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•••• A••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Jul 22, 2022 · 6 filings
SEC status approved since Dec 6, 2022
RAUM
$100,000
reported, Item 5.F
Discretionary
0.0%
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
10
1 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$100,000 as of Apr 30, 2026
Apr 1, 2025$100,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 28, 20240 then
Employees (5.A)10 as of Apr 30, 2026
Mar 28, 202418 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 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
- $100,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +0.0%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$100,000100%
- 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=4.0derived
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
- D••••••• J•••••• E••••• · Chief Executive Officercontrolsince 11/2021 · owns 75% or more
- J••••• K•••••• J••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- D••••••• J•••••• E••••• · M••••••controlsince 12/2021 · owns 75% or more of J••• H••••••• L••
- B••••••• G•••• J• · Chief Financial Officersince 04/2023 · owns less than 5%
- K•••••• A•••• L••••••• · Chief Administrative Officersince 06/2022 · owns less than 5%
- R••• J•••• P••••• · Chief Revenue Officersince 05/2022 · owns less than 5%
Entity owners
- A•••• C•••••• I••• · Memberdirect · owns 75% or more
- A•••• F••• S•••••••• L•• · Memberdirect · owns 75% or more
- A•••• P••••••• L•• · Memberindirect · owns 75% or more of A•••• C•••••• I•••
- D•••••• C•••••• L•• · M••••••indirect · owns 75% or more of D•••••• P•••••• C•••••• P••••••• L••
- D•••••• C•••••• P••••••• L•• · Memberindirect · owns 75% or more of D•• A•••• P••••••• L••
- D•••••• E••••••••• L•• · M••••••indirect · owns 75% or more of D•••••• C•••••• L••
- D•••••• P•••••• C•••••• P••••••• L•• · Memberindirect · owns 75% or more of D•••••• C•••••• P••••••• L••
- D•• A•••• P••••••• L•• · Memberindirect · owns 75% or more of A•••• P••••••• L••
- J••• H••••••• L•• · M••••••indirect · owns 75% or more of D•••••• E••••••••• L••
Related persons
Schedule D 7.A
- A•••• C•••••• I•••y
- A•••• H••••••• I•••y
- A•••• P••••••• L••y
- B••••••• R••••••••• L••n
- C• C••••• M••••••••• L••n
- C• C••••• P••••••• L••n
- C• G••••• H••••••• L••n
- D•••••• B••• L••n
- D•••••• C•••••• A••••••• L••n
- D•••••• C•••••• D••••••••• P••••••• L••n
- D•••••• C•••••• L••y
- D•••••• C•••••• P••••••• L••y
- D•••••• E••••••••• L••y
- D•••••• I•••••••• L••n
- D•••••• P•••••• C•••••• P••••••• L••y
- D•••••• P••••• C•••••• L••n
- D•••••• P••••• C•••••• P••••••• L••n
- D•••••• C•••••• S••••••••• P••••••• L••n
- D••• C••••••n
- D•• A•••• H••••••• L••y
- D•• A•••• P••••••• L••y
- D•• B••••••• P••••••• L••n
- D•• D••••••••• L••n
- D•• D••••••••• P••••••• I• L••n
- D•• D••••••••• P••••••• L••n
- D•• E••••• M•••••• I• L••n
- D•• R••• E••••• P••••••• L••n
- G••• P•••••• C•••••• M•••••••••n
- G••• P••••••••• L••n
- G••• S••••• L••n
Advisers that list A•••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Apr 30, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2026-01-20, no on the filing of 2026-04-30peers: ASSET_M••••••, under $100M (330)
- employee count dropChange between filings · filing Apr 30, 2026employees (Item 5.A) moved from 16.0 to 10.0 (-38.0%) between the annual amendments of 2025-04-01 and 2026-04-30; the peer median change was -4.0% (51 comparable advisers, 8.0th percentile of changes)peers: ASSET_M••••••, under $100M (51) · 8.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 3 to 1Jan 20, 2026 to Apr 30, 2026
- BD registered reps · 5 to 4Jan 20, 2026 to Apr 30, 2026
- Employees · 16 to 10Jan 20, 2026 to Apr 30, 2026
- Related adviser · false to trueJan 20, 2026 to Apr 30, 2026
- Accounts · unset to 1.0Apr 22, 2024 to Apr 1, 2025
- BD registered reps · 6 to 5Apr 22, 2024 to Apr 1, 2025
- Employees · 18 to 16Apr 22, 2024 to Apr 1, 2025
- Financial planning clients · unset to Apr 22, 2024 to Apr 1, 2025
- Discretionary RAUM · unset to 0.0Apr 22, 2024 to Apr 1, 2025
- Non-discretionary RAUM · unset to 100000.0Apr 22, 2024 to Apr 1, 2025
- RAUM · unset to 100000.0Apr 22, 2024 to Apr 1, 2025
- Accounts · 0.0 to unsetJul 22, 2022 to Mar 28, 2024
- Advisory employees · 1 to 3Jul 22, 2022 to Mar 28, 2024
- BD registered reps · 0 to 6Jul 22, 2022 to Mar 28, 2024
- Employees · 7 to 18Jul 22, 2022 to Mar 28, 2024
- Discretionary RAUM · 0.0 to unsetJul 22, 2022 to Mar 28, 2024
- Non-discretionary RAUM · 0.0 to unsetJul 22, 2022 to Mar 28, 2024
- RAUM · 0.0 to unsetJul 22, 2022 to Mar 28, 2024
Signals
1 dated events
- A•••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 22, 2022 · 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/axxescapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- axxescapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-684-1006reportedpublic record, Form ADV, Apr 30, 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