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
Alpha Dna Investment Management
Legal name Alpha Dna Investment Management LLC
Latest filing Mar 19, 2026
First filing on the tape Apr 7, 2017 · 26 filings
SEC status approved since Sep 14, 2020
RAUM
$195M
reported, Item 5.F
Discretionary
46%
of RAUM
Private clients
9.9%
$19.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$97.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$195M as of Mar 19, 2026
Feb 16, 2018$27.4M then
HNW client RAUM$17.0M as of Mar 19, 2026
Mar 17, 2021$15.9M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Feb 16, 20182 then
Employees (5.A)4 as of Mar 19, 2026
Feb 16, 20184 then
Private funds1 as of Mar 19, 2026
Feb 16, 20181 then
RAUM -9.1% over the last fiscal year-2.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $97.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $297,249derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 46%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$121M62%
- Pooled investment vehicles$54.3M28%
- High-net-worth individuals$17.0M8.7%
- Individuals$2.3M1.2%
- Individual clients
- 8reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 655reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.1 fund_share=0.9 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Roderick John Fertig | Aurora, Co | Jul 7, 2026 | 12 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
- David Jason Olson to Focus Partners Wealth, LLCSep 11, 2020 · Other
Joined, latest
- Wayne Patrick Ferbert from Zega Financial, LLCJan 2, 2018 · Other
- David Jason Olson from Macroview Investment Management LLCSep 27, 2017 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Alpha Dna Equity Long Short Fund, LPno longer reported | Hedge Fund | $1.3M | 6 | Aug 29, 2017 |
| Alpha Dna Equity Market Neutral Fund LP | Hedge Fund | $325,000 | 2 | Mar 21, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Patrick Wayne Ferbert · Chief Compliance Officer/ Managing Membercontrolsince 10/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbia, Md · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwood Village, CO1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 19, 2026discretionary share of RAUM moved from 97.0% to 46.0% between the annual amendments of 2025-03-07 and 2026-03-19peers: asset managers, $100M to $500M (1,567)
- institutional asset share shiftChange between filings · filing Mar 19, 2026institutional share of RAUM moved from 91.0% to 62.0% between the annual amendments of 2025-03-07 and 2026-03-19peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 1,011 to 655Mar 7, 2025 to Mar 19, 2026
- HNW clients · 12 to 11Mar 7, 2025 to Mar 19, 2026
- Individual clients · 7 to 8Mar 7, 2025 to Mar 19, 2026
- Pooled vehicle clients · 1 to 2Mar 7, 2025 to Mar 19, 2026
- Employees · 5 to 4Mar 7, 2025 to Mar 19, 2026
- Discretionary RAUM · $207M to $90.0MMar 7, 2025 to Mar 19, 2026
- HNW RAUM · $15.6M to $17.0MMar 7, 2025 to Mar 19, 2026
- Individual RAUM · $1.2M to $2.3MMar 7, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $6.7M to $105MMar 7, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $2.7M to $54.3MMar 7, 2025 to Mar 19, 2026
- RAUM · $214M to $195MMar 7, 2025 to Mar 19, 2026
- Related adviser · false to trueMar 7, 2025 to Mar 19, 2026
- Accounts · 1,038 to 1,011Jul 8, 2024 to Mar 7, 2025
- HNW clients · 13 to 12Jul 8, 2024 to Mar 7, 2025
- Individual clients · 6 to 7Jul 8, 2024 to Mar 7, 2025
- Employees · 4 to 5Jul 8, 2024 to Mar 7, 2025
- Financial planning clients · unset to Jul 8, 2024 to Mar 7, 2025
- Discretionary RAUM · $193M to $207MJul 8, 2024 to Mar 7, 2025
- HNW RAUM · $12.8M to $15.6MJul 8, 2024 to Mar 7, 2025
- Individual RAUM · $894,923 to $1.2MJul 8, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $0 to $6.7MJul 8, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $325,000 to $2.7MJul 8, 2024 to Mar 7, 2025
- RAUM · $193M to $214MJul 8, 2024 to Mar 7, 2025
- Accounts · 960 to 1,038Feb 2, 2023 to Mar 21, 2024
- Corporate clients · 1.0 to unsetFeb 2, 2023 to Mar 21, 2024
- HNW clients · 12 to 13Feb 2, 2023 to Mar 21, 2024
- Individual clients · 7 to 6Feb 2, 2023 to Mar 21, 2024
- Pooled vehicle clients · unset to 1.0Feb 2, 2023 to Mar 21, 2024
- Private funds · unset to 1Feb 2, 2023 to Mar 21, 2024
- Discretionary RAUM · $212M to $193MFeb 2, 2023 to Mar 21, 2024
- HNW RAUM · $13.8M to $12.8MFeb 2, 2023 to Mar 21, 2024
- Individual RAUM · $821,822 to $894,923Feb 2, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · unset to 325000.0Feb 2, 2023 to Mar 21, 2024
- RAUM · $212M to $193MFeb 2, 2023 to Mar 21, 2024
- Accounts · 647 to 960Aug 11, 2022 to Feb 2, 2023
- HNW clients · 13 to 12Aug 11, 2022 to Feb 2, 2023
- Individual clients · 6 to 7Aug 11, 2022 to Feb 2, 2023
- Discretionary RAUM · $198M to $212MAug 11, 2022 to Feb 2, 2023
- HNW RAUM · $21.7M to $13.8MAug 11, 2022 to Feb 2, 2023
- Individual RAUM · $864,834 to $821,822Aug 11, 2022 to Feb 2, 2023
Signals
1 dated events
- Alpha Dna Investment Management filed its initial SEC registration (Form ADV)Apr 7, 2017 · 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
- ALPHADNAIM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 443-288-6444reportedpublic record, Form ADV, Mar 19, 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
- $97.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026