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
Appomattox Advisory, Inc
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Jul 6, 2010
RAUM
$426M
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
89%
$379M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$426M as of Mar 27, 2026
Mar 30, 2012$794M then
HNW client RAUM$379M as of Mar 27, 2026
Mar 29, 2018$939M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)6 as of Mar 27, 2026
Mar 28, 20139 then
Private funds7 as of Mar 27, 2026
Mar 30, 20126 then
RAUM +3.6% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- 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)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $27.1MderivedHNW RAUM over HNW clients
- Average account
- $19.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 16%derivedof RAUM
- Institutional
- 1.7%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
- +3.6%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $75.5M, 11 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)
- 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)
- 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$379M89%
- Pooled investment vehicles$39.0M9.2%
- Charitable organizations$7.2M1.7%
- Individual clients
- n/areported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.5M for 11 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.09 institutional_share=0.02 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Bh Feeder, Inc. | Hedge Fund | $26.7M | 9 | Mar 30, 2012 |
| Bhm Archway Feeder L.P. | Hedge Fund | $22.7M | 8 | Mar 30, 2012 |
| Hatchlings Fund Ltd. | Hedge Fund | $18.7M | 3 | Mar 31, 2014 |
| Archway Linse Cap F1 L.P. | Private Equity Fund | $16.6M | 15 | Mar 30, 2022 |
| Mcp Linse Capital Fund 1 | Private Equity Fund | $11.1M | 13 | Mar 30, 2022 |
| Archway Appreciation Fund Limited | Hedge Fund | $8.4M | 4 | Mar 30, 2012 |
| Monticello Capital Partners, Ltd -Segregated Account Mcp - Tiger Pip Xi | Private Equity Fund | $4.1M | 3 | Mar 29, 2019 |
| Archway Commodities Ltdno longer reported | Hedge Fund | $3.4M | 5 | Mar 30, 2012 |
| Archway Commodities Fund L.P.no longer reported | Hedge Fund | $3.1M | 5 | Mar 30, 2012 |
| Monticello Capital Partners Limited -Segregated Account Mcp - Tiger Pip Xv | Private Equity Fund | $2.4M | 3 | Mar 30, 2022 |
| Thomas Welles Fund I, LLCno longer reported | Hedge Fund | $251,080 | 1 | Mar 20, 2015 |
| Harb. Ct Feeder Inc.no longer reported | Hedge Fund | $2,222 | 13 | Mar 30, 2012 |
| Pal Archway Onshore L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2020 |
| Pal Archway Offshore Ltd.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2020 |
Owners and control persons
Schedule A and B, latest filing
- Patterson Susan Webb · Ceo & Ciocontrolsince 09/2005 · owns 75% or more
- Marie Kristin Koloniaris · Chief Compliance Officersince 05/2022 · owns less than 5%
Related persons
Schedule D 7.A
- Archway Investment Advisors, Limitedinvestment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 22Dec 19, 2025 to Mar 27, 2026
- HNW clients · 12 to 14Dec 19, 2025 to Mar 27, 2026
- Assets in custody · $84.8M to $75.5MDec 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $90.7M to $68.4MDec 19, 2025 to Mar 27, 2026
- HNW RAUM · $358M to $379MDec 19, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $320M to $357MDec 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $46.4M to $39.0MDec 19, 2025 to Mar 27, 2026
- RAUM · $411M to $426MDec 19, 2025 to Mar 27, 2026
- Accounts · 32 to 20Mar 21, 2024 to Mar 27, 2025
- Advisory employees · 6 to 4Mar 21, 2024 to Mar 27, 2025
- Charity clients · 6 to 1Mar 21, 2024 to Mar 27, 2025
- HNW clients · 18 to 12Mar 21, 2024 to Mar 27, 2025
- Pooled vehicle clients · 8 to 7Mar 21, 2024 to Mar 27, 2025
- Assets in custody · $195M to $84.8MMar 21, 2024 to Mar 27, 2025
- Employees · 8 to 6Mar 21, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 27, 2025
- Private funds · 8 to 7Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $147M to $90.7MMar 21, 2024 to Mar 27, 2025
- HNW RAUM · $532M to $358MMar 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $607M to $320MMar 21, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $26.8M to $46.4MMar 21, 2024 to Mar 27, 2025
- RAUM · $754M to $411MMar 21, 2024 to Mar 27, 2025
- Accounts · 33 to 32Nov 3, 2023 to Mar 21, 2024
- Advisory employees · 9 to 6Nov 3, 2023 to Mar 21, 2024
- Charity clients · 7 to 6Nov 3, 2023 to Mar 21, 2024
- Assets in custody · $528M to $195MNov 3, 2023 to Mar 21, 2024
- Employees · 12 to 8Nov 3, 2023 to Mar 21, 2024
- Discretionary RAUM · $479M to $147MNov 3, 2023 to Mar 21, 2024
- HNW RAUM · $696M to $532MNov 3, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $761M to $607MNov 3, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $32.0M to $26.8MNov 3, 2023 to Mar 21, 2024
- RAUM · $1.2B to $754MNov 3, 2023 to Mar 21, 2024
- Accounts · 35 to 33Jul 29, 2022 to Mar 30, 2023
- Advisory employees · 12 to 9Jul 29, 2022 to Mar 30, 2023
- Advisory activities · 5 to 4Jul 29, 2022 to Mar 30, 2023
- Charity clients · 8 to 7Jul 29, 2022 to Mar 30, 2023
- HNW clients · 17 to 18Jul 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 9 to 8Jul 29, 2022 to Mar 30, 2023
- Assets in custody · $568M to $528MJul 29, 2022 to Mar 30, 2023
- Employees · 14 to 12Jul 29, 2022 to Mar 30, 2023
Signals
4 dated events
- Appomattox Advisory, Inc reported RAUM $410.8M, down 46% from $753.9M (2024-03-21 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Appomattox Advisory, Inc reported RAUM $753.9M, down 39% from $1.2B (2023-11-03 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- Jeffrey Hiller (Chief Compliance Officer) no longer on Schedule A of Appomattox Advisory, Inc (listed 2022-03-30, absent 2022-06-10)Jun 10, 2022 · Control person left · inference
- Jeffrey Hiller (Chief Compliance Officer) appeared on Schedule A of Appomattox Advisory, IncMar 30, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Appomattox Advisory, Inc · Independent Sponsorsshared crd · capital_provider
- Appomattox Advisory, Inc · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@appomattox.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 212-895-3000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/appomattox-advisory-inc.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- APPOMATTOX.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-895-3000reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- appomattox.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026