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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SEC-registered adviser
A••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 8, 2019 · 11 filings
SEC status approved since May 7, 2019
RAUM
$39.3M
reported, Item 5.F
Discretionary
5.6%
of RAUM
Private clients
5.6%
$2.2M 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$39.3M as of Mar 31, 2026
Apr 29, 2020$66.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 29, 20200 then
Employees (5.A)1 as of Mar 31, 2026
Apr 29, 20201 then
Private funds: no history
RAUM +25% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.6%derivedof RAUM
- Institutional
- 94%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$37.1M94%
- Individuals$2.2M5.6%
- Individual clients
- 7reported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.94 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• W•••••• · Owner/Chief Compliance Officercontrolsince 06/2007 · 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
- Accounts · 9 to 10Nov 18, 2025 to Mar 31, 2026
- Individual clients · 8 to 7Nov 18, 2025 to Mar 31, 2026
- Pension plan clients · 1 to 3Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.7M to $2.2MNov 18, 2025 to Mar 31, 2026
- Individual RAUM · $1.9M to $2.2MNov 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $29.7M to $37.1MNov 18, 2025 to Mar 31, 2026
- Pension RAUM · $29.5M to $37.1MNov 18, 2025 to Mar 31, 2026
- RAUM · $31.3M to $39.3MNov 18, 2025 to Mar 31, 2026
- Individual clients · 6 to 8Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · unset to 1.0Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 26, 2025
- HQ city · unset to Mar 28, 2024 to Mar 26, 2025
- HQ state · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.1M to $1.7MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $615,648 to $1.9MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $68.9M to $29.7MMar 28, 2024 to Mar 26, 2025
- Pension RAUM · $68.6M to $29.5MMar 28, 2024 to Mar 26, 2025
- RAUM · $70.0M to $31.3MMar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $965,570 to $1.1MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $64.3M to $68.9MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $63.8M to $68.6MMar 30, 2023 to Mar 28, 2024
- RAUM · $65.3M to $70.0MMar 30, 2023 to Mar 28, 2024
- Accounts · 10 to 9Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7M to $965,570Mar 30, 2022 to Mar 30, 2023
- Individual RAUM · $723,048 to $615,648Mar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $79.4M to $64.3MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $79.4M to $63.8MMar 30, 2022 to Mar 30, 2023
- RAUM · $81.1M to $65.3MMar 30, 2022 to Mar 30, 2023
- Accounts · 9 to 10Mar 23, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.1M to $1.7MMar 23, 2021 to Mar 30, 2022
- Individual RAUM · $1.6M to $723,048Mar 23, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $72.8M to $79.4MMar 23, 2021 to Mar 30, 2022
- Pension RAUM · $72.4M to $79.4MMar 23, 2021 to Mar 30, 2022
- RAUM · $74.0M to $81.1MMar 23, 2021 to Mar 30, 2022
- Individual clients · 7 to 6Jun 29, 2020 to Mar 23, 2021
- Discretionary RAUM · $1.1M to $1.1MJun 29, 2020 to Mar 23, 2021
- Individual RAUM · $1.7M to $1.6MJun 29, 2020 to Mar 23, 2021
- Non-discretionary RAUM · $65.0M to $72.8MJun 29, 2020 to Mar 23, 2021
- Pension RAUM · $64.5M to $72.4MJun 29, 2020 to Mar 23, 2021
- RAUM · $66.2M to $74.0MJun 29, 2020 to Mar 23, 2021
Signals
1 dated events
- A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 8, 2019 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/apollo-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-783-1610reportedpublic 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
- Institutional managerderiveda 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