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.
SEC-registered adviser
Applied Finance Capital Management, LLC
Latest filing Mar 30, 2026
First filing on the tape May 21, 2015 · 19 filings
SEC status approved since Jun 5, 2015
RAUM
$4.4B
reported, Item 5.F
Discretionary
39%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$4.4B as of Mar 30, 2026
Mar 28, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20160 then
Employees (5.A)3 as of Mar 30, 2026
Mar 28, 20164 then
Private funds: no history
RAUM -8.7% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 15%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
- -8.7%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 individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.0B59%
- Sovereign wealth funds$684M20%
- Other investment advisers$362M11%
- Banks and thrifts$358M11%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3,390reported
- 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=0.53 institutional_share=0.15 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Daniel Obrycki · Managing Membercontrolsince 01/2015 · owns 50% to 75%
- Rafael (Nmn) Resendes · Managing Membercontrolsince 01/2015 · owns 50% to 75%
- Dwain David Jones · Chief Compliance Officersince 01/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Applied Finance Capital Management, LLC as a related person
- 140054 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 48.0% to 32.0% between the annual amendments of 2025-03-31 and 2026-03-30peers: other advisers, $1B to $5B (247)
What changed
consecutive filings, newest first
- Accounts · 3,809 to 3,390Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.6B to $1.7BMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.3B to $2.7BMar 31, 2025 to Mar 30, 2026
- RAUM · $4.9B to $4.4BMar 31, 2025 to Mar 30, 2026
- Accounts · 3,147 to 3,809Jul 31, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jul 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.4B to $2.6BJul 31, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.0B to $2.3BJul 31, 2024 to Mar 31, 2025
- RAUM · $4.4B to $4.9BJul 31, 2024 to Mar 31, 2025
- Accounts · 2,245 to 3,147Mar 30, 2024 to Jul 31, 2024
- Employees · 4 to 3Mar 30, 2024 to Jul 31, 2024
- Discretionary RAUM · $1.3B to $2.4BMar 30, 2024 to Jul 31, 2024
- Non-discretionary RAUM · $1.7B to $2.0BMar 30, 2024 to Jul 31, 2024
- RAUM · $3.0B to $4.4BMar 30, 2024 to Jul 31, 2024
- Accounts · 1,369 to 2,245Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $868M to $1.3BMar 30, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $1.4B to $1.7BMar 30, 2023 to Mar 30, 2024
- RAUM · $2.2B to $3.0BMar 30, 2023 to Mar 30, 2024
- Accounts · 1,365 to 1,369Nov 14, 2022 to Mar 30, 2023
- Employees · 3 to 4Nov 14, 2022 to Mar 30, 2023
- Discretionary RAUM · $860M to $868MNov 14, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.3B to $1.4BNov 14, 2022 to Mar 30, 2023
- RAUM · $2.2B to $2.2BNov 14, 2022 to Mar 30, 2023
- Accounts · 809 to 1,365Mar 30, 2022 to Nov 14, 2022
- Discretionary RAUM · $31.9M to $860MMar 30, 2022 to Nov 14, 2022
- Non-discretionary RAUM · $801M to $1.3BMar 30, 2022 to Nov 14, 2022
- RAUM · $832M to $2.2BMar 30, 2022 to Nov 14, 2022
- Accounts · 551 to 809Aug 23, 2021 to Mar 30, 2022
- Discretionary RAUM · $5.1M to $31.9MAug 23, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $741M to $801MAug 23, 2021 to Mar 30, 2022
- RAUM · $746M to $832MAug 23, 2021 to Mar 30, 2022
- Accounts · 367 to 551Mar 31, 2020 to Mar 31, 2021
- Employees · 4 to 3Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.9M to $5.1MMar 31, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $728M to $741MMar 31, 2020 to Mar 31, 2021
- RAUM · $732M to $746MMar 31, 2020 to Mar 31, 2021
- Accounts · 14 to 367Oct 23, 2019 to Mar 31, 2020
- Corporate clients · 1 to 0Oct 23, 2019 to Mar 31, 2020
- Discretionary RAUM · $3.2M to $3.9MOct 23, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $746M to $728MOct 23, 2019 to Mar 31, 2020
Signals
5 dated events
- Applied Finance Capital Management, Llc reported RAUM $4.4B, up 46% from $3.0B (2024-03-30 to 2024-07-31)Jul 31, 2024 · RAUM change · derived
- Applied Finance Capital Management, Llc reported RAUM $3.0B, up 35% from $2.2B (2023-03-30 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- Applied Finance Capital Management, Llc reported RAUM $2.2B, up 164% from $832.4M (2022-03-30 to 2022-11-14)Nov 14, 2022 · RAUM change · derived
- Applied Finance Capital Management, Llc reported RAUM $749.2M, up 30% from $574.3M (2019-04-03 to 2019-10-23)Oct 23, 2019 · RAUM change · derived
- The Applied Finance Group International, Llc filed its initial SEC registration (Form ADV)May 21, 2015 · 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
- Website
- appliedfinance.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-673-0400reportedpublic record, Form ADV, Mar 30, 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