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••• I••••••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 30, 2022 · 7 filings
SEC status approved since Jul 29, 2022
RAUM
$412M
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
15
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$412M as of Mar 31, 2026
Mar 31, 2023$276M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20230 then
Employees (5.A)15 as of Mar 31, 2026
Mar 31, 202313 then
Private funds12 as of Mar 31, 2026
Mar 31, 202312 then
RAUM +41% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $34.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $412M, 12 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$412M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $412M for 12 clientsreported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• G••••• H••••••• I• L•• | Private Equity Fund | $134M | 34 | Oct 20, 2017 |
| A••• M••••••• O••••••••• F••• I• L•• | Private Equity Fund | $96.5M | 77 | Jun 30, 2022 |
| A•• I• • R••• | Other Private Fund | $65.2M | 51 | Jun 30, 2022 |
| A•• I• • P•• | Other Private Fund | $60.8M | 30 | Jun 30, 2022 |
| A••• • W••• | Other Private Fund | $39.7M | 20 | Jun 30, 2022 |
| A••• • A•••• | Other Private Fund | $32.4M | 12 | Jun 30, 2022 |
| A•• I• • A••••• | Other Private Fund | $32.3M | 41 | Jun 30, 2022 |
| A•• I• • P••••••• | Other Private Fund | $16.0M | 30 | Jun 30, 2022 |
| A•• I• • A•••• B••••• | Other Private Fund | $11.9M | 25 | Jun 30, 2022 |
| A•• I• • T•••• | Other Private Fund | $10.2M | 12 | Jun 30, 2022 |
| A••• • F•••••••• | Other Private Fund | $8.8M | 10 | Jun 30, 2022 |
| A•• I• • M• | Other Private Fund | $2.0M | 40 | Jun 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J••••••• P••• · Managing Principalcontrolsince 09/2016 · owns 25% to 50%
- K••••••• J••• · Managing Principal & Chief Compliance Officercontrolsince 09/2016 · owns 25% to 50%
- T•••••• J••• F•••••••• J••• · Managing Principalcontrolsince 09/2016 · owns 25% to 50%
- H••••••••• J••••••• P••• · Managing Membercontrolsince 09/2016 · owns 25% to 50% of A••• M••••••••• P•••••••• L••
- K••••••• J••• · Managing Membercontrolsince 09/2016 · owns 25% to 50% of A••• M••••••••• P•••••••• L••
- T•••••• J••• F•••••••• J••• · Managing Membercontrolsince 09/2016 · owns 25% to 50% of A••• M••••••••• P•••••••• L••
Entity owners
- A••• M••••••••• P•••••••• L•• · Managing Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A••• M••••••••• P•••••••• L••pooled vehicle sponsory
- A••• M••••••• O••••••••• F••• I• M•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 12Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 11 to 12Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 12Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $292M to $412MMar 28, 2025 to Mar 31, 2026
- Private funds · 11 to 12Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $292M to $412MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $292M to $412MMar 28, 2025 to Mar 31, 2026
- RAUM · $292M to $412MMar 28, 2025 to Mar 31, 2026
- Advisory employees · 7 to 11Mar 26, 2024 to Mar 28, 2025
- Assets in custody · $276M to $292MMar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $354M to $292MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $354M to $292MMar 26, 2024 to Mar 28, 2025
- RAUM · $354M to $292MMar 26, 2024 to Mar 28, 2025
- Accounts · 12 to 11Mar 31, 2023 to Mar 26, 2024
- Advisory employees · 6 to 7Mar 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 12 to 11Mar 31, 2023 to Mar 26, 2024
- Employees · 13 to 15Mar 31, 2023 to Mar 26, 2024
- Private funds · 12 to 11Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $276M to $354MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $276M to $354MMar 31, 2023 to Mar 26, 2024
- RAUM · $276M to $354MMar 31, 2023 to Mar 26, 2024
- Assets in custody · $256M to $276MJan 3, 2023 to Mar 31, 2023
- Employees · 14 to 13Jan 3, 2023 to Mar 31, 2023
- Discretionary RAUM · $256M to $276MJan 3, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $256M to $276MJan 3, 2023 to Mar 31, 2023
- RAUM · $256M to $276MJan 3, 2023 to Mar 31, 2023
- Private funds · 24 to 12Jun 30, 2022 to Oct 10, 2022
Signals
2 dated events
- A••• I••••••••• P•••••••• L•• reported RAUM $412.0M, up 41% from $292.0M (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• I••••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••• I••••••••• P•••••••• L•• · Private Equityshared crd · organization
- A••• I••••••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- auxo.partnersreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 616-980-9810reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026