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.
SEC-registered adviser
Asa Managed Account Managers LLC
Latest filing Jun 29, 2026
First filing on the tape Jun 27, 2012 · 23 filings
SEC status approved since Jul 5, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$646M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.1B as of Jun 29, 2026
Apr 2, 2013$561M then
HNW client RAUM$646M as of Jun 29, 2026
Mar 30, 2018$27.8M then
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Apr 2, 20130 then
Employees (5.A)1 as of Jun 29, 2026
Apr 2, 20136 then
Private funds1 as of Jun 29, 2026
Apr 30, 20143 then
RAUM +21% over the last fiscal year-13% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jun 29, 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)
- 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
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $25.2M, 10 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$646M58%
- Investment companies$241M22%
- Corporations and businesses$177M16%
- Charitable organizations$49.5M4.4%
- Pooled investment vehicles$2.5M0.2%
- Individual clients
- n/areported
- HNW clients
- 199reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 228reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.2M for 10 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.58 fund_share=0.22 institutional_share=0.04 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Transitional Funding Partners L.P. | Other Private Fund | $25.2M | 11 | Apr 30, 2014 |
| Asa Tax Advantaged Relative Value Fund L.P.no longer reported | Hedge Fund | $10.7M | 9 | Apr 30, 2014 |
| Asa Municipal Convergence Fund L.P.no longer reported | Hedge Fund | $8.1M | 6 | Apr 30, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Dean Robert Albright · Member-Asa Managed Account Managers LLC/Tf Managers LLC/Alternative Strategy Advisers LLCcontrolsince 04/2008 · owns 25% to 50%
- Austin Roland Jacobus · Member-Asa Managed Account Managers LLC/Tf Managers LLC/Alternative Strategy Advisers LLCcontrolsince 04/2008 · owns 25% to 50%
- Persis Susanna Peters · Member-Asa Managed Account Managers LLC/Tf Managers LLC/Alternative Strategy Advisers LLCcontrolsince 01/2015 · owns less than 5%
- Waite Timothy Stevens · Cco/Member - Asa Managed Account Managers LLC/Tf Managers LLC/Alternative Strategy Advisers LLCcontrolsince 04/2008 · owns 5% to 10%
Related persons
Schedule D 7.A
- Alternative Strategy Advisers LLCpooled vehicle sponsorn
Advisers that list Asa Managed Account Managers LLC as a related person
- 153697 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 29, 2026PETERS, SUSANNA, PERSIS (MEMBER-ASA MANAGED ACCOUNT MANAGERS LLC/TF MANAGERS LLC/ALTERNATIVE STRATEGY ADVISERS LLC) left Schedule A between the filings of 2015-04-06 and 2026-06-29peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 226 to 228Mar 30, 2026 to Jun 29, 2026
- HNW clients · 198 to 199Mar 30, 2026 to Jun 29, 2026
- Assets in custody · $29.0M to $25.2MMar 30, 2026 to Jun 29, 2026
- Employees · 0 to 1Mar 30, 2026 to Jun 29, 2026
- Discretionary RAUM · $1.1B to $1.1BMar 30, 2026 to Jun 29, 2026
- HNW RAUM · $630M to $646MMar 30, 2026 to Jun 29, 2026
- Pooled vehicle RAUM · $2.5M to $2.5MMar 30, 2026 to Jun 29, 2026
- RAUM · $1.1B to $1.1BMar 30, 2026 to Jun 29, 2026
- Accounts · 219 to 226Apr 22, 2025 to Mar 30, 2026
- Charity clients · 11 to 10Apr 22, 2025 to Mar 30, 2026
- HNW clients · 190 to 198Apr 22, 2025 to Mar 30, 2026
- Assets in custody · $27.0M to $29.0MApr 22, 2025 to Mar 30, 2026
- Other offices · 0 to 1Apr 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $920M to $1.1BApr 22, 2025 to Mar 30, 2026
- HNW RAUM · $479M to $630MApr 22, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.4M to $2.5MApr 22, 2025 to Mar 30, 2026
- RAUM · $920M to $1.1BApr 22, 2025 to Mar 30, 2026
- Accounts · 197 to 219Mar 29, 2024 to Apr 22, 2025
- Charity clients · 10 to 11Mar 29, 2024 to Apr 22, 2025
- HNW clients · 171 to 190Mar 29, 2024 to Apr 22, 2025
- Assets in custody · $22.2M to $27.0MMar 29, 2024 to Apr 22, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 22, 2025
- Discretionary RAUM · $1.9B to $920MMar 29, 2024 to Apr 22, 2025
- HNW RAUM · $647M to $479MMar 29, 2024 to Apr 22, 2025
- Pooled vehicle RAUM · $2.3M to $2.4MMar 29, 2024 to Apr 22, 2025
- RAUM · $1.9B to $920MMar 29, 2024 to Apr 22, 2025
- Accounts · 151 to 197Mar 31, 2023 to Mar 29, 2024
- Charity clients · 9 to 10Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 1.0 to unsetMar 31, 2023 to Mar 29, 2024
- HNW clients · 126 to 171Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $22.2M to $22.2MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.7B to $1.9BMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $432M to $647MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.7M to $2.3MMar 31, 2023 to Mar 29, 2024
- RAUM · $1.7B to $1.9BMar 31, 2023 to Mar 29, 2024
- Accounts · 112 to 151Oct 12, 2022 to Mar 31, 2023
- HNW clients · 74 to 126Oct 12, 2022 to Mar 31, 2023
- Pension plan clients · 18.0 to unsetOct 12, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1 to 2Oct 12, 2022 to Mar 31, 2023
Signals
7 dated events
- Asa Managed Account Managers Llc reported RAUM $920.2M, down 51% from $1.9B (2024-03-29 to 2025-04-22)Apr 22, 2025 · RAUM change · derived
- Asa Managed Account Managers Llc reported RAUM $1.7B, up 179% from $613.1M (2022-10-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Asa Managed Account Managers Llc reported RAUM $613.1M, up 28% from $477.2M (2021-02-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Asa Managed Account Managers Llc reported RAUM $477.2M, up 57% from $303.2M (2020-06-30 to 2021-02-15)Feb 15, 2021 · RAUM change · derived
- Asa Managed Account Managers Llc reported RAUM $237.7M, up 210% from $76.6M (2018-03-30 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- Asa Managed Account Managers Llc reported RAUM $76.6M, down 69% from $249.3M (2017-02-24 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- Asa Managed Account Managers Llc filed its initial SEC registration (Form ADV)Jun 27, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- ASA Managed Account Managers LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- ASALLC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952 847-2450reportedpublic record, Form ADV, Jun 29, 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