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•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 9, 2011 · 38 filings
SEC status approved since Feb 28, 2011
RAUM
$303M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$199M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$303M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$303M as of Mar 31, 2026
Jan 19, 2012$104M then
HNW client RAUM$193M as of Mar 31, 2026
Mar 30, 2018$94.1M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 1, 20132 then
Employees (5.A)4 as of Mar 31, 2026
Mar 1, 20133 then
Private funds2 as of Mar 31, 2026
Mar 4, 20142 then
RAUM +54% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- $303MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%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
- +54%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $85.3M, 50 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$193M64%
- Pooled investment vehicles$85.3M28%
- Charitable organizations$18.1M6.0%
- Individuals$6.2M2.1%
- Other investment advisers$80.0%
- Individual clients
- 10reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 117reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.3M for 50 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.66 fund_share=0.28 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• H•• | Rancho Santa Fe, Ca | Mar 13, 2025 | 29 y | 3 |
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
- S•••••• M•••••• L••••• to U•• F•••••••• S••••••• I•••Dec 1, 2015 · Other
- C••••• O•••••• R•••• to O•••• F•••••••• G••••• L••Jun 15, 2012 · Other
Joined, latest
- T••• H•• from O••••••••• • C•• I•••Mar 13, 2025 · Other
- C••••• O•••••• R•••• from O•••• I••••••••• L••Jun 8, 2012 · Other
- S•••••• M•••••• L••••• from U•• F•••••••• S••••••• I•••Jun 8, 2011 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• F•••••• F•••• L• | Venture Capital Fund | $41.4M | 32 | May 6, 2019 |
| A•••••• G••••• E••••• F•••• L•no longer reported | Hedge Fund | $11.2M | 17 | Mar 4, 2014 |
| A•••••• B•••••• F•••• L•no longer reported | Venture Capital Fund | $7.6M | 36 | Mar 4, 2014 |
| A•••••• M•••••• F•••• L• | Venture Capital Fund | $5.4M | 36 | Mar 30, 2018 |
| A•••••• B•••••• F••• I•• L• | Venture Capital Fund | $0 | 17 | Jan 26, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••• T••• · Managing Member / Chief Compliance Officercontrolsince 03/2011 · owns 75% or more
- H••• J•••••••• L••• · Membersince 03/2011 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $196,055,931 to $302,636,121 (+54.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 111 to 117Mar 28, 2025 to Mar 31, 2026
- HNW clients · 29 to 30Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $70.9M to $85.3MMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $196M to $303MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $110M to $193MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $3.5M to $6.2MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $70.9M to $85.3MMar 28, 2025 to Mar 31, 2026
- RAUM · $196M to $303MMar 28, 2025 to Mar 31, 2026
- Accounts · 112 to 111Mar 31, 2024 to Mar 28, 2025
- HNW clients · 28 to 29Mar 31, 2024 to Mar 28, 2025
- Individual clients · 11 to 10Mar 31, 2024 to Mar 28, 2025
- Assets in custody · $46.8M to $70.9MMar 31, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 31, 2024 to Mar 28, 2025
- HQ city · unset to Mar 31, 2024 to Mar 28, 2025
- HQ state · unset to Mar 31, 2024 to Mar 28, 2025
- Discretionary RAUM · $168M to $196MMar 31, 2024 to Mar 28, 2025
- HNW RAUM · $98.2M to $110MMar 31, 2024 to Mar 28, 2025
- Individual RAUM · $3.0M to $3.5MMar 31, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $46.8M to $70.9MMar 31, 2024 to Mar 28, 2025
- RAUM · $168M to $196MMar 31, 2024 to Mar 28, 2025
- Accounts · 122 to 112Dec 7, 2023 to Mar 31, 2024
- Individual clients · 10 to 11Dec 7, 2023 to Mar 31, 2024
- Pooled vehicle clients · 3 to 2Dec 7, 2023 to Mar 31, 2024
- Assets in custody · $58.9M to $46.8MDec 7, 2023 to Mar 31, 2024
- Other offices · 1 to 0Dec 7, 2023 to Mar 31, 2024
- Private funds · 3 to 2Dec 7, 2023 to Mar 31, 2024
- Discretionary RAUM · $202M to $168MDec 7, 2023 to Mar 31, 2024
- HNW RAUM · $112M to $98.2MDec 7, 2023 to Mar 31, 2024
- Individual RAUM · $3.0M to $3.0MDec 7, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $58.9M to $46.8MDec 7, 2023 to Mar 31, 2024
- RAUM · $202M to $168MDec 7, 2023 to Mar 31, 2024
- HQ city · SAN DIEGO to unsetMay 1, 2023 to Dec 7, 2023
- HQ state · CA to unsetMay 1, 2023 to Dec 7, 2023
- Accounts · 132 to 122Mar 31, 2022 to Mar 31, 2023
- HNW clients · 29 to 28Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $228M to $58.9MMar 31, 2022 to Mar 31, 2023
- Financial planning clients · 1-10 to 0Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $228M to $202MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $125M to $112MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $2.2M to $3.0MMar 31, 2022 to Mar 31, 2023
Signals
1 dated events
- A•••••• C•••••• M••••••••• L•• reported RAUM $302.6M, up 54% from $196.1M (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@aletheallc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/alethea-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- aletheallc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (858) 926-2058reportedpublic record, Form ADV, Mar 31, 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
- $303Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026