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••••• L••••••
Latest filing Mar 19, 2026
First filing on the tape Mar 26, 2012 · 17 filings
SEC status approved since Jul 22, 2011
RAUM
$2.2B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
71%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.2B as of Mar 19, 2026
Mar 26, 2012$3.0B then
HNW client RAUM$1.6B as of Mar 19, 2026
Feb 14, 2018$1.5B then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 26, 20120 then
Employees (5.A)32 as of Mar 19, 2026
Mar 26, 201336 then
Private funds: no history
RAUM +16% over the last fiscal year+8.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $17.5MderivedHNW RAUM over HNW clients
- Average account
- $12.1MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B74%
- Corporations and businesses$404M19%
- Pooled investment vehicles$161M7.5%
- Individual clients
- n/areported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 185reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.71 fund_share=0.07 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••• K••••••• · Directorcontrolsince 02/2022 · owns less than 5%
- P••••• M••••• E••••••• · Shareholder And Directorcontrolsince 03/2023 · owns 10% to 25%
- P•••••• D•••••• A•••••• · Shareholder And Directorcontrolsince 03/2023 · owns 10% to 25%
- S••••• C••••••• E••••• · Directorcontrolsince 02/2015 · owns less than 5%
- B••••••• L••••• F••••••• · Mrsince 03/2023 · owns 5% to 10%
- K•••••• N••••• K••• · Head Of Compliancesince 09/2024 · owns less than 5%
- K•••••• A••••••••• · Shareholdersince 03/2023 · owns 10% to 25%
- L••••••••• D••••• N••••• · Shareholdersince 03/2023 · owns 10% to 25%
- M•••••• G••••••• E••••• · Shareholdersince 10/2022 · owns 10% to 25%
- S••••• C••••••••• G••••• · Mrsince 03/2023 · owns less than 5%
Entity owners
- A••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 168 to 185Mar 19, 2025 to Mar 19, 2026
- Corporate clients · 38 to 50Mar 19, 2025 to Mar 19, 2026
- HNW clients · 76 to 90Mar 19, 2025 to Mar 19, 2026
- Employees · 25 to 32Mar 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.7B to $1.9BMar 19, 2025 to Mar 19, 2026
- HNW RAUM · $1.4B to $1.6BMar 19, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $244M to $317MMar 19, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $128M to $161MMar 19, 2025 to Mar 19, 2026
- RAUM · $1.9B to $2.2BMar 19, 2025 to Mar 19, 2026
- Accounts · 185 to 168Sep 10, 2024 to Mar 19, 2025
- Advisory employees · 18 to 16Sep 10, 2024 to Mar 19, 2025
- Corporate clients · 44 to 38Sep 10, 2024 to Mar 19, 2025
- HNW clients · 90 to 76Sep 10, 2024 to Mar 19, 2025
- Pooled vehicle clients · 5 to 2Sep 10, 2024 to Mar 19, 2025
- Employees · 26 to 25Sep 10, 2024 to Mar 19, 2025
- Financial planning clients · unset to Sep 10, 2024 to Mar 19, 2025
- HQ state · unset to Sep 10, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.8B to $1.7BSep 10, 2024 to Mar 19, 2025
- HNW RAUM · $1.5B to $1.4BSep 10, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $295M to $244MSep 10, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $129M to $128MSep 10, 2024 to Mar 19, 2025
- RAUM · $2.1B to $1.9BSep 10, 2024 to Mar 19, 2025
- Accounts · 133 to 185Mar 31, 2023 to Mar 30, 2024
- Advisory employees · 15 to 18Mar 31, 2023 to Mar 30, 2024
- Business name · S••••• W••••• L•••••• to A••••• L••••••Mar 31, 2023 to Mar 30, 2024
- Corporate clients · 33 to 44Mar 31, 2023 to Mar 30, 2024
- HNW clients · 70 to 90Mar 31, 2023 to Mar 30, 2024
- Pooled vehicle clients · 4 to 5Mar 31, 2023 to Mar 30, 2024
- Employees · 22 to 26Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.5B to $1.8BMar 31, 2023 to Mar 30, 2024
- HNW RAUM · $1.3B to $1.5BMar 31, 2023 to Mar 30, 2024
- Individual RAUM · unset to 0.0Mar 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $239M to $295MMar 31, 2023 to Mar 30, 2024
- Pension RAUM · unset to 0.0Mar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $69.9M to $129MMar 31, 2023 to Mar 30, 2024
- RAUM · $1.8B to $2.1BMar 31, 2023 to Mar 30, 2024
- Accounts · 60 to 133Oct 20, 2022 to Mar 31, 2023
- Advisory employees · 11 to 15Oct 20, 2022 to Mar 31, 2023
- Corporate clients · 7 to 33Oct 20, 2022 to Mar 31, 2023
- HNW clients · 19 to 70Oct 20, 2022 to Mar 31, 2023
Signals
7 dated events
- Hodgson David Canfield (Director) no longer on Schedule A of A••••• L•••••• (listed 2022-10-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- M•••• P•••• (Shareholder And Director) appeared on Schedule A of A••••• L••••••Mar 31, 2023 · Control person joined · fact
- K•••• O••• (Director) appeared on Schedule A of A••••• L••••••Mar 31, 2023 · Control person joined · fact
- Attilio Daniel Pasini (Shareholder And Director) appeared on Schedule A of A••••• L••••••Mar 31, 2023 · Control person joined · fact
- J••• L••••• P••• (Chairman) no longer on Schedule A of A••••• L•••••• (listed 2022-10-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Edward Greg Malone (Shareholder) appeared on Schedule A of A••••• L••••••Oct 20, 2022 · Control person joined · fact
- J••• L••••• P••• (Chairman) appeared on Schedule A of A••••• L••••••Mar 31, 2021 · Control person joined · fact
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 email
- info@arbion.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 207-298-6060reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- arbion.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44-0-207-298-6060reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- arbion.com/contact-usreportedpublished 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026