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••••••••• L•
Latest filing Jun 1, 2026
First filing on the tape Jun 10, 2015 · 31 filings
SEC status approved since Jun 24, 2015
RAUM
$3.6B
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
13
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$3.6B as of Jun 1, 2026
Mar 30, 2016$403M then
HNW client RAUM$0 as of Jun 1, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Mar 30, 20160 then
Employees (5.A)13 as of Jun 1, 2026
Mar 30, 201612 then
Private funds20 as of Jun 1, 2026
Mar 30, 20161 then
RAUM +14% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 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
- $144MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 businesses and institutions, portfolio management for pooled vehicles, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B64%
- Insurance companies$1.2B36%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.57 institutional_share=0.32 related_bd=false related_bank=true 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U• C••••••• H••••••• L•• | Private Equity Fund | $261M | 2 | Mar 4, 2021 |
| A••• M••••• F••• L••• | Hedge Fund | $222M | 32 | Oct 21, 2015 |
| A••• S•••••• O••••••••• F••• V• L•• | Private Equity Fund | $211M | 26 | Mar 30, 2020 |
| A••• C•••••• C••••••••• F••• I• L• | Private Equity Fund | $153M | 7 | Mar 31, 2022 |
| B••• M•••• G•••• L• | Private Equity Fund | $153M | 4 | Jun 8, 2022 |
| A••• C•••••• C••••••••• F••• I• L• | Private Equity Fund | $138M | 8 | Mar 31, 2022 |
| S•••••• I•••••••• H•••••••• L•• | Private Equity Fund | $85.5M | 4 | Mar 7, 2023 |
| A••• S•••••• O••••••••• F••• I• L•• | Private Equity Fund | $79.7M | 2 | Mar 29, 2019 |
| A••• S•••••• O••••••••• F••• V• L•• | Private Equity Fund | $66.8M | 17 | Mar 7, 2023 |
| A••• S•••••• O••••••••• F••• V•• L•• | Private Equity Fund | $65.0M | 8 | Mar 30, 2020 |
| A••• S•••••• O••••••••• F••• V•• L•• | Private Equity Fund | $32.6M | 10 | Mar 29, 2024 |
| A••• C•••••• C••••••••• F••• I•• L• | Private Equity Fund | $17.2M | 4 | Mar 7, 2023 |
| A••• S•••••• O••••••••• F••• V••• L•• | Private Equity Fund | $15.0M | 2 | Mar 29, 2024 |
| 3• S• M••• L•• | Private Equity Fund | $11.9M | 3 | Mar 7, 2023 |
| A••• Q• O••••••••• C••••• F••• L• | Hedge Fund | $6.6M | 2 | Mar 29, 2024 |
| A••• R••• E••••• P••••••• I• L• | Private Equity Fund | $5.8M | 12 | Mar 29, 2019 |
| A••• C••••• O••••••••• F••• 2•••• L•• | Hedge Fund | $4.6M | 1 | Mar 29, 2024 |
| A••• T•••• L••no longer reported | Private Equity Fund | $212,291 | 0 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• A•••••• M••••• · Managing Partner / Portfolio Managercontrolsince 04/2015 · owns 50% to 75%
- B•••••••• L••••• · Chief Financial Officercontrolsince 01/2017 · owns less than 5%
- M•••••••• G••••• M• · Head Of Researchcontrolsince 02/2023 · owns 10% to 25%
- M•••••••• R••••••• A•••••• · Chief Compliance Officer / Chief Operating Officercontrolsince 04/2015 · owns less than 5%
- P••••••• T••••••• C••••••••• · Presidentcontrolsince 04/2015 · owns 10% to 25%
- A••••••• A•••••• M••••• · Sole Membercontrolsince 04/2015 · owns 75% or more of A••• G• L••
Entity owners
- A••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••• C•••••• G•••• L••bankpooled vehicle sponsorn
- A••• F• C•••••• G•••• L••pooled vehicle sponsorn
- A••• R••• E••••• C•••••• G•••• L••pooled vehicle sponsorn
