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••••••••• F••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 10, 2021 · 6 filings
SEC status approved since Apr 9, 2021
RAUM
$246M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$246M as of Mar 25, 2026
Mar 29, 2022$36.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20221 then
Employees (5.A)6 as of Mar 25, 2026
Mar 29, 20227 then
Private funds: no history
RAUM +8.5% over the last fiscal year+73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $246MderivedRAUM 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$246M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• M•••• · Managing Principalcontrolsince 01/2021 · owns less than 5%
- J•••••••• M••••••• A•••••• · Founding Principalcontrolsince 01/2021 · owns less than 5%
- L••••••••• R•••••• S••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- H••••• M•••• · Membercontrolsince 01/2021 · owns 25% to 50% of A••••••••• F••• A••••••• M••••••••• L••
Entity owners
- A••••••••• F••• A••••••• H•••••••• L•• · Sole Ownerdirect · owns 75% or more
- A••••••••• F••• A••••••• M••••••••• L•• · Managing Memberindirect · owns 25% to 50% of A••••••••• F••• A••••••• H•••••••• L••
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
- BD registered reps · 1 to 2Mar 24, 2025 to Mar 25, 2026
- Employees · 8 to 6Mar 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $226M to $246MMar 24, 2025 to Mar 25, 2026
- RAUM · $226M to $246MMar 24, 2025 to Mar 25, 2026
- Advisory employees · 3 to 4Mar 27, 2024 to Mar 24, 2025
- Employees · 5 to 8Mar 27, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $165M to $226MMar 27, 2024 to Mar 24, 2025
- RAUM · $165M to $226MMar 27, 2024 to Mar 24, 2025
- Employees · 7 to 5Mar 29, 2023 to Mar 27, 2024
- State-registered IARs · 1 to 0Mar 29, 2023 to Mar 27, 2024
- Other offices · 1 to 0Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $47.6M to $165MMar 29, 2023 to Mar 27, 2024
- RAUM · $47.6M to $165MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $36.0M to $47.6MMar 29, 2022 to Mar 29, 2023
- RAUM · $36.0M to $47.6MMar 29, 2022 to Mar 29, 2023
- Accounts · 0 to 1Mar 10, 2021 to Mar 29, 2022
- BD registered reps · 5 to 1Mar 10, 2021 to Mar 29, 2022
- Employees · 8 to 7Mar 10, 2021 to Mar 29, 2022
- State-registered IARs · 0 to 1Mar 10, 2021 to Mar 29, 2022
- Other offices · 0 to 1Mar 10, 2021 to Mar 29, 2022
- Discretionary RAUM · $0 to $36.0MMar 10, 2021 to Mar 29, 2022
- RAUM · $0 to $36.0MMar 10, 2021 to Mar 29, 2022
Signals
1 dated events
- A••••••••• F••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2021 · 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
- alternativefundadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 844-850-5809reportedpublic record, Form ADV, Mar 25, 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