aequitas Investment Management, LLC

Former SEC-registered adviserLake Oswego, OregonCRD 143780SEC 801-68039IAPD
Latest filing Jul 13, 2015
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$300M
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
51
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$234M gross assets
History
11 filings and snapshots on the tape
RAUM$301M as of Mar 31, 2015
Mar 30, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)51 as of Mar 31, 2015
Apr 1, 201327 then
Private funds6 as of Mar 31, 2015
Mar 30, 201210 then
RAUM +37% over the last fiscal year+33% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Jul 13, 2015; every figure names its basis
RAUM per advisor
$42.8MderivedRAUM 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
$37.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.3derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+37%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$300M, 8 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$300M for 8 clientsreported
Compensation
% of AUM, 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
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
13 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Aequitas Capital Opportunities Fund, LPPrivate Equity Fund$145M35Mar 24, 2014
Aequitas Income Protection Fund, LLCPrivate Equity Fund$37.9M25Mar 30, 2012
Aequitas Wrff I, LLCPrivate Equity Fund$21.1M43Mar 24, 2014
Aequitas Etc Founders Fund, LLCPrivate Equity Fund$21.0M33Mar 30, 2012
Aequitas Carepayment Founders Fund, LLCno longer reportedPrivate Equity Fund$13.2M23Mar 30, 2012
Aequitas Hybrid Fund, LLC - Series APrivate Equity Fund$9.1M44Mar 30, 2012
Aequitas Carepayment(R) Fund, LLCno longer reportedPrivate Equity Fund$9.1M13Mar 30, 2012
Aequitas Catalyst Fund, LLCno longer reportedPrivate Equity Fund$9.0M10Mar 30, 2012
Aequitas Income Opportunity Fund II, LLCno longer reportedPrivate Equity Fund$5.0M2Mar 30, 2012
Aequitas Commodities Fund, LLCno longer reportedHedge Fund$4.7M14Mar 30, 2012
Aequitas Hybrid Fund, LLC - Series Cno longer reportedPrivate Equity Fund$852,34210Mar 30, 2012
Aequitas Enhanced Income Fund, LLCOther Private Fund$00Mar 31, 2015
Aequitas Insurance Fund I, LLCno longer reportedPrivate Equity Fund$00Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • L Warren Brasch · Assistant Secretarycontrol
    since 02/2014 · owns less than 5%
  • S Andrew Craig · Assistant Secretarycontrol
    since 10/2006 · owns less than 5%
  • Jay Craig Froude · Managing Principal And Executive Vice Presidentcontrol
    since 06/2012 · owns less than 5%
  • Scott Nelson Gillis · Executive Vp/Chief Operations Officer/Cfocontrol
    since 01/2015 · owns less than 5%
  • Richard Robert Holmen · Secretarycontrol
    since 06/2015 · owns less than 5%
  • Joseph Robert Jesenik · President & Ceocontrol
    since 10/2006 · owns less than 5%
  • N Andrew Macritchie · Executive Vp/Chief Compliance Officercontrol
    since 04/2007 · owns less than 5%
  • Arthur Brian Oliver · Executive Vice Presidentcontrol
    since 10/2006 · owns less than 5%
  • K Brian Rice · Executive Vice Presidentcontrol
    since 10/2014 · owns less than 5%
  • John William Ruh · Managing Principalcontrol
    since 01/2014 · owns less than 5%
  • Jay Craig Froude · Manager/Member Of Aequitas Management, LLCcontrol
    since 06/2012 · owns F of Aequitas Management, LLC
  • Joseph Robert Jesenik · Manager/Member Of Aequitas Management, LLCcontrol
    since 02/2007 · owns 25% to 50% of Aequitas Management, LLC
  • N Andrew Macritchie · Manager/Member Of Aequitas Management, LLCcontrol
    since 02/2007 · owns F of Aequitas Management, LLC
  • Arthur Brian Oliver · Manager/Member Of Aequitas Management, LLCcontrol
    since 02/2007 · owns F of Aequitas Management, LLC
Entity owners
  • Aequitas Capital Management, Inc · Manager/Member
    direct · owns 75% or more
  • Aequitas Holdings, LLC · Shareholder Of Aequitas Capital Management, Inc.
    indirect · owns 75% or more of Aequitas Capital Management, Inc.
