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••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 24, 2016 · 23 filings
SEC status approved since Jun 2, 2016
RAUM
$642M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$479M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
14
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$642M as of Mar 31, 2026
Mar 23, 2017$179M then
HNW client RAUM$439M as of Mar 31, 2026
Mar 27, 2018$188M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 23, 20173 then
Employees (5.A)14 as of Mar 31, 2026
Mar 23, 20176 then
Private funds7 as of Mar 31, 2026
Apr 1, 20257 then
RAUM +1.3% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $118M, 7 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$439M68%
- Pooled investment vehicles$118M18%
- Individuals$40.1M6.2%
- Charitable organizations$25.7M4.0%
- Corporations and businesses$14.7M2.3%
- Pension and profit-sharing plans$4.4M0.7%
- Individual clients
- 51reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 554reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $118M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.75 fund_share=0.18 institutional_share=0.05 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 |
|---|---|---|---|---|
| F•••• F••••• B•••• | Durham, Nc | Aug 23, 2016 | 30 y | 2 |
| N•••••• L••••• L••• | Manchester, Ma | Jan 30, 2017 | 10 y | 0 |
| K••• D•••••• F••••Chartered Financial Analyst | Manchester-By-The-Sea, Ma | Feb 24, 2025 | 11 y | 0 |
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
- F•••• F••••• B•••• from B•••••• W••••• P•••••••• L••Aug 23, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• F••••• F••••• · Chief Compliance Officer/Managing Membercontrolsince 06/2015 · owns 50% to 75%
- L•••• N••••••• L••••• · Managing Membercontrolsince 06/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- N•• S••••• I••••••••• L••investment adviserpooled vehicle sponsoryRAUM $122M
Advisers that list A••••• C••••••• L•• as a related person
- 285219 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Manchester, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Manchester, MA2 employees
What changed
consecutive filings, newest first
- Accounts · 610 to 554Jun 5, 2025 to Mar 31, 2026
- HNW clients · 102 to 98Jun 5, 2025 to Mar 31, 2026
- Individual clients · 53 to 51Jun 5, 2025 to Mar 31, 2026
- Assets in custody · $118M to $118MJun 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $599M to $642MJun 5, 2025 to Mar 31, 2026
- HNW RAUM · $416M to $439MJun 5, 2025 to Mar 31, 2026
- Individual RAUM · $38.3M to $40.1MJun 5, 2025 to Mar 31, 2026
- Pension RAUM · $4.0M to $4.4MJun 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $118M to $118MJun 5, 2025 to Mar 31, 2026
- RAUM · $599M to $642MJun 5, 2025 to Mar 31, 2026
- Assets in custody · $117M to $118MApr 1, 2025 to Jun 5, 2025
- Financial planning clients · 101-250 to 101-250Apr 1, 2025 to Jun 5, 2025
- Discretionary RAUM · $634M to $599MApr 1, 2025 to Jun 5, 2025
- HNW RAUM · $448M to $416MApr 1, 2025 to Jun 5, 2025
- Individual RAUM · $40.8M to $38.3MApr 1, 2025 to Jun 5, 2025
- Pooled vehicle RAUM · $117M to $118MApr 1, 2025 to Jun 5, 2025
- RAUM · $634M to $599MApr 1, 2025 to Jun 5, 2025
- Accounts · 621 to 610Mar 28, 2024 to Apr 1, 2025
- Advisory activities · 3 to 4Mar 28, 2024 to Apr 1, 2025
- Charity clients · 9 to 11Mar 28, 2024 to Apr 1, 2025
- Corporate clients · 5 to 7Mar 28, 2024 to Apr 1, 2025
- HNW clients · 97 to 102Mar 28, 2024 to Apr 1, 2025
- Pooled vehicle clients · 0 to 7Mar 28, 2024 to Apr 1, 2025
- Assets in custody · unset to 117031465.0Mar 28, 2024 to Apr 1, 2025
- Custody of client assets · false to trueMar 28, 2024 to Apr 1, 2025
- Employees · 10 to 14Mar 28, 2024 to Apr 1, 2025
- HQ city · DURHAM to MANCHESTERMar 28, 2024 to Apr 1, 2025
- HQ state · NC to MAMar 28, 2024 to Apr 1, 2025
- Private funds · unset to 7Mar 28, 2024 to Apr 1, 2025
- Discretionary RAUM · $458M to $634MMar 28, 2024 to Apr 1, 2025
- HNW RAUM · $396M to $448MMar 28, 2024 to Apr 1, 2025
- Individual RAUM · $39.7M to $40.8MMar 28, 2024 to Apr 1, 2025
- Pension RAUM · $3.8M to $4.0MMar 28, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $0 to $117MMar 28, 2024 to Apr 1, 2025
- RAUM · $458M to $634MMar 28, 2024 to Apr 1, 2025
- Accounts · 523 to 621Feb 13, 2024 to Mar 28, 2024
- Advisory activities · 2 to 3Feb 13, 2024 to Mar 28, 2024
- Charity clients · 10 to 9Feb 13, 2024 to Mar 28, 2024
- HNW clients · 83 to 97Feb 13, 2024 to Mar 28, 2024
- Individual clients · 57 to 53Feb 13, 2024 to Mar 28, 2024
Signals
3 dated events
- A••••• C••••••• L•• reported RAUM $634.1M, up 38% from $458.1M (2024-03-28 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- David Adam Seitchik (Chief Investment Officer/Managing Member) no longer on Schedule A of A••••• C••••••• L•• (listed 2023-03-29, absent 2023-05-16)May 16, 2023 · Control person left · inference
- A••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 24, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 919-794-4794reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 978-704-0112reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/A•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (978) 704-0112reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- arjuna-capital.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- arjuna-capital.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026