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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••• C•••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Aug 30, 2011
RAUM
$527M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$527M as of Mar 31, 2026
Mar 30, 2012$7.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Mar 22, 201358 then
Private funds2 as of Mar 31, 2026
Mar 30, 20123 then
RAUM -1.1% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $176MderivedRAUM 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
- -1.1%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 pooled vehiclesreportedItem 5.G
- Custody
- $527M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$527M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $527M for 3 clientsreported
- Compensation
- % of AUM, 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• P•••••••• L• | Hedge Fund | $270M | 201 | Mar 30, 2012 |
| A••• I••••••••• L••• | Hedge Fund | $235M | 247 | Mar 30, 2012 |
| A••• J•••• O••••••••• M••••• F•••• L•no longer reported | Hedge Fund | $96.8M | 16 | May 26, 2016 |
| M••••••• G••••• O••••••••• M••••• F•••no longer reported | Hedge Fund | $1.7M | 210 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• J•••••••• M•••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- S••••• D••••••• •••• · Founding Partner & Chief Executive Officercontrolsince 01/2011 · owns less than 5%
- S••••• D••••••• •••• · Managing Membercontrolsince 11/2004 · owns 75% or more of D•••••• S•••• L••
- E••••••• K••••• G•••• · Co-Chief Executive Officersince 04/2019 · owns less than 5%
Entity owners
- A••• G•• L•• · General Partnerdirect · owns less than 5%
- A••• I••••••••• L••• · Limited Partnerdirect · owns 75% or more
- A••• G•• L•• · General Partnerindirect · owns F of A••• I••••••••• L•••
- D•••••• S•••• L•• · Limited Partnerindirect · owns 75% or more of A••• I••••••••• L•••
- D•••••• S•••• L•• · Managing Memberindirect · owns 75% or more of A••• G•• L••
Related persons
Schedule D 7.A
- A••• I••••••••• G•• L••pooled vehicle sponsorn
- A••• P••••••• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $533M to $527MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $533M to $527MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $533M to $527MMar 31, 2025 to Mar 31, 2026
- RAUM · $533M to $527MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $504M to $533MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $504M to $533MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $504M to $533MMar 28, 2024 to Mar 31, 2025
- RAUM · $504M to $533MMar 28, 2024 to Mar 31, 2025
- Assets in custody · $481M to $504MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $481M to $504MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $481M to $504MMar 31, 2023 to Mar 28, 2024
- RAUM · $481M to $504MMar 31, 2023 to Mar 28, 2024
- Related bank · true to falseMar 31, 2023 to Mar 28, 2024
- Assets in custody · $428M to $481MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $428M to $481MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $428M to $481MMar 31, 2022 to Mar 31, 2023
- RAUM · $428M to $481MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $477M to $428MMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $477M to $428MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $477M to $428MMar 31, 2021 to Mar 31, 2022
- RAUM · $477M to $428MMar 31, 2021 to Mar 31, 2022
- Assets in custody · $408M to $477MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $408M to $477MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $408M to $477MMar 30, 2020 to Mar 31, 2021
- RAUM · $408M to $477MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $450M to $408MApr 17, 2019 to Mar 30, 2020
- Employees · 7 to 6Apr 17, 2019 to Mar 30, 2020
- Discretionary RAUM · $450M to $408MApr 17, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $450M to $408MApr 17, 2019 to Mar 30, 2020
- RAUM · $450M to $408MApr 17, 2019 to Mar 30, 2020
- Assets in custody · $571M to $450MJul 3, 2018 to Mar 29, 2019
- Employees · 10 to 7Jul 3, 2018 to Mar 29, 2019
- Discretionary RAUM · $571M to $450MJul 3, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $571M to $450MJul 3, 2018 to Mar 29, 2019
- RAUM · $571M to $450MJul 3, 2018 to Mar 29, 2019
- Advisory employees · 6 to 3Jan 31, 2018 to Mar 28, 2018
- Pooled vehicle clients · unset to 3.0Jan 31, 2018 to Mar 28, 2018
- Assets in custody · $938M to $571MJan 31, 2018 to Mar 28, 2018
Signals
3 dated events
- M•••• J••••••• L••••• (Chief Compliance Officer) appeared on Schedule A of A••• C•••••• L•Mar 31, 2021 · Control person joined · fact
- Joseph Anthony Picone (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of A••• C•••••• L• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- A••• C•••••• L• reported RAUM $571.5M, down 39% from $937.7M (2018-01-31 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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/axoncap/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-479-2000reportedpublic 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
- 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