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•••••••
Legal name A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 16, 2021 · 10 filings
SEC status approved since Aug 13, 2021
RAUM
$269M
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
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$269M as of Mar 27, 2026
Mar 30, 2022$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20220 then
Employees (5.A)13 as of Mar 27, 2026
Mar 30, 202217 then
Private funds4 as of Mar 27, 2026
Mar 30, 20223 then
RAUM +42% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $53.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 94%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
- +42%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
- Custody
- $17.2M, 5 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$252M94%
- Pooled investment vehicles$17.2M6.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.2M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.06 institutional_share=0.94 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• E••••••• M•••••• S•••••••• F•••• L•• | Hedge Fund | $17.9M | 4 | Dec 10, 2021 |
| A••••••• U• M•••• C•• F•••• L•• | Hedge Fund | $10.4M | 1 | Mar 30, 2022 |
| A••••••• E••• S•••• C•• F•••• L•• | Hedge Fund | $9.3M | 1 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• G•••••• · Chief Executive Officercontrolsince 10/2021 · owns less than 5%
- T••••••••• N••••••• · Chief Compliance Officer, Chief Financial Officer And Chief Operating Officercontrolsince 10/2021 · owns less than 5%
- A••••••• T•••••••• R•••• · Partnercontrolsince 07/2021 · owns 50% to 75% of A••• L•
- B•••••• J••••• G•••••• · Chief Executive Officercontrolsince 10/2021 · owns 75% or more of D••••• P••••••• L••
- M••••• G••• M••••• N•••• · Partnercontrolsince 07/2021 · owns 50% to 75% of A••• L•
Entity owners
- A••• L• · Ownerdirect · owns 25% to 50%
- D••••• P••••••• L•• · Ownerdirect · owns 25% to 50%
- M••••••• L•••• G••••••••• E•••••••• R••••••••• S••••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 27, 2026bank affiliate (Item 7.A.6): no on the filing of 2026-02-06, yes on the filing of 2026-03-27peers: institutional managers, $100M to $500M (108)
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $190,042,296 to $269,023,336 (+42.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +9.0% (93 comparable advisers, 92.0th percentile of changes)peers: institutional managers, $100M to $500M (93) · 92% percentile
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Feb 6, 2026 to Mar 27, 2026
- Assets in custody · $20.3M to $17.2MFeb 6, 2026 to Mar 27, 2026
- Employees · 12 to 13Feb 6, 2026 to Mar 27, 2026
- HQ city · to BOSTONFeb 6, 2026 to Mar 27, 2026
- HQ state · to MAFeb 6, 2026 to Mar 27, 2026
- Private funds · 3 to 4Feb 6, 2026 to Mar 27, 2026
- Discretionary RAUM · $190M to $269MFeb 6, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $20.3M to $17.2MFeb 6, 2026 to Mar 27, 2026
- RAUM · $190M to $269MFeb 6, 2026 to Mar 27, 2026
- Related bank · false to trueFeb 6, 2026 to Mar 27, 2026
- Accounts · 8 to 5Mar 21, 2024 to Mar 26, 2025
- Advisory employees · 10 to 6Mar 21, 2024 to Mar 26, 2025
- Pooled vehicle clients · 4 to 3Mar 21, 2024 to Mar 26, 2025
- Assets in custody · $37.5M to $20.3MMar 21, 2024 to Mar 26, 2025
- Employees · 15 to 12Mar 21, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 26, 2025
- HQ city · unset to Mar 21, 2024 to Mar 26, 2025
- HQ state · unset to Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.4B to $190MMar 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $557M to $20.3MMar 21, 2024 to Mar 26, 2025
- RAUM · $1.4B to $190MMar 21, 2024 to Mar 26, 2025
- Accounts · 9 to 8Mar 22, 2023 to Mar 21, 2024
- Advisory employees · 11 to 10Mar 22, 2023 to Mar 21, 2024
- Assets in custody · $18.4M to $37.5MMar 22, 2023 to Mar 21, 2024
- Employees · 17 to 15Mar 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.5B to $1.4BMar 22, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $441M to $557MMar 22, 2023 to Mar 21, 2024
- RAUM · $1.5B to $1.4BMar 22, 2023 to Mar 21, 2024
- Accounts · 8 to 9Sep 8, 2022 to Mar 22, 2023
- Assets in custody · $48.5M to $18.4MSep 8, 2022 to Mar 22, 2023
- Discretionary RAUM · $1.0B to $1.5BSep 8, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $530M to $441MSep 8, 2022 to Mar 22, 2023
- RAUM · $1.0B to $1.5BSep 8, 2022 to Mar 22, 2023
- Accounts · 5 to 8Dec 10, 2021 to Mar 30, 2022
- Advisory employees · 10 to 11Dec 10, 2021 to Mar 30, 2022
- Pooled vehicle clients · 2 to 4Dec 10, 2021 to Mar 30, 2022
- Assets in custody · unset to 48470092.0Dec 10, 2021 to Mar 30, 2022
- Custody of client assets · false to trueDec 10, 2021 to Mar 30, 2022
- Employees · 14 to 17Dec 10, 2021 to Mar 30, 2022
- Private funds · 1 to 3Dec 10, 2021 to Mar 30, 2022
Signals
3 dated events
- Ajovista reported RAUM $190.0M, down 86% from $1.4B (2024-03-21 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Ajovista reported RAUM $1.5B, up 49% from $1.0B (2022-09-08 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Ajovista filed its initial SEC registration (Form ADV)Jul 16, 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
- a•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (413) 419-0828reportedpublic record, Form ADV, Mar 27, 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
- Institutional managerderiveda 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