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••••••••
Legal name A••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 7, 2011 · 29 filings
SEC status approved since Jan 3, 2011
RAUM
$122M
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
30
30 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$122M as of Mar 24, 2026
Mar 31, 2021$5.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)30 as of Mar 24, 2026
Apr 1, 201322 then
Private funds2 as of Mar 24, 2026
Mar 31, 20211 then
RAUM -6.6% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- 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
- $60.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -6.6%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 businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Custody
- yesreportedItem 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
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$122M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• V•••• A•• F••• I•• ••• L••• | Real Estate Fund | $102M | 5 | Mar 8, 2022 |
| A•••••••• V•••• A•• F••• I•• •• F•••••• L••• | Real Estate Fund | $45.0M | 7 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••••• G••••• · Managing Directorcontrolsince 07/2022 · owns less than 5%
- B••••••••• S••••••••• J••• · Chief Financial Officercontrolsince 05/2023 · owns less than 5%
- C•••••• D••••• J•••••• · Managing Directorcontrolsince 01/2021 · owns less than 5%
- F••••• G•••• L••••••• · Chief Executive Officercontrolsince 12/2010 · owns less than 5%
- K••••••• P••••••• T••••• · Managing Directorcontrolsince 12/2018 · owns less than 5%
- N••••• P•••••••• L•• · Managing Directorcontrolsince 11/2015 · owns less than 5%
- S•••••• P••••• W•••••• · Managing Directorcontrolsince 09/2021 · owns less than 5%
- S••••••• M•••• D•••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- T•••••• R•••••• A•••• · Presidentcontrolsince 11/2015 · owns less than 5%
- F••••• G•••• L••••••• · Membercontrolsince 11/2016 · owns 75% or more of G•• A•••••••• H•••••••• L••
- T•••••• R•••••• A•••• · Managing Membercontrolsince 11/2016 · owns 75% or more of R•• H••••••• L••
Entity owners
- A•••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- G•• A•••••••• H•••••••• L•• · Memberdirect · owns 5% to 10%
- 2••• T••••• I••••••••• T••••• C••••••• A• T•••••• · T••••••indirect · owns 25% to 50% of R•• H••••••• L••
- G•• A•••••••• H•••••••• L•• · Memberindirect · owns 75% or more of A•••••••• M••••••••• H•••••••• L••
- R•• H••••••• L•• · Memberindirect · owns 25% to 50% of A•••••••• H•••••••• L••
- A•••••••• M••••••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of A•••••••• H•••••••• L••
Related persons
Schedule D 7.A
- A•••••••• S•• G•• L••pooled vehicle sponsorLP sponsorn
- A•••••••• V•• G•• L••pooled vehicle sponsorn
- S••• M••••••••• L••LP sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 28 to 30Mar 31, 2025 to Mar 24, 2026
- Employees · 28 to 30Mar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $130M to $122MMar 31, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $130M to $122MMar 31, 2025 to Mar 24, 2026
- RAUM · $130M to $122MMar 31, 2025 to Mar 24, 2026
- Advisory employees · 23 to 28Mar 22, 2024 to Mar 31, 2025
- Pooled vehicle clients · 2 to 3Mar 22, 2024 to Mar 31, 2025
- Employees · 23 to 28Mar 22, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $147M to $130MMar 22, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $147M to $130MMar 22, 2024 to Mar 31, 2025
- RAUM · $147M to $130MMar 22, 2024 to Mar 31, 2025
- Advisory employees · 21 to 23Mar 31, 2023 to Mar 22, 2024
- Employees · 21 to 23Mar 31, 2023 to Mar 22, 2024
- Discretionary RAUM · $183M to $147MMar 31, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $183M to $147MMar 31, 2023 to Mar 22, 2024
- RAUM · $183M to $147MMar 31, 2023 to Mar 22, 2024
- Advisory employees · 20 to 21Aug 31, 2022 to Mar 31, 2023
- Employees · 20 to 21Aug 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $65.2M to $183MAug 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $65.2M to $183MAug 31, 2022 to Mar 31, 2023
- RAUM · $65.2M to $183MAug 31, 2022 to Mar 31, 2023
- Accounts · 1 to 2Mar 17, 2022 to Mar 25, 2022
- Pooled vehicle clients · 1 to 2Mar 17, 2022 to Mar 25, 2022
- Accounts · unset to 1.0Mar 8, 2022 to Mar 17, 2022
- Pension plan clients · 0.0 to unsetMar 8, 2022 to Mar 17, 2022
- Pooled vehicle clients · 0 to 1Mar 8, 2022 to Mar 17, 2022
- Assets in custody · $1.7M to $0Mar 8, 2022 to Mar 17, 2022
- Custody of client assets · false to trueMar 8, 2022 to Mar 17, 2022
- Discretionary RAUM · unset to 65189392.0Mar 8, 2022 to Mar 17, 2022
- Non-discretionary RAUM · unset to 0.0Mar 8, 2022 to Mar 17, 2022
- Pension RAUM · 0.0 to unsetMar 8, 2022 to Mar 17, 2022
- Pooled vehicle RAUM · $0 to $65.2MMar 8, 2022 to Mar 17, 2022
- RAUM · unset to 65189392.0Mar 8, 2022 to Mar 17, 2022
- Accounts · 1.0 to unsetApr 16, 2021 to Mar 8, 2022
- Advisory employees · 15 to 20Apr 16, 2021 to Mar 8, 2022
- Pooled vehicle clients · 1 to 0Apr 16, 2021 to Mar 8, 2022
- Assets in custody · $5.4M to $1.7MApr 16, 2021 to Mar 8, 2022
- Employees · 19 to 20Apr 16, 2021 to Mar 8, 2022
- Private funds · 1 to 2Apr 16, 2021 to Mar 8, 2022
Signals
8 dated events
- Oleiva Katelyn Milleville (Vice President-Finance) no longer on Schedule A of Ascentris (listed 2023-03-31, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- Jean Stephanie Bullington (Chief Financial Officer) appeared on Schedule A of AscentrisMar 22, 2024 · Control person joined · fact
- Ascentris reported RAUM $182.8M, up 180% from $65.2M (2022-08-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- G Anthony Breault (Managing Director) appeared on Schedule A of AscentrisMar 31, 2023 · Control person joined · fact
- William Peter Savoie (Managing Director) appeared on Schedule A of AscentrisMar 8, 2022 · Control person joined · fact
- Oleiva Katelyn Milleville (Vice President-Finance) appeared on Schedule A of AscentrisMar 8, 2022 · Control person joined · fact
- Jeffrey Denis Curran (Managing Direcror) appeared on Schedule A of AscentrisMar 31, 2021 · Control person joined · fact
- R••••• G••••••• (Managing Director) no longer on Schedule A of Ascentris (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/A••••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- A••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-317-6464reportedpublic record, Form ADV, Mar 24, 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
Across the graphs
A•••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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