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.
SEC-registered adviser
Aether Investment Partners, LLC
Latest filing Mar 2, 2026
First filing on the tape Mar 9, 2012 · 28 filings
SEC status approved since Sep 3, 2009
RAUM
$1.1B
reported, Item 5.F
Discretionary
86%
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.1B as of Mar 2, 2026
Mar 9, 2012$270M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2026
Mar 9, 20120 then
Employees (5.A)3 as of Mar 2, 2026
Mar 11, 20136 then
Private funds8 as of Mar 2, 2026
Mar 9, 20122 then
RAUM -11% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $143MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.0%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
- -11%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 8 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Aether Real Assets V, L.P. | Private Equity Fund | $311M | 108 | Sep 27, 2018 |
| Aether Real Assets IV, L.P. | Private Equity Fund | $272M | 99 | Sep 28, 2016 |
| Aether Real Assets III, L.P. | Private Equity Fund | $195M | 158 | Mar 11, 2014 |
| Aether Real Assets Sonj Fund, L.P. | Private Equity Fund | $147M | 2 | Sep 27, 2018 |
| Aether Real Assets III Surplus, L.P. | Private Equity Fund | $123M | 5 | Mar 11, 2014 |
| Aether Real Assets II, L.P. | Private Equity Fund | $113M | 197 | Mar 9, 2012 |
| Aether Real Assets Seed Partners I, L.P. | Private Equity Fund | $93.1M | 9 | Sep 22, 2022 |
| Aether Real Assets Co-Investment I, L.P. | Private Equity Fund | $24.6M | 41 | Sep 28, 2016 |
| Aether Real Assets I, L.P. | Private Equity Fund | $6.8M | 113 | Mar 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Arthur Sean Goodrich · Managing Directorcontrolsince 07/2014 · owns less than 5%
- Russell Troy Schell · Managing Directorcontrolsince 07/2014 · owns less than 5%
- Leigh Kristen Federer · Chief Compliance Officer & Chief Financial Officersince 09/2015 · owns less than 5%
- Reed David Rhoades · Chief Operating Officersince 01/2012 · owns less than 5%
Entity owners
- Northern Lights Midco II, LLC · Memberdirect · owns 75% or more
- Aurora Investment Management Pty Limited · Trustee Of Aurora Trustindirect · owns F of Aurora Trust
- Aurora Trust · Memberindirect · owns 75% or more of Northern Lights Midco, LLC
- Northern Lights Midco, LLC · Memberindirect · owns 75% or more of Northern Lights Midco II, LLC
- Pacific Current Group Limited · Unitholderindirect · owns 50% to 75% of Aurora Trust
Related persons
Schedule D 7.A
- Aether Real Assets Co-Investment Gp I, LLCpooled vehicle sponsorn
- Aether Real Assets Gp II, LLCpooled vehicle sponsorn
- Aether Real Assets Gp III, LLCpooled vehicle sponsorn
- Aether Real Assets Gp IV, LLCpooled vehicle sponsorn
- Aether Real Assets Gp Sonj, LLCpooled vehicle sponsorn
- Aether Real Assets Gp V, LLCpooled vehicle sponsorn
- Aether Real Assets III Surplus Gp, LLCpooled vehicle sponsorn
- Aether Real Assets Seed Partners Gp I, LLCpooled vehicle sponsorn
- Pacific Current Groupinvestment advisernRAUM $404M
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 2, 2026employees (Item 5.A) moved from 12.0 to 3.0 (-75.0%) between the annual amendments of 2025-03-25 and 2026-03-02; the peer median change was 0.0% (1109 comparable advisers, 0.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 0.5% percentile
What changed
consecutive filings, newest first
- Assets in custody · $1.2B to $1.1BOct 7, 2025 to Mar 2, 2026
- HQ city · to LITTLETONOct 7, 2025 to Mar 2, 2026
- HQ state · to COOct 7, 2025 to Mar 2, 2026
- Discretionary RAUM · $1.0B to $983MOct 7, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $148M to $162MOct 7, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $1.2B to $1.1BOct 7, 2025 to Mar 2, 2026
- RAUM · $1.2B to $1.1BOct 7, 2025 to Mar 2, 2026
- Assets in custody · $1.3B to $1.2BJul 15, 2025 to Oct 7, 2025
- Discretionary RAUM · $1.1B to $1.0BJul 15, 2025 to Oct 7, 2025
- Non-discretionary RAUM · $147M to $148MJul 15, 2025 to Oct 7, 2025
- Pooled vehicle RAUM · $1.3B to $1.2BJul 15, 2025 to Oct 7, 2025
- RAUM · $1.3B to $1.2BJul 15, 2025 to Oct 7, 2025
- Advisory employees · 8 to 2Mar 25, 2025 to Jul 15, 2025
- Employees · 12 to 3Mar 25, 2025 to Jul 15, 2025
- Financial planning clients · unset to Mar 25, 2025 to Jul 15, 2025
- HQ city · DENVER to Mar 25, 2025 to Jul 15, 2025
- HQ state · CO to Mar 25, 2025 to Jul 15, 2025
- Related adviser · true to falseSep 18, 2024 to Mar 25, 2025
- Accounts · 9 to 8Sep 21, 2023 to Sep 18, 2024
- Pooled vehicle clients · 9 to 8Sep 21, 2023 to Sep 18, 2024
- Assets in custody · $1.5B to $1.3BSep 21, 2023 to Sep 18, 2024
- Employees · 11 to 12Sep 21, 2023 to Sep 18, 2024
- Private funds · 9 to 8Sep 21, 2023 to Sep 18, 2024
- Discretionary RAUM · $1.3B to $1.1BSep 21, 2023 to Sep 18, 2024
- Non-discretionary RAUM · $159M to $147MSep 21, 2023 to Sep 18, 2024
- Pooled vehicle RAUM · $1.5B to $1.3BSep 21, 2023 to Sep 18, 2024
- RAUM · $1.5B to $1.3BSep 21, 2023 to Sep 18, 2024
- Related broker-dealer · true to falseSep 21, 2023 to Sep 18, 2024
- Advisory employees · 9 to 8Jun 8, 2023 to Sep 21, 2023
- Assets in custody · $1.6B to $1.5BJun 8, 2023 to Sep 21, 2023
- Employees · 12 to 11Jun 8, 2023 to Sep 21, 2023
- Discretionary RAUM · $1.4B to $1.3BJun 8, 2023 to Sep 21, 2023
- Non-discretionary RAUM · $170M to $159MJun 8, 2023 to Sep 21, 2023
- Pooled vehicle RAUM · $1.6B to $1.5BJun 8, 2023 to Sep 21, 2023
- RAUM · $1.6B to $1.5BJun 8, 2023 to Sep 21, 2023
- Accounts · 8 to 9Sep 28, 2021 to Sep 22, 2022
- Advisory employees · 10 to 9Sep 28, 2021 to Sep 22, 2022
- Pooled vehicle clients · 8 to 9Sep 28, 2021 to Sep 22, 2022
- Assets in custody · $1.5B to $1.6BSep 28, 2021 to Sep 22, 2022
- Employees · 15 to 12Sep 28, 2021 to Sep 22, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Aether Investment Partners, LLC · Independent Sponsorsshared crd · capital_provider
- Aether Investment Partners, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/aether-investment-partners-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- AETHERIP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 7209614190reportedpublic record, Form ADV, Mar 2, 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
- Asset manager (funds and pooled vehicles)deriveda 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