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••••• I••••••••• M•••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Dec 5, 2011 · 21 filings
SEC status approved since Feb 11, 2008
RAUM
$359M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
90%
$324M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$359M as of Feb 19, 2026
Jan 17, 2012$109M then
HNW client RAUM$274M as of Feb 19, 2026
Feb 28, 2018$68.5M then
State-registered IARs (5.B.3)2 as of Feb 19, 2026
Feb 25, 20131 then
Employees (5.A)4 as of Feb 19, 2026
Feb 25, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $783,177derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$274M76%
- Individuals$49.8M14%
- Charitable organizations$15.0M4.2%
- Pension and profit-sharing plans$11.2M3.1%
- Corporations and businesses$8.4M2.4%
- Individual clients
- 130reported
- HNW clients
- 55reported
- Pension plan clients
- 6reported
- Charitable clients
- 5reported
- Accounts
- 458reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• •••• D•••• | Naples, Fl | Feb 11, 2008 | 26 y | 2 |
| A••••• D•••• S•••• | Naples, Fl | Jan 8, 2024 | 12 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• D•••• S•••• from J••• M••••• S••••••••• L••Jan 8, 2024 · Wirehouse to independent RIA
- S•••••• •••• D•••• from B••••• A•••••••• L••Feb 11, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• S••••••• •••• · Managing Member/Chief Compliance Officercontrolsince 01/2008 · 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 |
|---|---|---|---|---|---|
| Naples, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 444 to 458Jan 31, 2025 to Feb 19, 2026
- Charity clients · 3 to 5Jan 31, 2025 to Feb 19, 2026
- Corporate clients · 3 to 4Jan 31, 2025 to Feb 19, 2026
- HNW clients · 47 to 55Jan 31, 2025 to Feb 19, 2026
- Individual clients · 132 to 130Jan 31, 2025 to Feb 19, 2026
- Discretionary RAUM · $287M to $326MJan 31, 2025 to Feb 19, 2026
- HNW RAUM · $246M to $274MJan 31, 2025 to Feb 19, 2026
- Individual RAUM · $53.4M to $49.8MJan 31, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $35.8M to $33.1MJan 31, 2025 to Feb 19, 2026
- Pension RAUM · $8.9M to $11.2MJan 31, 2025 to Feb 19, 2026
- RAUM · $323M to $359MJan 31, 2025 to Feb 19, 2026
- Accounts · 386 to 444Feb 6, 2024 to Jan 31, 2025
- Charity clients · unset to 3.0Feb 6, 2024 to Jan 31, 2025
- Corporate clients · unset to 3.0Feb 6, 2024 to Jan 31, 2025
- HNW clients · 26 to 47Feb 6, 2024 to Jan 31, 2025
- Individual clients · 121 to 132Feb 6, 2024 to Jan 31, 2025
- Pension plan clients · unset to 6.0Feb 6, 2024 to Jan 31, 2025
- Employees · 2 to 4Feb 6, 2024 to Jan 31, 2025
- Financial planning clients · unset to Feb 6, 2024 to Jan 31, 2025
- State-registered IARs · 1 to 2Feb 6, 2024 to Jan 31, 2025
- Discretionary RAUM · $194M to $287MFeb 6, 2024 to Jan 31, 2025
- HNW RAUM · $176M to $246MFeb 6, 2024 to Jan 31, 2025
- Individual RAUM · $62.3M to $53.4MFeb 6, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $45.1M to $35.8MFeb 6, 2024 to Jan 31, 2025
- Pension RAUM · unset to 8917906.0Feb 6, 2024 to Jan 31, 2025
- RAUM · $239M to $323MFeb 6, 2024 to Jan 31, 2025
- Accounts · 374 to 386Jan 26, 2023 to Feb 6, 2024
- HNW clients · 111 to 26Jan 26, 2023 to Feb 6, 2024
- Individual clients · 38 to 121Jan 26, 2023 to Feb 6, 2024
- Discretionary RAUM · $151M to $194MJan 26, 2023 to Feb 6, 2024
- HNW RAUM · $156M to $176MJan 26, 2023 to Feb 6, 2024
- Individual RAUM · $26.8M to $62.3MJan 26, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $31.4M to $45.1MJan 26, 2023 to Feb 6, 2024
- RAUM · $182M to $239MJan 26, 2023 to Feb 6, 2024
- Accounts · 355 to 374Jan 19, 2022 to Jan 26, 2023
- HNW clients · 47 to 111Jan 19, 2022 to Jan 26, 2023
- Individual clients · 115 to 38Jan 19, 2022 to Jan 26, 2023
- Discretionary RAUM · $201M to $151MJan 19, 2022 to Jan 26, 2023
- HNW RAUM · $226M to $156MJan 19, 2022 to Jan 26, 2023
- Individual RAUM · $36.9M to $26.8MJan 19, 2022 to Jan 26, 2023
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.
How to reach
public business contact points only, each with its source
- Business email
- i••••••••@a•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-239-8129reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-845-0385reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-390-8001reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/aurora-investment-managers-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-390-8001reportedpublic record, Form ADV, Feb 19, 2026
- Contact form
- a•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $179Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026