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.
Former SEC-registered adviser
A3 Financial Investments, LLC
Latest filing Mar 28, 2022
First filing on the tape Jul 1, 2019 · 5 filings
RAUM
$10.2M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$10.2M as of Mar 28, 2022
Mar 23, 2020$5.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 23, 20200 then
Employees (5.A)6 as of Mar 28, 2022
Mar 23, 20205 then
Private funds: no history
RAUM -8.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
- $10.2MderivedRAUM 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
- -8.5%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$10.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christian Aymond · Managing Membercontrolsince 01/2019 · owns 25% to 50%
- Raymond Anthony Bosch · Managing Member/Chief Compliance Officercontrolsince 01/2019 · owns 25% to 50%
- Olof Lars Soderberg · Managing Membercontrolsince 01/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- Branzan Investment Advisors, Inc.investment advisernRAUM $115M
- Hilltop Investment Advisors, Inc.investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Mar 5, 2021 to Mar 28, 2022
- BD registered reps · 5 to 3Mar 5, 2021 to Mar 28, 2022
- Discretionary RAUM · $11.1M to $10.2MMar 5, 2021 to Mar 28, 2022
- RAUM · $11.1M to $10.2MMar 5, 2021 to Mar 28, 2022
- Related adviser · false to trueMar 5, 2021 to Mar 28, 2022
- Business name · A3 FINANCIAL INVESTMENTS to A3 FINANCIAL INVESTMENTS, LLCMar 23, 2020 to Mar 5, 2021
- Employees · 5 to 6Mar 23, 2020 to Mar 5, 2021
- Discretionary RAUM · $5.2M to $11.1MMar 23, 2020 to Mar 5, 2021
- RAUM · $5.2M to $11.1MMar 23, 2020 to Mar 5, 2021
- Related adviser · true to falseMar 23, 2020 to Mar 5, 2021
- BD registered reps · 0 to 5Nov 21, 2019 to Mar 23, 2020
- Business name · A3 FINANCIAL INVESTMENTS, LLC to A3 FINANCIAL INVESTMENTSNov 21, 2019 to Mar 23, 2020
- Discretionary RAUM · $3.2M to $5.2MNov 21, 2019 to Mar 23, 2020
- RAUM · $3.2M to $5.2MNov 21, 2019 to Mar 23, 2020
- Accounts · 0 to 1Jul 1, 2019 to Nov 21, 2019
- Business name · ASCENT ALTERNATIVE ADVISORS, LLC to A3 FINANCIAL INVESTMENTS, LLCJul 1, 2019 to Nov 21, 2019
- Legal name · ASCENT ALTERNATIVE ADVISORS, LLC to A3 FINANCIAL INVESTMENTS, LLCJul 1, 2019 to Nov 21, 2019
- Discretionary RAUM · $0 to $3.2MJul 1, 2019 to Nov 21, 2019
- RAUM · $0 to $3.2MJul 1, 2019 to Nov 21, 2019
Signals
3 dated events
- L Gregory Bell (Managing Member/Portfolio Manager) no longer on Schedule A of A3 Financial Investments, Llc (listed 2021-03-05, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Jean Kimberly Merriman (Managing Member) no longer on Schedule A of A3 Financial Investments, Llc (listed 2021-03-05, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Ascent Alternative Advisors, Llc filed its initial SEC registration (Form ADV)Jul 1, 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026