  • Aequitas Management, LLC · Manager/Member Of Aequitas Holdings, LLC
    indirect · owns 75% or more of Aequitas Holdings, LLC
Related persons
Schedule D 7.A
  • Aequitas Capital Management, Inc.
    y
  • Aequitas Capital Opportunities Gp, LLC
    pooled vehicle sponsorn
  • Private Advisory
    investment advisernRAUM $2.1B
  • Sca
    investment advisernRAUM $208M
Advisers that list Aequitas Investment Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • New York, NY
What changed
consecutive filings, newest first
  • Assets in custody · $301M to $300M
    Mar 31, 2015 to May 1, 2015
  • Discretionary RAUM · $301M to $300M
    Mar 31, 2015 to May 1, 2015
  • RAUM · $301M to $300M
    Mar 31, 2015 to May 1, 2015
  • Accounts · 6 to 8
    May 27, 2014 to Mar 31, 2015
  • Advisory employees · 7 to 10
    May 27, 2014 to Mar 31, 2015
  • BD registered reps · 1 to 0
    May 27, 2014 to Mar 31, 2015
  • Assets in custody · $221M to $301M
    May 27, 2014 to Mar 31, 2015
  • Employees · 23 to 51
    May 27, 2014 to Mar 31, 2015
  • State-registered IARs · 5 to 7
    May 27, 2014 to Mar 31, 2015
  • Private funds · 5 to 6
    May 27, 2014 to Mar 31, 2015
  • Discretionary RAUM · $221M to $301M
    May 27, 2014 to Mar 31, 2015
  • RAUM · $221M to $301M
    May 27, 2014 to Mar 31, 2015
  • Related adviser · false to true
    May 27, 2014 to Mar 31, 2015
  • Related broker-dealer · false to true
    May 27, 2014 to Mar 31, 2015
  • Accounts · 7 to 6
    Mar 24, 2014 to May 27, 2014
  • Assets in custody · $219M to $221M
    Mar 24, 2014 to May 27, 2014
  • Private funds · 6 to 5
    Mar 24, 2014 to May 27, 2014
  • Discretionary RAUM · $219M to $221M
    Mar 24, 2014 to May 27, 2014
  • RAUM · $219M to $221M
    Mar 24, 2014 to May 27, 2014
  • Accounts · 5 to 7
    Oct 23, 2013 to Mar 24, 2014
  • BD registered reps · 0 to 1
    Oct 23, 2013 to Mar 24, 2014
  • Assets in custody · $136M to $219M
    Oct 23, 2013 to Mar 24, 2014
  • Employees · 27 to 23
    Oct 23, 2013 to Mar 24, 2014
  • Private funds · 4 to 6
    Oct 23, 2013 to Mar 24, 2014
  • Discretionary RAUM · $147M to $219M
    Oct 23, 2013 to Mar 24, 2014
  • RAUM · $147M to $219M
    Oct 23, 2013 to Mar 24, 2014
  • Accounts · 6 to 5
    Apr 1, 2013 to Oct 23, 2013
  • Private funds · 5 to 4
    Apr 1, 2013 to Oct 23, 2013
  • Discretionary RAUM · $136M to $147M
    Apr 1, 2013 to Oct 23, 2013
  • RAUM · $136M to $147M
    Apr 1, 2013 to Oct 23, 2013
  • Accounts · 11 to 6
    Sep 11, 2012 to Apr 1, 2013
  • Advisory employees · unset to 7.0
    Sep 11, 2012 to Apr 1, 2013
  • Assets in custody · $128M to $136M
    Sep 11, 2012 to Apr 1, 2013
  • Employees · unset to 27.0
    Sep 11, 2012 to Apr 1, 2013
  • State-registered IARs · 0 to 5
    Sep 11, 2012 to Apr 1, 2013
  • Private funds · 10 to 5
    Sep 11, 2012 to Apr 1, 2013
  • Discretionary RAUM · $128M to $136M
    Sep 11, 2012 to Apr 1, 2013
  • RAUM · $128M to $136M
    Sep 11, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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