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••• M••••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Aug 7, 2015 · 27 filings
SEC status approved since Aug 13, 2015
RAUM
$220M
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
12
12 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$429M as of Mar 28, 2026
Mar 28, 2016$122M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 28, 20160 then
Employees (5.A)16 as of Mar 28, 2026
Mar 28, 20167 then
Private funds1 as of Mar 28, 2026
Mar 30, 20211 then
RAUM -63% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 9, 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
- $220MderivedRAUM 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
- unknownderived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$220M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• C•••••• F••••••• F••• L•• | Other Private Fund | $265M | 11 | Oct 13, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••• M•••• · Chief Financial Officer And Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- C•••••• J••••••• A••• · Presidentcontrolsince 03/2013 · owns less than 5%
- W••••••• K••••••• L••• · Chief Investment Officercontrolsince 05/2013 · owns less than 5%
- C•••••• J••••••• A••• · Managing Membercontrolsince 03/2013 · owns 50% to 75% of A••• C••••••• L••
Entity owners
- A••• C••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F••• C•••••• F••••••• F••• M•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Turlock, CA7 employees
- Clive, IA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Sep 9, 2026custody of client assets (Item 9.A): yes on the filing of 2026-03-28, no on the filing of 2026-09-09peers: ASSET_M••••••, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 28, 2026 to Sep 9, 2026
- Advisory employees · 16 to 12Mar 28, 2026 to Sep 9, 2026
- Assets in custody · 5089752.0 to unsetMar 28, 2026 to Sep 9, 2026
- Custody of client assets · true to falseMar 28, 2026 to Sep 9, 2026
- Employees · 16 to 12Mar 28, 2026 to Sep 9, 2026
- Financial planning clients · to unsetMar 28, 2026 to Sep 9, 2026
- Other offices · 8 to 7Mar 28, 2026 to Sep 9, 2026
- Private funds · 1 to unsetMar 28, 2026 to Sep 9, 2026
- Discretionary RAUM · $429M to $220MMar 28, 2026 to Sep 9, 2026
- Pooled vehicle RAUM · $237M to $220MMar 28, 2026 to Sep 9, 2026
- RAUM · $429M to $220MMar 28, 2026 to Sep 9, 2026
- Succession · false to unsetMar 28, 2026 to Sep 9, 2026
- RAUM · $588M to $429MOct 10, 2025 to Mar 28, 2026
- Accounts · 3 to 2Oct 10, 2025 to Mar 28, 2026
- Assets in custody · $10.0M to $5.1MOct 10, 2025 to Mar 28, 2026
- HQ city · BOSTON to CLEARWATEROct 10, 2025 to Mar 28, 2026
- HQ state · MA to FLOct 10, 2025 to Mar 28, 2026
- Discretionary RAUM · $588M to $429MOct 10, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $267M to $237MOct 10, 2025 to Mar 28, 2026
- Financial planning clients · unset to Mar 17, 2025 to Jul 22, 2025
- Other offices · 7 to 8Mar 17, 2025 to Jul 22, 2025
- Advisory employees · 17 to 16May 10, 2024 to Mar 17, 2025
- Assets in custody · $7.1M to $10.0MMay 10, 2024 to Mar 17, 2025
- Employees · 17 to 16May 10, 2024 to Mar 17, 2025
- Discretionary RAUM · $678M to $588MMay 10, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $339M to $267MMay 10, 2024 to Mar 17, 2025
- RAUM · $678M to $588MMay 10, 2024 to Mar 17, 2025
- Discretionary RAUM · $577M to $678MMar 1, 2024 to May 10, 2024
- Pooled vehicle RAUM · $277M to $339MMar 1, 2024 to May 10, 2024
- RAUM · $577M to $678MMar 1, 2024 to May 10, 2024
- Assets in custody · $3.7M to $7.1MMar 14, 2023 to Mar 1, 2024
- Discretionary RAUM · $650M to $577MMar 14, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $300M to $277MMar 14, 2023 to Mar 1, 2024
- RAUM · $650M to $577MMar 14, 2023 to Mar 1, 2024
- Advisory employees · 16 to 17Oct 24, 2022 to Mar 14, 2023
- Assets in custody · $19.3M to $3.7MOct 24, 2022 to Mar 14, 2023
- Employees · 16 to 17Oct 24, 2022 to Mar 14, 2023
- State-registered IARs · 1 to 0Oct 24, 2022 to Mar 14, 2023
- Other offices · 6 to 7Sep 2, 2022 to Oct 24, 2022
- Assets in custody · $16.4M to $19.3MNov 2, 2021 to Mar 3, 2022
Signals
5 dated events
- A••• M••••••••• L•• reported RAUM $220.2M, down 49% from $428.7M (2026-03-28 to 2026-09-09)Sep 9, 2026 · RAUM change · derived
- A••• M••••••••• L•• reported RAUM $428.7M, down 27% from $588.1M (2025-10-10 to 2026-03-28)Mar 28, 2026 · RAUM change · derived
- A••• M••••••••• L•• reported RAUM $650.0M, down 35% from $1.0B (2020-03-26 to 2020-10-13)Oct 13, 2020 · RAUM change · derived
- A••• M••••••••• L•• reported RAUM $876.7M, up 149% from $351.7M (2018-07-30 to 2018-10-26)Oct 26, 2018 · RAUM change · derived
- A••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/agis-capital-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-350-9894reportedpublic record, Form ADV, Sep 9, 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
Across the graphs
A••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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