- A••• S•••••• S••••••••• C•••••• G•••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 23 to 25Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 20 to 22Mar 31, 2025 to Mar 31, 2026
- Private funds · 18 to 20Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.1B to $3.6BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $2.1BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.1B to $3.6BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 6 to 9Jul 3, 2024 to Mar 31, 2025
- Advisory activities · 2 to 3Jul 3, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 3, 2024 to Mar 31, 2025
- Private funds · 17 to 18Jul 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.6B to $3.1BJul 3, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $1.8BJul 3, 2024 to Mar 31, 2025
- RAUM · $2.6B to $3.1BJul 3, 2024 to Mar 31, 2025
- Accounts · 20 to 23May 11, 2023 to Mar 29, 2024
- Pooled vehicle clients · 17 to 20May 11, 2023 to Mar 29, 2024
- Employees · 10 to 13May 11, 2023 to Mar 29, 2024
- Private funds · 14 to 17May 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.3B to $2.6BMay 11, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.2B to $1.4BMay 11, 2023 to Mar 29, 2024
- RAUM · $2.3B to $2.6BMay 11, 2023 to Mar 29, 2024
- Accounts · 15 to 20Dec 21, 2022 to Mar 7, 2023
- Advisory employees · 5 to 6Dec 21, 2022 to Mar 7, 2023
- Pooled vehicle clients · 12 to 17Dec 21, 2022 to Mar 7, 2023
- Employees · 11 to 10Dec 21, 2022 to Mar 7, 2023
- Private funds · 10 to 14Dec 21, 2022 to Mar 7, 2023
- Discretionary RAUM · $1.2B to $2.3BDec 21, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $963M to $1.2BDec 21, 2022 to Mar 7, 2023
- RAUM · $1.2B to $2.3BDec 21, 2022 to Mar 7, 2023
- Pooled vehicle clients · 11 to 12Mar 31, 2022 to Jun 8, 2022
- Private funds · 9 to 10Mar 31, 2022 to Jun 8, 2022
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2022 to Jun 8, 2022
- Non-discretionary RAUM · $860M to $0Mar 31, 2022 to Jun 8, 2022
- Pooled vehicle RAUM · $899M to $963MMar 31, 2022 to Jun 8, 2022
- RAUM · $2.0B to $1.2BMar 31, 2022 to Jun 8, 2022
- Accounts · 12 to 15Jun 3, 2021 to Mar 31, 2022
- Advisory employees · 3 to 5Jun 3, 2021 to Mar 31, 2022
- Pooled vehicle clients · 9 to 11Jun 3, 2021 to Mar 31, 2022
- Employees · 10 to 11Jun 3, 2021 to Mar 31, 2022
- Private funds · 7 to 9Jun 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $963M to $1.2BJun 3, 2021 to Mar 31, 2022
Signals
6 dated events
- A••• C•••••• M••••••••• L• reported RAUM $2.3B, up 87% from $1.2B (2022-12-21 to 2023-03-07)Mar 7, 2023 · RAUM change · derived
- M Grant Mitchell (Head Of Research) appeared on Schedule A of A••• C•••••• M••••••••• L•Mar 7, 2023 · Control person joined · fact
- A••• C•••••• M••••••••• L• reported RAUM $1.2B, down 39% from $2.0B (2022-03-31 to 2022-06-08)Jun 8, 2022 · RAUM change · derived
- A••• C•••••• M••••••••• L• reported RAUM $2.0B, up 111% from $963.2M (2021-06-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A••• C•••••• M••••••••• L• reported RAUM $988.9M, up 30% from $758.4M (2019-04-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- A••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 10, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- A••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/axar-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-356-6130reportedpublic record, Form ADV, Jun 1, 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
- Other 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