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•••••••• M•••••••••
Legal name A•••••••• M••••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Oct 21, 2021 · 17 filings
SEC status approved since Nov 19, 2021
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$104M as of Jul 8, 2026
Mar 23, 2022$463M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jul 8, 2026
Mar 23, 20222 then
Employees (5.A)4 as of Jul 8, 2026
Mar 23, 20224 then
Private funds2 as of Jul 8, 2026
Mar 23, 20221 then
RAUM -11% over the last fiscal year-40% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
- RAUM per advisor
- $34.6MderivedRAUM 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
- $34.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $46.3M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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
- Investment companies$57.6M55%
- Pooled investment vehicles$46.3M45%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.3M for 2 clientsreported
- Compensation
- % of AUM, fixed, 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• G•••••• Y••Chartered Financial Analyst | Phoenix, Az | Nov 17, 2022 | 25 y | 1 |
| J••••• L•••• H•••••• | Phoenix, Az | Mar 28, 2023 | 14 y | 3 |
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
Left, latest
none on the tape
Joined, latest
- J••••• L•••• H•••••• from R•••••• L••Jun 27, 2022 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• V•••••••• L• | Hedge Fund | $20.1M | 100 | Oct 21, 2021 |
| A•••••••• S•••••• F••• I• | Hedge Fund | $7.3M | 46 | Mar 29, 2023 |
| A• I••••••••• F••• L• | Hedge Fund | $2.6M | 15 | Mar 25, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J•••• · Vice President, Investor Relations & Account Managementcontrolsince 09/2021 · owns 10% to 25%
- H••••••• J•••••• L•••• · Managing Member, Chief Investment Officercontrolsince 09/2021 · owns 25% to 50%
- H••••••• P•••• J••••• · Chief Risk Officercontrolsince 09/2023 · owns less than 5%
- Y••• K••••• G•••••• · Vice President, Chief Compliance Officercontrolsince 10/2023 · owns 10% to 25%
- H••••••• J•••••• · Trusteecontrolsince 09/2004 · owns F of H•••••• F••••• T••••
- H••••••• P•••• J••••• · Trusteecontrolsince 09/2004 · owns F of H•••••• F••••• T••••
- S••••• R•••••• E•••• · Trusteecontrolsince 04/2020 · owns F of T•• R•• S•••• R•••••••• T•••• D•••• A•••• 3•• 2•••
- S••••• W••••• K••• · Trusteecontrolsince 04/2020 · owns F of T•• R•• S•••• R•••••••• T•••• D•••• A•••• 3•• 2•••
- K•••••• J••• · Membersince 05/2023 · owns 5% to 10%
Entity owners
- H•••••• F••••• T•••• · Sole Memberindirect · owns 75% or more of D••• P•••• V•••••••• L••
- D••• P•••• V•••••••• L•• · Memberdirect · owns 10% to 25%
- T•• R•• S•••• R•••••••• T•••• D•••• A•••• 3•• 2••• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- V••••••• A•••• M••••••••• L••investment advisernRAUM $40.0M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Phoenix, Az · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jul 8, 2026 to Sep 11, 2026
- Private funds · 2 to unsetJul 8, 2026 to Sep 11, 2026
- Succession · false to unsetJul 8, 2026 to Sep 11, 2026
- Accounts · 4 to 3May 8, 2025 to Mar 18, 2026
- Advisory activities · 2 to 3May 8, 2025 to Mar 18, 2026
- Pooled vehicle clients · 3 to 2May 8, 2025 to Mar 18, 2026
- Assets in custody · $40.6M to $46.3MMay 8, 2025 to Mar 18, 2026
- Private funds · 3 to 2May 8, 2025 to Mar 18, 2026
- Discretionary RAUM · $117M to $104MMay 8, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $40.6M to $46.3MMay 8, 2025 to Mar 18, 2026
- RAUM · $117M to $104MMay 8, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Mar 5, 2025 to May 8, 2025
- Assets in custody · $29.9M to $40.6MSep 11, 2024 to Mar 5, 2025
- HQ city · unset to PHOENIXSep 11, 2024 to Mar 5, 2025
- HQ state · unset to AZSep 11, 2024 to Mar 5, 2025
- Discretionary RAUM · $106M to $117MSep 11, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · $29.9M to $40.6MSep 11, 2024 to Mar 5, 2025
- RAUM · $106M to $117MSep 11, 2024 to Mar 5, 2025
- Succession · true to falseSep 11, 2024 to Mar 5, 2025
- Succession · false to trueMay 8, 2024 to Sep 11, 2024
- Accounts · 3 to 4Oct 20, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Oct 20, 2023 to Mar 25, 2024
- Pooled vehicle clients · 2 to 3Oct 20, 2023 to Mar 25, 2024
- Assets in custody · $2.1M to $29.9MOct 20, 2023 to Mar 25, 2024
- Custody of client assets · false to trueOct 20, 2023 to Mar 25, 2024
- Employees · 3 to 4Oct 20, 2023 to Mar 25, 2024
- Insurance-licensed employees · 0 to 1Oct 20, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 3Oct 20, 2023 to Mar 25, 2024
- Other offices · 1 to 2Oct 20, 2023 to Mar 25, 2024
- Private funds · 2 to 3Oct 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $483M to $106MOct 20, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $2.1M to $29.9MOct 20, 2023 to Mar 25, 2024
- RAUM · $483M to $106MOct 20, 2023 to Mar 25, 2024
- Related adviser · false to trueOct 20, 2023 to Mar 25, 2024
- Accounts · 1,129 to 3Mar 23, 2022 to Mar 29, 2023
- Pooled vehicle clients · 1 to 2Mar 23, 2022 to Mar 29, 2023
- Assets in custody · $3.0M to $2.1MMar 23, 2022 to Mar 29, 2023
- Employees · 4 to 3Mar 23, 2022 to Mar 29, 2023
- Insurance-licensed employees · 1 to 0Mar 23, 2022 to Mar 29, 2023
- Financial planning clients · unset to 0Mar 23, 2022 to Mar 29, 2023
Signals
7 dated events
- A•••••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 11, 2024 · Succession (Item 4) · fact
- A•••••••• M••••••••• reported RAUM $106.0M, down 78% from $482.8M (2023-10-20 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- J•••• A•••••••• (Vice President, Investor Relations & Account Management) appeared on Schedule A of A•••••••• M•••••••••Mar 25, 2024 · Control person joined · fact
- E•••• R••••• S•••• (Trustee) appeared on Schedule A of A•••••••• M•••••••••Mar 25, 2024 · Control person joined · fact
- K••• W•••• S•••• (Trustee) appeared on Schedule A of A•••••••• M•••••••••Mar 25, 2024 · Control person joined · fact
- J•••••• H•••••• (Trustee) appeared on Schedule A of A•••••••• M•••••••••Mar 25, 2024 · Control person joined · fact
- A•••••••• M••••••••• filed its initial SEC registration (Form ADV)Oct 21, 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
- Firm profile
- linkedin.com/company/asterozoa-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-692-8461reportedpublic record, Form ADV, Sep 11, 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
- $34.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026