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
Athenainvest Advisors LLC
Latest filing Mar 31, 2025
First filing on the tape Mar 31, 2012 · 45 filings
SEC status approved since Jun 16, 2008
RAUM
$80.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$9.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$80.4M as of Mar 31, 2025
Mar 31, 2012$45.0M then
HNW client RAUM$8.3M as of Mar 31, 2025
Mar 26, 2018$7.7M then
State-registered IARs (5.B.3)3 as of Mar 31, 2025
Mar 31, 20120 then
Employees (5.A)5 as of Mar 31, 2025
Mar 22, 20136 then
Private funds1 as of Mar 30, 2023
Apr 1, 20201 then
RAUM -4.4% over the last fiscal year-11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $26.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $830,873derivedHNW RAUM over HNW clients
- Average account
- $64,201derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
- Custody
- $1.0M, 3 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)
- 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
- Other investment advisers$49.6M62%
- Investment companies$21.2M26%
- High-net-worth individuals$8.3M10%
- Individuals$1.3M1.7%
- Individual clients
- 10reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,253reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0M for 3 clientsreported
- Compensation
- % of AUMreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- Andrew Charles Howard to Quartz Partners Investment ManagementJun 8, 2026 · Other
- Lambert Cadwalader Bunker to Quartz Partners Investment ManagementJun 8, 2026 · Other
- David Joseph Stock to Quartz Partners Investment ManagementJun 8, 2026 · Other
- Charles Thomas Howard to Quartz Partners Investment ManagementJun 8, 2026 · Other
- Stephen Thomas Bogosian to Swan Global Investments, LLCMar 8, 2021 · Other
- James Carroll Quinn to B. C. Ziegler And CompanyAug 2, 2013 · Other
Joined, latest
- Stephen Thomas Bogosian from Assetmark, Inc.Jan 13, 2017 · Other
- David Joseph Stock from Rainsberger Wealth AdvisorsMar 24, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Quartz Partners Investment ManagementJun 8, 2026 · Greenwood Village, Co · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Athena Behavioral Capital Fund, LP | Hedge Fund | $3.1M | 26 | Apr 1, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Thomas Charles Howard · Ceocontrolsince 01/2008 · owns 25% to 50%
- Charles Andrew Howard · Chief Compliance Officersince 01/2018 · owns 5% to 10%
Entity owners
- Athenainvest, Inc. · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwood Village, Co · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,243 to 1,253Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $5.3M to $1.0MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $84.1M to $80.4MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $8.2M to $8.3MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $1.3M to $1.3MMar 28, 2024 to Mar 31, 2025
- RAUM · $84.1M to $80.4MMar 28, 2024 to Mar 31, 2025
- Accounts · 1,225 to 1,243Mar 30, 2023 to Mar 22, 2024
- Advisory employees · 4 to 3Mar 30, 2023 to Mar 22, 2024
- Advisory activities · 4 to 2Mar 30, 2023 to Mar 22, 2024
- HNW clients · 13 to 10Mar 30, 2023 to Mar 22, 2024
- Individual clients · 12 to 10Mar 30, 2023 to Mar 22, 2024
- Pooled vehicle clients · 1.0 to unsetMar 30, 2023 to Mar 22, 2024
- Assets in custody · $8.3M to $5.3MMar 30, 2023 to Mar 22, 2024
- Employees · 7 to 5Mar 30, 2023 to Mar 22, 2024
- Financial planning clients · unset to 0Mar 30, 2023 to Mar 22, 2024
- State-registered IARs · 4 to 3Mar 30, 2023 to Mar 22, 2024
- Other offices · 1 to 0Mar 30, 2023 to Mar 22, 2024
- Private funds · 1 to unsetMar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $92.7M to $84.1MMar 30, 2023 to Mar 22, 2024
- HNW RAUM · $6.9M to $8.2MMar 30, 2023 to Mar 22, 2024
- Individual RAUM · $1.2M to $1.3MMar 30, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · 3056639.0 to unsetMar 30, 2023 to Mar 22, 2024
- RAUM · $92.7M to $84.1MMar 30, 2023 to Mar 22, 2024
- Accounts · 1,155 to 1,225Aug 25, 2022 to Mar 30, 2023
- Assets in custody · $13.9M to $8.3MAug 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $114M to $92.7MAug 25, 2022 to Mar 30, 2023
- HNW RAUM · $8.6M to $6.9MAug 25, 2022 to Mar 30, 2023
- Individual RAUM · $1.9M to $1.2MAug 25, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $6.9M to $3.1MAug 25, 2022 to Mar 30, 2023
- RAUM · $114M to $92.7MAug 25, 2022 to Mar 30, 2023
- Accounts · 1,431 to 1,155Mar 26, 2021 to Mar 25, 2022
- HNW clients · unset to 13.0Mar 26, 2021 to Mar 25, 2022
- Individual clients · 22 to 12Mar 26, 2021 to Mar 25, 2022
- Assets in custody · $3.1M to $13.9MMar 26, 2021 to Mar 25, 2022
- Discretionary RAUM · $119M to $114MMar 26, 2021 to Mar 25, 2022
- HNW RAUM · $7.1M to $8.6MMar 26, 2021 to Mar 25, 2022
- Individual RAUM · $3.2M to $1.9MMar 26, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $3.1M to $6.9MMar 26, 2021 to Mar 25, 2022
- RAUM · $119M to $114MMar 26, 2021 to Mar 25, 2022
Signals
7 dated events
- Athenainvest Advisors Llc no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $80.4M)Jul 1, 2026 · Left the SEC roster · derived
- Lambert Cadwalader Bunker left Athenainvest Advisors Llc for Quartz Partners Investment Management (registered 2026-04-28)Jun 8, 2026 · Advisor changed firm · fact
- Charles Thomas Howard left Athenainvest Advisors Llc for Quartz Partners Investment Management (registered 2026-04-27)Jun 8, 2026 · Advisor changed firm · fact
- Andrew Charles Howard left Athenainvest Advisors Llc for Quartz Partners Investment Management (registered 2026-04-27)Jun 8, 2026 · Advisor changed firm · fact
- David Joseph Stock left Athenainvest Advisors Llc for Quartz Partners Investment Management (registered 2026-06-11)Jun 8, 2026 · Advisor changed firm · fact
- Athenainvest Advisors LLC's advisors moved to Quartz Partners Investment Management (Greenwood Village, CO): 4 of 4 registered, on the same dayJun 8, 2026 · Firm absorbed (people side) · derived
- Bradley Justin Borus (Sole Shareholder, Director, President, Treasurer And Secretary) no longer on Schedule A of Athenainvest Advisors Llc (listed 2019-11-11, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
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