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
Align Impact, LLC
Latest filing Apr 17, 2026
First filing on the tape Apr 15, 2015 · 42 filings
SEC status approved since May 1, 2015
RAUM
$715M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
73%
$523M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
11 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
3
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$715M as of Apr 17, 2026
Mar 10, 2016$2.4M then
HNW client RAUM$523M as of Apr 17, 2026
Feb 5, 2018$6.0M then
State-registered IARs (5.B.3)11 as of Apr 17, 2026
Mar 10, 20161 then
Employees (5.A)20 as of Apr 17, 2026
Mar 10, 20161 then
Private funds3 as of Apr 17, 2026
Apr 1, 20202 then
RAUM -8.5% over the last fiscal year+12% a year over threeIARs 10 to 11offices 12 to 14
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
- RAUM per advisor
- $65.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.9MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.7derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $274M, 28 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$523M73%
- Charitable organizations$94.5M13%
- Other investment advisers$54.6M7.6%
- Pooled investment vehicles$43.2M6.0%
- Individual clients
- 0reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 138reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $274M for 28 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- Kristin Marie Viola to Sorenson Impact AdvisoryMay 1, 2026 · Other
- Courtney Lavin Joyner to Sorenson Impact AdvisoryMay 1, 2026 · Other
- Efrata Dawit Kirose to One OakMar 5, 2026 · RIA to RIA
- Alison Elizabeth Motroni to Abacus Wealth PartnersDec 31, 2025 · RIA to RIA
- Rahima Jamal to Westfuller Advisors, LLCJun 4, 2025 · Other
- Paige Mackenzie Dickman to PathstoneMay 16, 2025 · RIA to RIA
Joined, latest
- Efrata Dawit Kirose from Syntrinsic LLCSep 17, 2025 · Other
- Brenton Warwick Kessel from Abacus PortfoliosSep 25, 2015 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Align Impact Fund III LP | Other Private Fund | $26.1M | 15 | Mar 25, 2023 |
| Align Impact Fund II LP | Other Private Fund | $15.3M | 30 | Mar 15, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Dennis Ronald Cordes · Directorcontrolsince 05/2017 · owns less than 5%
- Thomas Eric Jacobsen · Managercontrolsince 05/2017 · owns less than 5%
- Dee Jennifer Kenning · Managing Membercontrolsince 02/2015 · owns 25% to 50%
- Jeffrey Miller · Managercontrolsince 05/2017 · owns less than 5%
- Chintan Panchal · Managercontrolsince 06/2021 · owns less than 5%
- Elizabeth Rafael · Managercontrolsince 05/2017 · owns less than 5%
- Robert Gregory Tanner · Chief Compliance Officer & Chief Operating Officercontrolsince 09/2024 · owns less than 5%
- Jeffrey Miller · Ownercontrolsince 07/2019 · owns 50% to 75% of The Miller Family 2007 Trust
- Karen Miller · Ownercontrolsince 07/2019 · owns 50% to 75% of The Miller Family 2007 Trust
- Chintan Panchal · Ownercontrolsince 06/2021 · owns 75% or more of Rpck Ventures LLC
- Elizabeth Rafael · Ownercontrolsince 05/2019 · owns 75% or more of The Rafael Living Trust
Entity owners
- Abacus Wealth Management, Inc. · Memberindirect · owns 25% to 50% of Abacus Wealth Partners, LLC
- Impactassets · Supporting Organizationindirect · owns 75% or more of Cordes Foundation
- Abacus Wealth Partners, LLC · Memberdirect · owns 5% to 10%
- Cordes Foundation · Memberdirect · owns 5% to 10%
- Gratitude Railroad, LLC · Memberdirect · owns 10% to 25%
- Rpck Ventures LLC · Memberdirect · owns less than 5%
- The Miller Family 2007 Trust · Memberdirect · owns 5% to 10%
- The Rafael Living Trust · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Abacus Wealth Partnersinvestment adviserpooled vehicle sponsornRAUM $3.6B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl | 0 | 0 | 0 | ||
| New York, Ny | 0 | 0 | 2 | ||
| Caldwell, Id | 0 | 0 | 1 | ||
| Dallas, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 139 to 138Oct 2, 2025 to Mar 31, 2026
- Advisory employees · 19 to 11Oct 2, 2025 to Mar 31, 2026
- Charity clients · 14 to 10Oct 2, 2025 to Mar 31, 2026
- Assets in custody · $239M to $274MOct 2, 2025 to Mar 31, 2026
- Employees · 23 to 20Oct 2, 2025 to Mar 31, 2026
- State-registered IARs · 10 to 11Oct 2, 2025 to Mar 31, 2026
- Other offices · 12 to 14Oct 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $435M to $383MOct 2, 2025 to Mar 31, 2026
- HNW RAUM · $531M to $523MOct 2, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $347M to $332MOct 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $30.4M to $43.2MOct 2, 2025 to Mar 31, 2026
- RAUM · $782M to $715MOct 2, 2025 to Mar 31, 2026
- Accounts · 47 to 139Sep 23, 2024 to Apr 14, 2025
- Charity clients · 16 to 14Sep 23, 2024 to Apr 14, 2025
- HNW clients · 28 to 31Sep 23, 2024 to Apr 14, 2025
- Assets in custody · unset to 238652571.0Sep 23, 2024 to Apr 14, 2025
- Custody of client assets · false to trueSep 23, 2024 to Apr 14, 2025
- Employees · 24 to 23Sep 23, 2024 to Apr 14, 2025
- Financial planning clients · 51-100 to 51-100Sep 23, 2024 to Apr 14, 2025
- HQ city · SANTA MONICA to DENVERSep 23, 2024 to Apr 14, 2025
- HQ state · CA to COSep 23, 2024 to Apr 14, 2025
