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
Altegris Advisors, LLC
Latest filing Mar 31, 2025
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Jun 9, 2010
RAUM
$150M
reported, Item 5.F
Discretionary
100%
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$150M as of Mar 31, 2025
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2025
Mar 30, 20120 then
Employees (5.A)3 as of Mar 31, 2025
Mar 18, 201322 then
Private funds1 as of Feb 15, 2021
Mar 24, 201516 then
RAUM -36% over the last fiscal year-44% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $150MderivedRAUM 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
- $74.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$150M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- Chris James Maudlin to Alphacore Capital LLCSep 4, 2020 · Other
- Stephanie Anne Williams to Alphacore Capital LLCSep 4, 2020 · Other
- Kristina Joan Cagle to Alphacore Capital LLCSep 4, 2020 · Other
- Stephanie C Bauer to Commonwealth Financial NetworkMay 30, 2019 · Other
- Cynthia Marie Aragon to Brentview Investment Management, LLCOct 29, 2018 · Other
- Thomas Wayne Ulrich to Sprott Asset Management USA Inc.Oct 5, 2012 · Other
Joined, latest
- Kristina Joan Cagle from Fidelity Personal And Workplace AdvisorsJul 11, 2019 · Other
- Chris James Maudlin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 5, 2018 · Other
- Stephanie C Bauer from Wells Fargo AdvisorsFeb 6, 2018 · Other
- Cynthia Marie Aragon from Westpark Capital, Inc.Sep 21, 2017 · Other
- Thomas Wayne Ulrich from Geneva Advisors, LLCApr 12, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Alphacore Capital LLCSep 4, 2020 · San Juan Capistrano, Ca · Firm absorbed
Private funds
30 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Altegris Millennium Fund Ltdno longer reported | Hedge Fund | $137M | 418 | Dec 23, 2011 |
| Altegris Multi-Strategy Fund Ltdno longer reported | Hedge Fund | $48.1M | 127 | Jan 2, 2015 |
| Altegris Renaissance Ie Fund, Ltd.no longer reported | Hedge Fund | $45.2M | 172 | Mar 31, 2018 |
| Altegris Hayman Capital Fund LPno longer reported | Hedge Fund | $31.6M | 0 | Sep 18, 2013 |
| Akcf LLC Series Ano longer reported | Other Private Fund | $24.7M | 1 | Oct 20, 2015 |
| Altegris Third Point Fund LPno longer reported | Hedge Fund | $21.8M | 88 | Oct 20, 2015 |
| Altegris Tuatara Capital Fund LPno longer reported | Private Equity Fund | $21.8M | 367 | Mar 30, 2020 |
| Altegris Renaissance Idge Fund Ltdno longer reported | Hedge Fund | $19.5M | 51 | Mar 31, 2018 |
| Altegris Hayman Capital Fund, Ltd.no longer reported | Hedge Fund | $15.5M | 0 | Sep 18, 2013 |
| Agms Fund Limitedno longer reported | Other Private Fund | $12.6M | 1 | Apr 9, 2015 |
| Altegris Third Point Fund Ltdno longer reported | Hedge Fund | $7.2M | 49 | Oct 20, 2015 |
| Altegris Cqs Multi-Strategy Fund Ltdno longer reported | Hedge Fund | $5.5M | 30 | Jun 21, 2016 |
| Amfs Fund Limitedno longer reported | Other Private Fund | $5.0M | 1 | Apr 9, 2015 |
| Altegris Doubleline Opportunistic Fund Ltdno longer reported | Hedge Fund | $4.9M | 21 | Jan 3, 2017 |
| Altegris Global Macro Fund LPno longer reported | Hedge Fund | $4.2M | 42 | Dec 23, 2011 |
| Agsats Fund Limitedno longer reported | Other Private Fund | $3.7M | 1 | Jan 3, 2017 |
| Altegris Paulson Advantage Plus Fund LPno longer reported | Hedge Fund | $2.6M | 0 | Dec 23, 2011 |
| Altegris Paulson Advantage Fund LPno longer reported | Hedge Fund | $2.6M | 0 | Dec 23, 2011 |
| Altegris Hedge Select LP - Qim Tactical Aggressive Seriesno longer reported | Hedge Fund | $2.3M | 10 | Mar 31, 2019 |
| Apm - Paulson Advantage Fund Ltdno longer reported | Hedge Fund | $1.7M | 0 | Dec 23, 2011 |
| Apm - Global Macro Fund Ltdno longer reported | Hedge Fund | $1.0M | 10 | Dec 23, 2011 |
