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•••• G••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Sep 21, 2018 · 12 filings
SEC status approved since Oct 23, 2018
RAUM
$13.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$4.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$13.0M as of Mar 24, 2026
Mar 30, 2019$8.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20193 then
Employees (5.A)3 as of Mar 24, 2026
Mar 30, 20193 then
Private funds1 as of Mar 24, 2026
Mar 30, 20191 then
RAUM +0.0% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $4.3MderivedRAUM 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
- $13.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%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 individuals, 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- 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
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
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• T•••• R••••• F•••• L• | Hedge Fund | $12.0M | 74 | Nov 30, 2017 |
| A•••• E•••••• R••••• F•••• L•no longer reported | Hedge Fund | $6.4M | 74 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M••••• D••••• B•• · Managing Membercontrolsince 01/2017 · owns 50% to 75%
- R•••••••• B••••• W•••••• · Managing Member/Chief Compliance Officercontrolsince 01/2017 · owns 10% to 25%
- S••••••• R•••••• A•••• · Managing Membercontrolsince 01/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
- O•••• F•••••••• G••••• L••investment advisernRAUM $552M
Advisers that list A•••• G••••• A•••••••• L•• as a related person
- 164147 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Feb 26, 2024 to Feb 24, 2025
- Discretionary RAUM · $12.0M to $13.0MFeb 26, 2024 to Feb 24, 2025
- Pooled vehicle RAUM · $12.0M to $13.0MFeb 26, 2024 to Feb 24, 2025
- RAUM · $12.0M to $13.0MFeb 26, 2024 to Feb 24, 2025
- Discretionary RAUM · $10.5M to $12.0MApr 21, 2023 to Feb 26, 2024
- Pooled vehicle RAUM · $10.5M to $12.0MApr 21, 2023 to Feb 26, 2024
- RAUM · $10.5M to $12.0MApr 21, 2023 to Feb 26, 2024
- Accounts · 2 to 1Mar 3, 2022 to Mar 1, 2023
- Advisory employees · 4 to 3Mar 3, 2022 to Mar 1, 2023
- Pooled vehicle clients · 2 to 1Mar 3, 2022 to Mar 1, 2023
- Assets in custody · 0.0 to unsetMar 3, 2022 to Mar 1, 2023
- Custody of client assets · true to falseMar 3, 2022 to Mar 1, 2023
- Employees · 4 to 3Mar 3, 2022 to Mar 1, 2023
- State-registered IARs · 4 to 0Mar 3, 2022 to Mar 1, 2023
- Private funds · 2 to 1Mar 3, 2022 to Mar 1, 2023
- Discretionary RAUM · $9.8M to $10.5MMar 3, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $9.8M to $10.5MMar 3, 2022 to Mar 1, 2023
- RAUM · $9.8M to $10.5MMar 3, 2022 to Mar 1, 2023
- Advisory employees · 2 to 4Mar 30, 2021 to Mar 3, 2022
- Employees · 5 to 4Mar 30, 2021 to Mar 3, 2022
- Discretionary RAUM · $10.6M to $9.8MMar 30, 2021 to Mar 3, 2022
- Pooled vehicle RAUM · $10.6M to $9.8MMar 30, 2021 to Mar 3, 2022
- RAUM · $10.6M to $9.8MMar 30, 2021 to Mar 3, 2022
- Accounts · 1 to 2Jun 8, 2020 to Mar 30, 2021
- Advisory employees · 4 to 2Jun 8, 2020 to Mar 30, 2021
- Pooled vehicle clients · 1 to 2Jun 8, 2020 to Mar 30, 2021
- Assets in custody · $5.1M to $0Jun 8, 2020 to Mar 30, 2021
- Employees · 4 to 5Jun 8, 2020 to Mar 30, 2021
- Private funds · 1 to 2Jun 8, 2020 to Mar 30, 2021
- Discretionary RAUM · $5.1M to $10.6MJun 8, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $5.1M to $10.6MJun 8, 2020 to Mar 30, 2021
- RAUM · $5.1M to $10.6MJun 8, 2020 to Mar 30, 2021
- Accounts · 2 to 1Mar 30, 2019 to Mar 25, 2020
- Advisory employees · 3 to 4Mar 30, 2019 to Mar 25, 2020
- Pooled vehicle clients · 2 to 1Mar 30, 2019 to Mar 25, 2020
- Assets in custody · $8.0M to $5.1MMar 30, 2019 to Mar 25, 2020
- Employees · 3 to 4Mar 30, 2019 to Mar 25, 2020
- State-registered IARs · 3 to 4Mar 30, 2019 to Mar 25, 2020
- Discretionary RAUM · $8.0M to $5.1MMar 30, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $8.0M to $5.1MMar 30, 2019 to Mar 25, 2020
Signals
3 dated events
- James Mortimer Jonathan Bailey (Managing Member) no longer on Schedule A of A•••• G••••• A•••••••• L•• (listed 2022-03-03, absent 2023-03-01)Mar 1, 2023 · Control person left · inference
- James Mortimer Jonathan Bailey (Managing Member) appeared on Schedule A of A•••• G••••• A•••••••• L••Mar 25, 2020 · Control person joined · fact
- A•••• G••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 21, 2018 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-203-1208reportedpublic record, Form ADV, Mar 24, 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
- $4.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026