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•••••••• G•••• I• L••
Latest filing Mar 4, 2026
First filing on the tape Mar 15, 2012 · 58 filings
SEC status approved since Apr 13, 2010
RAUM
$80.2M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$75.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$80.2M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$80.2M as of Mar 4, 2026
Apr 30, 2012$75.0M then
HNW client RAUM$72.7M as of Mar 4, 2026
Mar 30, 2018$28.1M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Mar 21, 20131 then
Employees (5.A)4 as of Mar 4, 2026
Mar 21, 20135 then
Private funds1 as of Mar 4, 2026
Apr 30, 20121 then
RAUM +20% over the last fiscal year+4.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $80.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $853,151derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, hourly, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, publications, educational seminars, otherreportedItem 5.G
- Custody
- $80.2M, 34 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
- High-net-worth individuals$72.7M91%
- Pooled investment vehicles$4.4M5.4%
- Individuals$3.1M3.9%
- Individual clients
- 14reported
- HNW clients
- 19reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 94reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $80.2M for 34 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.05 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• H••• A•••••••• | New York, Ny | May 30, 2021 | 42 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
- B•••• D•••• L••••• to C••••••••• F••••• O•••••• L••Apr 1, 2016 · Other
Joined, latest
- S••••• H••• A•••••••• from A•••••••• G••••• L•••••May 30, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• G•••• G••••• F••• | Hedge Fund | $4.2M | 86 | Mar 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• S•••••• H••• · Managing Membercontrolsince 10/2009 · owns 75% or more
- C••••• E•••••• F•••••• · Chief Compliance Officercontrolsince 12/2009 · owns less than 5%
Related persons
Schedule D 7.A
- T•• A•••••••• G•••• G••••• F••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 44 to 94Jul 10, 2025 to Jan 16, 2026
- HNW clients · 32 to 19Jul 10, 2025 to Jan 16, 2026
- Individual clients · 12 to 14Jul 10, 2025 to Jan 16, 2026
- Assets in custody · $67.1M to $80.2MJul 10, 2025 to Jan 16, 2026
- Discretionary RAUM · $65.4M to $77.7MJul 10, 2025 to Jan 16, 2026
- HNW RAUM · $60.4M to $72.7MJul 10, 2025 to Jan 16, 2026
- Individual RAUM · $3.2M to $3.1MJul 10, 2025 to Jan 16, 2026
- Non-discretionary RAUM · $1.7M to $2.5MJul 10, 2025 to Jan 16, 2026
- Pooled vehicle RAUM · $3.5M to $4.4MJul 10, 2025 to Jan 16, 2026
- RAUM · $67.1M to $80.2MJul 10, 2025 to Jan 16, 2026
- Financial planning clients · 1-10 to 1-10Feb 10, 2025 to Jul 10, 2025
- Accounts · 93 to 44Jan 8, 2025 to Feb 10, 2025
- Charity clients · 1 to 0Jan 8, 2025 to Feb 10, 2025
- Corporate clients · 2 to 0Jan 8, 2025 to Feb 10, 2025
- HNW clients · 73 to 32Jan 8, 2025 to Feb 10, 2025
- Individual clients · 16 to 12Jan 8, 2025 to Feb 10, 2025
- Assets in custody · $66.6M to $67.1MJan 8, 2025 to Feb 10, 2025
- Discretionary RAUM · $66.6M to $65.4MJan 8, 2025 to Feb 10, 2025
- HNW RAUM · $35.6M to $60.4MJan 8, 2025 to Feb 10, 2025
- Individual RAUM · $3.9M to $3.2MJan 8, 2025 to Feb 10, 2025
- Non-discretionary RAUM · $0 to $1.7MJan 8, 2025 to Feb 10, 2025
- Pooled vehicle RAUM · $4.2M to $3.5MJan 8, 2025 to Feb 10, 2025
- RAUM · $66.6M to $67.1MJan 8, 2025 to Feb 10, 2025
- Other offices · 1 to 0Jul 17, 2024 to Oct 10, 2024
- Employees · 3 to 4Jan 25, 2024 to Jul 17, 2024
- Accounts · 99 to 93Jun 14, 2023 to Jan 25, 2024
- BD registered reps · 2 to 1Jun 14, 2023 to Jan 25, 2024
- HNW clients · 62 to 73Jun 14, 2023 to Jan 25, 2024
- Individual clients · 33 to 16Jun 14, 2023 to Jan 25, 2024
- Assets in custody · $71.1M to $66.6MJun 14, 2023 to Jan 25, 2024
- Discretionary RAUM · $71.1M to $66.6MJun 14, 2023 to Jan 25, 2024
- HNW RAUM · $37.3M to $35.6MJun 14, 2023 to Jan 25, 2024
- Individual RAUM · $6.2M to $3.9MJun 14, 2023 to Jan 25, 2024
- Pooled vehicle RAUM · $4.3M to $4.2MJun 14, 2023 to Jan 25, 2024
- RAUM · $71.1M to $66.6MJun 14, 2023 to Jan 25, 2024
- Accounts · 95 to 99Oct 14, 2022 to Jan 31, 2023
- BD registered reps · 3 to 2Oct 14, 2022 to Jan 31, 2023
- Corporate clients · 3 to 2Oct 14, 2022 to Jan 31, 2023
- HNW clients · 33 to 62Oct 14, 2022 to Jan 31, 2023
- Individual clients · 52 to 33Oct 14, 2022 to Jan 31, 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 phone
- 212-293-3499reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- abernathydaley401k.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-293-3499reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $80.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026