| Altegris Renaissance Ie Fund, LPno longer reported | Hedge Fund | $575,811 | 118 | Sep 18, 2013 |
| Altegris Visium Fund, Ltd.no longer reported | Hedge Fund | $231,352 | 77 | Sep 18, 2013 |
| Altegris Global Macro II Fund LPno longer reported | Hedge Fund | $21,753 | 0 | Dec 23, 2011 |
| Apm - Global Macro II Fund Ltdno longer reported | Hedge Fund | $18,116 | 0 | Dec 23, 2011 |
| Artivest Hph II Fund LPno longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2020 |
| Altegris Renaissance Ie Fund Ltdno longer reported | Hedge Fund | $0 | 0 | Jan 3, 2017 |
| Artivest Kkr Asian Fund IV (International) LPno longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2020 |
| Artivest Kkr Asian Fund IV (US) LPno longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2020 |
| Afes Fund Limitedno longer reported | Other Private Fund | $0 | 1 | Apr 9, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Charles Matthew Osborne · Chief Executive Officer & Chief Investment Officercontrolsince 02/2021 · owns less than 5%
- David Matthew Rothchild · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- Johanna Elizabeth Strong · Head Of Operations & Technologycontrolsince 02/2021 · owns less than 5%
- Carl Douglas Grip · Member & Manager Of Continuum Capital Managers, LLCcontrolsince 02/2014 · owns 50% to 75% of Continuum Capital Managers, LLC
- Charles Matthew Osborne · Sole Member & Manager Of Av5 Acquisition, LLCcontrolsince 06/2020 · owns 75% or more of Av5 Acquisition, LLC
- Edward Stephen Vanourny · Member & Manager Of Continuum Capital Managers, LLCcontrolsince 01/2018 · owns 25% to 50% of Continuum Capital Managers, LLC
Entity owners
- Better Outcome, LLC · Sole Member Of Altegris Advisors, LLCdirect · owns 75% or more
- Av5 Acquisition, LLC · Member & Manager Of Better Outcome, LLCindirect · owns 50% to 75% of Better Outcome, LLC
- Better Outcome, LLC · Sole Member Of Altegris Services, LLCindirect · owns 75% or more of Better Outcome, LLC
- Continuum Capital Managers, LLC · Member & Manager Of Better Outcome, LLCindirect · owns 50% to 75% of Better Outcome, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Feb 28, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 28, 2025 to Mar 31, 2025
- Discretionary RAUM · $234M to $150MFeb 28, 2025 to Mar 31, 2025
- RAUM · $234M to $150MFeb 28, 2025 to Mar 31, 2025
- HQ city · LA JOLLA to SAN JUAN CAPISTRANOMar 28, 2024 to Nov 6, 2024
- Advisory employees · 6 to 1May 19, 2023 to Mar 28, 2024
- BD registered reps · 4 to 0May 19, 2023 to Mar 28, 2024
- Employees · 8 to 3May 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $328M to $234MMay 19, 2023 to Mar 28, 2024
- RAUM · $328M to $234MMay 19, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseMay 19, 2023 to Mar 28, 2024
- Accounts · 2 to 3Feb 16, 2022 to Feb 21, 2023
- Advisory employees · 9 to 6Feb 16, 2022 to Feb 21, 2023
- BD registered reps · 8 to 4Feb 16, 2022 to Feb 21, 2023
- Employees · 13 to 8Feb 16, 2022 to Feb 21, 2023
- Discretionary RAUM · $841M to $328MFeb 16, 2022 to Feb 21, 2023
- RAUM · $841M to $328MFeb 16, 2022 to Feb 21, 2023
- BD registered reps · 5 to 8Oct 7, 2021 to Feb 16, 2022
- Employees · 14 to 13Oct 7, 2021 to Feb 16, 2022
- Discretionary RAUM · $830M to $841MOct 7, 2021 to Feb 16, 2022
- RAUM · $830M to $841MOct 7, 2021 to Feb 16, 2022
- Discretionary RAUM · $780M to $830MApr 2, 2021 to Oct 7, 2021
- RAUM · $780M to $830MApr 2, 2021 to Oct 7, 2021
- Accounts · 3 to 2Feb 15, 2021 to Apr 2, 2021
- Advisory activities · 3 to 1Feb 15, 2021 to Apr 2, 2021
- Private funds · 1 to unsetFeb 15, 2021 to Apr 2, 2021
- Accounts · 5 to 3Sep 15, 2020 to Feb 15, 2021
- Advisory employees · 10 to 9Sep 15, 2020 to Feb 15, 2021
- BD registered reps · 17 to 5Sep 15, 2020 to Feb 15, 2021
- Employees · 36 to 14Sep 15, 2020 to Feb 15, 2021
- Private funds · 2 to 1Sep 15, 2020 to Feb 15, 2021
