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•••• R•••• C••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jun 9, 2020 · 7 filings
SEC status approved since Jul 9, 2020
RAUM
$601M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$601M as of Mar 31, 2026
Mar 31, 2021$231M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20210 then
Employees (5.A)7 as of Mar 31, 2026
Mar 31, 20213 then
Private funds5 as of Mar 31, 2026
Mar 31, 20213 then
RAUM +4.3% over the last fiscal year+0.5% 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
- $120MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$601M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• P••••••• A• L• | Private Equity Fund | $347M | 36 | May 22, 2019 |
| A•••• R•••• C•••••• F••• I•• L• | Private Equity Fund | $217M | 30 | Mar 31, 2023 |
| A••••••••• P••••••• B• L• | Private Equity Fund | $38.2M | 7 | May 22, 2019 |
| A•••• R•••• C•••••• F••• I•••• L• | Private Equity Fund | $16.2M | 6 | Mar 31, 2023 |
| A••••••••• S••••••• I• L• | Private Equity Fund | $143,631 | 1 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A•••• J•••••• E•••••••• · Chief Compliance Officer/Coocontrolsince 03/2022 · owns less than 5%
- S••••••••• M••••••• F••••• · Founder & Chief Executive Officercontrolsince 08/2018 · owns 75% or more
- S••••••••• M••••••• F••••• · Managing Membercontrolsince 08/2018 · owns 75% or more of A•••• R•••• C••••••• L••
Entity owners
- A•••• R•••• C••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••••••••• P••••••• G•• L•pooled vehicle sponsorn
- A•••• R•••• C•••••• F••• I• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $577M to $601MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $577M to $601MMar 27, 2025 to Mar 31, 2026
- RAUM · $577M to $601MMar 27, 2025 to Mar 31, 2026
- Assets in custody · $618M to $0Mar 28, 2024 to Mar 27, 2025
- Custody of client assets · true to falseMar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $618M to $577MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $618M to $577MMar 28, 2024 to Mar 27, 2025
- RAUM · $618M to $577MMar 28, 2024 to Mar 27, 2025
- Assets in custody · $591M to $618MMar 31, 2023 to Mar 28, 2024
- Employees · 5 to 7Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $591M to $618MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $591M to $618MMar 31, 2023 to Mar 28, 2024
- RAUM · $591M to $618MMar 31, 2023 to Mar 28, 2024
- Accounts · 3 to 5Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 3 to 4Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 3 to 5Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $340M to $591MMar 31, 2022 to Mar 31, 2023
- Employees · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Private funds · 3 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $340M to $591MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $340M to $591MMar 31, 2022 to Mar 31, 2023
- RAUM · $340M to $591MMar 31, 2022 to Mar 31, 2023
- Related adviser · true to falseMar 31, 2022 to Mar 31, 2023
- Advisory employees · 2 to 3Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $231M to $340MMar 31, 2021 to Mar 31, 2022
- Employees · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $231M to $340MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $231M to $340MMar 31, 2021 to Mar 31, 2022
- RAUM · $231M to $340MMar 31, 2021 to Mar 31, 2022
- Assets in custody · $183M to $231MJun 9, 2020 to Mar 31, 2021
- Private funds · 6 to 3Jun 9, 2020 to Mar 31, 2021
- Discretionary RAUM · $183M to $231MJun 9, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $183M to $231MJun 9, 2020 to Mar 31, 2021
- RAUM · $183M to $231MJun 9, 2020 to Mar 31, 2021
Signals
4 dated events
- A•••• R•••• C••••••• L• reported RAUM $591.4M, up 74% from $339.6M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A•••• R•••• C••••••• L• reported RAUM $339.6M, up 47% from $230.5M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- E•••••••• J••••• S•••••••• (Chief Compliance Officer/Coo) appeared on Schedule A of A•••• R•••• C••••••• L•Mar 31, 2022 · Control person joined · fact
- A•••• R•••• C••••••• L• filed its initial SEC registration (Form ADV)Jun 9, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• R•••• C••••••• L• · Independent Sponsorsshared crd · capital_provider
- A•••• R•••• C••••••• L• · Private Equityshared crd · organization
- A•••• R•••• C••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/axial-reade-capital/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-660-9500reportedpublic 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