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.
Former SEC-registered adviser
Augusta Capital Management, LLC
Latest filing Feb 27, 2018
First filing on the tape Jun 29, 2012 · 9 filings
RAUM
$550M
reported, Item 5.F
Discretionary
0.0%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$550M as of Feb 27, 2018
Mar 26, 2013$531M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 27, 2018
Mar 26, 20131 then
Employees (5.A)4 as of Feb 27, 2018
Mar 26, 20131 then
Private funds: no history
RAUM +8.3% over the last fiscal year-6.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2018; every figure names its basis
- RAUM per advisor
- $275MderivedRAUM 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
- $275MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$550M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
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
- John Parker Rhodes to Augusta Capital Investors, LLCMay 8, 2019 · Other
- William Patrick Fair to Augusta Capital Investors, LLCAug 6, 2018 · Other
Joined, latest
- John Parker Rhodes from Ap Wealth ManagementAug 14, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick William Fair · Chief Compliance Officercontrolsince 11/2013 · owns less than 5%
- Parker John Rhodes · Ownercontrolsince 01/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Augusta Capital Management, LLC as a related person
- 168607 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 8, 2017 to Feb 27, 2018
- Other offices · unset to 0.0Mar 8, 2017 to Feb 27, 2018
- Non-discretionary RAUM · $508M to $550MMar 8, 2017 to Feb 27, 2018
- RAUM · $508M to $550MMar 8, 2017 to Feb 27, 2018
- Related adviser · false to trueMar 8, 2017 to Feb 27, 2018
- Accounts · 4 to 3Mar 23, 2016 to Mar 8, 2017
- Non-discretionary RAUM · $672M to $508MMar 23, 2016 to Mar 8, 2017
- RAUM · $672M to $508MMar 23, 2016 to Mar 8, 2017
- Accounts · 2 to 4Mar 9, 2015 to Mar 21, 2016
- Non-discretionary RAUM · $682M to $672MMar 9, 2015 to Mar 21, 2016
- RAUM · $682M to $672MMar 9, 2015 to Mar 21, 2016
- Non-discretionary RAUM · $633M to $682MMar 19, 2014 to Mar 9, 2015
- RAUM · $633M to $682MMar 19, 2014 to Mar 9, 2015
- Employees · 1 to 4Mar 26, 2013 to Mar 19, 2014
- Advisory employees · 1 to 2Mar 26, 2013 to Mar 19, 2014
- Insurance-licensed employees · 1 to 2Mar 26, 2013 to Mar 19, 2014
- State-registered IARs · 1 to 2Mar 26, 2013 to Mar 19, 2014
- Non-discretionary RAUM · $531M to $633MMar 26, 2013 to Mar 19, 2014
- RAUM · $531M to $633MMar 26, 2013 to Mar 19, 2014
- Accounts · 5 to 2Sep 5, 2012 to Mar 26, 2013
- Advisory employees · unset to 1.0Sep 5, 2012 to Mar 26, 2013
- BD registered reps · unset to 0.0Sep 5, 2012 to Mar 26, 2013
- Employees · unset to 1.0Sep 5, 2012 to Mar 26, 2013
- State-registered IARs · unset to 1.0Sep 5, 2012 to Mar 26, 2013
- Non-discretionary RAUM · $509M to $531MSep 5, 2012 to Mar 26, 2013
- RAUM · $509M to $531MSep 5, 2012 to Mar 26, 2013
- Accounts · unset to 5.0Jun 29, 2012 to Sep 5, 2012
- Discretionary RAUM · unset to 0.0Jun 29, 2012 to Sep 5, 2012
- Non-discretionary RAUM · unset to 508900000.0Jun 29, 2012 to Sep 5, 2012
- RAUM · unset to 508900000.0Jun 29, 2012 to Sep 5, 2012
Signals
1 dated events
- Augusta Capital Management, Llc filed its initial SEC registration (Form ADV)Jun 29, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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