- Discretionary RAUM · $1.3B to $780MSep 15, 2020 to Feb 15, 2021
- RAUM · $1.3B to $780MSep 15, 2020 to Feb 15, 2021
- Related bank · true to falseSep 15, 2020 to Feb 15, 2021
- Accounts · 25 to 5Mar 30, 2020 to Sep 15, 2020
- Advisory employees · 13 to 10Mar 30, 2020 to Sep 15, 2020
- BD registered reps · 44 to 17Mar 30, 2020 to Sep 15, 2020
- Pooled vehicle clients · 20.0 to unsetMar 30, 2020 to Sep 15, 2020
- Assets in custody · 881198538.0 to unsetMar 30, 2020 to Sep 15, 2020
- Custody of client assets · true to falseMar 30, 2020 to Sep 15, 2020
Signals
19 dated events
- Altegris Advisors, Llc no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $149.6M)Jan 2, 2026 · Left the SEC roster · derived
- Price David Mathews (Chief Compliance Officer, Chief Legal Officer) no longer on Schedule A of Altegris Advisors, Llc (listed 2023-02-21, absent 2023-05-19)May 19, 2023 · Control person left · inference
- David Matthew Rothchild (Chief Compliance Officer) appeared on Schedule A of Altegris Advisors, LlcMay 19, 2023 · Control person joined · fact
- Altegris Advisors, Llc reported RAUM $327.6M, down 61% from $840.7M (2022-02-16 to 2023-02-21)Feb 21, 2023 · RAUM change · derived
- Antolin Garza (Head Of Research & Investment Solutions) no longer on Schedule A of Altegris Advisors, Llc (listed 2022-02-16, absent 2023-02-21)Feb 21, 2023 · Control person left · inference
- Altegris Advisors, Llc reported RAUM $779.9M, down 41% from $1.3B (2020-09-15 to 2021-02-15)Feb 15, 2021 · RAUM change · derived
- Wayne Jeffrey Greenberg (Shareholder) no longer on Schedule A of Altegris Advisors, Llc (listed 2020-09-15, absent 2021-02-15)Feb 15, 2021 · Control person left · inference
- Eric Martin Beaulieu (Chairman, Chief Executive Officer) no longer on Schedule A of Altegris Advisors, Llc (listed 2020-09-15, absent 2021-02-15)Feb 15, 2021 · Control person left · inference
- (Nmn) Kamal Jafarnia (Chief Compliance Officer General Counsel) no longer on Schedule A of Altegris Advisors, Llc (listed 2020-09-15, absent 2021-02-15)Feb 15, 2021 · Control person left · inference
- Price David Mathews (Chief Compliance Officer, Chief Legal Officer) appeared on Schedule A of Altegris Advisors, LlcFeb 15, 2021 · Control person joined · fact
- Johanna Elizabeth Strong (Head Of Operations & Technology) appeared on Schedule A of Altegris Advisors, LlcFeb 15, 2021 · Control person joined · fact
- Carl Douglas Grip (Member & Manager Of Continuum Capital Managers, Llc) appeared on Schedule A of Altegris Advisors, LlcFeb 15, 2021 · Control person joined · fact
- Edward Stephen Vanourny (Member & Manager Of Continuum Capital Managers, Llc) appeared on Schedule A of Altegris Advisors, LlcFeb 15, 2021 · Control person joined · fact
- Antolin Garza (Head Of Research & Investment Solutions) appeared on Schedule A of Altegris Advisors, LlcFeb 15, 2021 · Control person joined · fact
- Altegris Advisors, Llc reported RAUM $1.3B, down 44% from $2.4B (2020-03-30 to 2020-09-15)Sep 15, 2020 · RAUM change · derived
- Andrew Adrian Czebiniak (Chief Operating Officer) no longer on Schedule A of Altegris Advisors, Llc (listed 2020-03-30, absent 2020-09-15)Sep 15, 2020 · Control person left · inference
- David James Waldinger (President, Founder) no longer on Schedule A of Altegris Advisors, Llc (listed 2020-03-30, absent 2020-09-15)Sep 15, 2020 · Control person left · inference
- Altegris Advisors, Llc reported 7 state-registered advisory representatives, down from 24 (2018-10-30 to 2019-03-31)Mar 31, 2019 · Advisor headcount change · derived
- Altegris Advisors, Llc reported 24 state-registered advisory representatives, up from 1 (2018-03-31 to 2018-06-29)Jun 29, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- Altegris Advisors, LLC · Private Equityshared crd · organization
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