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•••••••••
Legal name A••••• C•••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Aug 1, 2013 · 41 filings
SEC status approved since Sep 6, 2013
RAUM
$628M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
97%
$612M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$209M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$628M as of Mar 3, 2026
Mar 3, 2014$105M then
HNW client RAUM$520M as of Mar 3, 2026
Jan 31, 2018$97.2M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Mar 3, 20142 then
Employees (5.A)3 as of Mar 3, 2026
Mar 3, 20142 then
Private funds: no history
RAUM +9.0% over the last fiscal year+24% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $209MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $598,472derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $316M, 354 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$520M83%
- Individuals$92.4M15%
- Pension and profit-sharing plans$12.3M2.0%
- Corporations and businesses$3.5M0.6%
- Individual clients
- 274reported
- HNW clients
- 154reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,049reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $316M for 354 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•••••• A••••• | Carson City, Nv | Sep 6, 2013 | 38 y | 2 |
| J•••••• M•••• M•••••••• | Carson City, Nv | Sep 6, 2013 | 27 y | 2 |
| M•••••• K•••• | Carson City, Nv | Jun 9, 2020 | 41 y | 2 |
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
none on the tape
Joined, latest
- M•••••• K•••• from M••••• S••••••Jun 9, 2020 · Wirehouse to independent RIA
- J•••• R•••••• A••••• from M••••• S••••••Sep 6, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• M•••• M•••••••• from M••••• S••••••Sep 6, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• D•••••• L••••• · Trusteecontrolsince 04/2006 · owns less than 5%
- A•••••• J••••• R•••••• · Trusteecontrolsince 04/2006 · owns less than 5%
- A•••••• D•••••• L••••• · Trustee & Ownercontrolsince 04/2006 · owns 50% to 75% of A••••• F••••• R•••••••• T••••
- A•••••• J••••• R•••••• · Trustee & Ownercontrolsince 04/2006 · owns 50% to 75% of A••••• F••••• R•••••••• T••••
- M••••••••• J••••••• M•••• · Chief Compliance Officersince 03/2014 · owns less than 5%
Entity owners
- A••••• F••••• R•••••••• T•••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carson City, Nv · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Henderson, NV1 employees
What changed
consecutive filings, newest first
- Accounts · 1,085 to 1,049May 13, 2025 to Mar 3, 2026
- Corporate clients · 9 to 8May 13, 2025 to Mar 3, 2026
- HNW clients · 140 to 154May 13, 2025 to Mar 3, 2026
- Individual clients · 285 to 274May 13, 2025 to Mar 3, 2026
- Assets in custody · $292M to $316MMay 13, 2025 to Mar 3, 2026
- Discretionary RAUM · $548M to $591MMay 13, 2025 to Mar 3, 2026
- HNW RAUM · $467M to $520MMay 13, 2025 to Mar 3, 2026
- Individual RAUM · $95.0M to $92.4MMay 13, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $27.5M to $37.2MMay 13, 2025 to Mar 3, 2026
- Pension RAUM · $10.8M to $12.3MMay 13, 2025 to Mar 3, 2026
- RAUM · $576M to $628MMay 13, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Feb 13, 2025 to May 13, 2025
- Accounts · 1,028 to 1,085Mar 11, 2024 to Feb 13, 2025
- Corporate clients · 7 to 9Mar 11, 2024 to Feb 13, 2025
- HNW clients · 151 to 140Mar 11, 2024 to Feb 13, 2025
- Individual clients · 261 to 285Mar 11, 2024 to Feb 13, 2025
- Pension plan clients · 4.0 to unsetMar 11, 2024 to Feb 13, 2025
- Assets in custody · $219M to $292MMar 11, 2024 to Feb 13, 2025
- Discretionary RAUM · $434M to $548MMar 11, 2024 to Feb 13, 2025
- HNW RAUM · $378M to $467MMar 11, 2024 to Feb 13, 2025
- Individual RAUM · $58.7M to $95.0MMar 11, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $12.5M to $27.5MMar 11, 2024 to Feb 13, 2025
- Pension RAUM · $7.9M to $10.8MMar 11, 2024 to Feb 13, 2025
- RAUM · $446M to $576MMar 11, 2024 to Feb 13, 2025
- Accounts · 997 to 1,028Dec 6, 2023 to Mar 11, 2024
- HNW clients · 123 to 151Dec 6, 2023 to Mar 11, 2024
- Individual clients · 278 to 261Dec 6, 2023 to Mar 11, 2024
- Assets in custody · $79.4M to $219MDec 6, 2023 to Mar 11, 2024
- Discretionary RAUM · $327M to $434MDec 6, 2023 to Mar 11, 2024
- HNW RAUM · $263M to $378MDec 6, 2023 to Mar 11, 2024
- Individual RAUM · $62.1M to $58.7MDec 6, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $5.0M to $12.5MDec 6, 2023 to Mar 11, 2024
- Pension RAUM · $5.5M to $7.9MDec 6, 2023 to Mar 11, 2024
- RAUM · $332M to $446MDec 6, 2023 to Mar 11, 2024
- Legal name · O•••• C•••••• M••••••••• L•• to A••••• C•••••• M•••••••••, LLCDec 5, 2023 to Dec 6, 2023
- HQ city · SANTA ROSA to CARSON CITYMar 7, 2023 to Dec 4, 2023
- HQ state · CA to NVDec 4, 2023 to Dec 4, 2023
- Accounts · 916 to 997Apr 13, 2022 to Mar 7, 2023
- Corporate clients · 5 to 7Apr 13, 2022 to Mar 7, 2023
- HNW clients · 137 to 123Apr 13, 2022 to Mar 7, 2023
Signals
7 dated events
- A••••• C•••••• M••••••••• reported RAUM $575.8M, up 29% from $446.4M (2024-03-11 to 2025-02-13)Feb 13, 2025 · RAUM change · derived
- A••••• C•••••• M••••••••• reported RAUM $446.4M, up 35% from $331.9M (2023-12-06 to 2024-03-11)Mar 11, 2024 · RAUM change · derived
- Denise Aljian (Owner) no longer on Schedule A of A••••• C•••••• M••••••••• (listed 2022-04-06, absent 2022-04-12)Apr 12, 2022 · Control person left · inference
- Louise Denise Aljian (Trustee) appeared on Schedule A of A••••• C•••••• M•••••••••Apr 12, 2022 · Control person joined · fact
- A••••• C•••••• M••••••••• reported RAUM $340.9M, up 82% from $187.1M (2020-12-18 to 2021-03-03)Mar 3, 2021 · RAUM change · derived
- A••••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 12, 2014 · Succession (Item 4) · fact
- A••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 1, 2013 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@aljiancapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-230-2158reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-230-2294reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 775-301-6320reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-230-2158reportedpublic record, Form ADV, Mar 3, 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
- $209Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026