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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Former SEC-registered adviser

A•••• S•••••• C••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 300797SEC 801-114847IAPD
Latest filing Jul 31, 2019
First filing on the tape Feb 15, 2019 · 12 filings
RAUM
$3.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.1M
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.1M as of Jul 31, 2019
Feb 15, 2019$0 then
HNW client RAUM$2.4M as of Jul 31, 2019
Jun 12, 2019$2.4M then
State-registered IARs (5.B.3)3 as of Jul 31, 2019
Feb 15, 20191 then
Employees (5.A)10 as of Jul 31, 2019
Feb 15, 20191 then
Private funds: no history
Practice profile
derived from the filing of Jul 31, 2019; every figure names its basis
RAUM per advisor
$3.1MderivedRAUM 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
$344,444derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.4M77%
  • Individuals$700,00023%
Individual clients
7reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••• D•••• H•••••Scottsdale, AzApr 22, 201912 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••• C•••••• D•••• · Managing Member & Chief Compliance Officercontrol
    since 02/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 3
    Jul 31, 2019 to Jul 31, 2019
  • Employees · 2 to 7
    Jul 31, 2019 to Jul 31, 2019
  • State-registered IARs · 2 to 3
    Jul 31, 2019 to Jul 31, 2019
  • Employees · 7 to 10
    Jul 31, 2019 to Jul 31, 2019
  • Accounts · 0 to 9
    May 23, 2019 to Jun 12, 2019
  • Individual clients · unset to 7.0
    May 23, 2019 to Jun 12, 2019
  • Discretionary RAUM · $0 to $3.1M
    May 23, 2019 to Jun 12, 2019
  • HNW RAUM · unset to 2400000.0
    May 23, 2019 to Jun 12, 2019
  • Individual RAUM · unset to 700000.0
    May 23, 2019 to Jun 12, 2019
  • RAUM · $0 to $3.1M
    May 23, 2019 to Jun 12, 2019
  • Advisory employees · 1 to 2
    Feb 15, 2019 to Feb 15, 2019
  • Employees · 1 to 2
    Feb 15, 2019 to Feb 15, 2019
  • State-registered IARs · 1 to 2
    Feb 15, 2019 to Feb 15, 2019
Signals
1 dated events
  • A•••• S•••••• C••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 15, 2019 · 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
Firm profile
linkedin.com/company/alphasquaredcapitalreportedpublic record, Form ADV, Sep 18, 2026
Website
alphasquaredcapital.comreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$3.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026