- State-registered IARs · 13 to 10Sep 23, 2024 to Apr 14, 2025
- Other offices · 2 to 12Sep 23, 2024 to Apr 14, 2025
- Discretionary RAUM · $728M to $435MSep 23, 2024 to Apr 14, 2025
- HNW RAUM · $522M to $531MSep 23, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $0 to $347MSep 23, 2024 to Apr 14, 2025
- Pooled vehicle RAUM · $35.3M to $30.4MSep 23, 2024 to Apr 14, 2025
- RAUM · $728M to $782MSep 23, 2024 to Apr 14, 2025
- Advisory employees · 22 to 19Mar 26, 2024 to Sep 23, 2024
- Employees · 25 to 24Mar 26, 2024 to Sep 23, 2024
- Accounts · 58 to 47Jan 3, 2024 to Mar 26, 2024
- Advisory employees · 18 to 22Jan 3, 2024 to Mar 26, 2024
- Charity clients · 21 to 16Jan 3, 2024 to Mar 26, 2024
- HNW clients · 33 to 28Jan 3, 2024 to Mar 26, 2024
- Pooled vehicle clients · 4 to 3Jan 3, 2024 to Mar 26, 2024
- Employees · 20 to 25Jan 3, 2024 to Mar 26, 2024
- State-registered IARs · 10 to 13Jan 3, 2024 to Mar 26, 2024
- Discretionary RAUM · $512M to $728MJan 3, 2024 to Mar 26, 2024
- HNW RAUM · $358M to $522MJan 3, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $32.3M to $35.3MJan 3, 2024 to Mar 26, 2024
Signals
29 dated events
- Align Impact, Llc no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $715.4M)Aug 3, 2026 · Left the SEC roster · derived
- Courtney Lavin Joyner left Align Impact, Llc for Sorenson Impact Advisory (registered 2026-08-12)May 1, 2026 · Advisor changed firm · fact
- Kristin Marie Viola left Align Impact, Llc for Sorenson Impact Advisory (registered 2026-08-12)May 1, 2026 · Advisor changed firm · fact
- Efrata Dawit Kirose left Align Impact, Llc for One Oak (registered 2026-04-13)Mar 5, 2026 · Advisor changed firm · fact
- Alison Elizabeth Motroni left Align Impact, Llc for Abacus Wealth Partners (registered 2026-05-07)Dec 31, 2025 · Advisor changed firm · fact
- Rahima Jamal left Align Impact, Llc for Westfuller Advisors, Llc (registered 2025-07-15)Jun 4, 2025 · Advisor changed firm · fact
- Paige Mackenzie Dickman left Align Impact, Llc for Pathstone (registered 2025-10-25)May 16, 2025 · Advisor changed firm · fact
- Align Impact, Llc reported 12 offices beyond its principal office, up from 2 (2024-09-23 to 2025-04-14)Apr 14, 2025 · Office count change · derived
- Robert Gregory Tanner (Chief Compliance Officer & Chief Operating Officer) appeared on Schedule A of Align Impact, LlcSep 23, 2024 · Control person joined · fact
- Hayes Eric Stephenson (Chief Compliance Officer & Chief Operating Officer) no longer on Schedule A of Align Impact, Llc (listed 2024-03-26, absent 2024-09-23)Sep 23, 2024 · Control person left · inference
- Align Impact, Llc reported RAUM $728.4M, up 42% from $511.9M (2024-01-03 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Align Impact, Llc reported RAUM $511.9M, up 150% from $205.1M (2022-09-09 to 2023-03-25)Mar 25, 2023 · RAUM change · derived
- Chintan Panchal (Manager) appeared on Schedule A of Align Impact, LlcMar 9, 2022 · Control person joined · fact
- Elizabeth Jacobsen (Owner) no longer on Schedule A of Align Impact, Llc (listed 2020-10-23, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Gabriel Diclerico (Owner, Secretary And Treasurer) no longer on Schedule A of Align Impact, Llc (listed 2020-10-23, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Eric Meissner (Owner/ Director Of Custom Investments) no longer on Schedule A of Align Impact, Llc (listed 2020-10-23, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Dennis Ronald Cordes (Director) appeared on Schedule A of Align Impact, LlcApr 1, 2020 · Control person joined · fact
- Hayes Eric Stephenson (Chief Compliance Officer) appeared on Schedule A of Align Impact, LlcApr 1, 2020 · Control person joined · fact
- Jeffrey Miller (Owner) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- Karen Miller (Owner) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- Elizabeth Rafael (Owner) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- Thomas Ericc Jacobsen (Owner) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- Elizabeth Jacobsen (Owner) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- Gabriel Diclerico (Owner, Secretary And Treasurer) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- Eric Meissner (Owner/ Director Of Custom Investments) appeared on Schedule A of Align Impact, LlcJul 17, 2019 · Control person joined · fact
- David Spencer Sherman (Managing Member) no longer on Schedule A of Align Impact, Llc (listed 2019-07-03, absent 2019-07-17)Jul 17, 2019 · Control person left · inference
- Warwick Brenton Kessel (Shareholder Of Abacus Wealth Management, Inc) no longer on Schedule A of Align Impact, Llc (listed 2019-07-03, absent 2019-07-17)Jul 17, 2019 · Control person left · inference
- Daniel Jonathan Bruce (President) no longer on Schedule A of Align Impact, Llc (listed 2019-07-03, absent 2019-07-17)Jul 17, 2019 · Control person left · inference
- Align Impact filed its initial SEC registration (Form ADV)Apr 15, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Align Impact, LLC · Independent Sponsorsshared crd · capital_provider
- Align Impact, LLC · Private Equityshared crd · organization
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