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•• C••••••• L•
Latest filing Mar 12, 2026
First filing on the tape Feb 25, 2022 · 7 filings
SEC status approved since Mar 28, 2022
RAUM
$727M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$727M as of Mar 12, 2026
Mar 17, 2023$196M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 17, 20230 then
Employees (5.A)7 as of Mar 12, 2026
Mar 17, 202313 then
Private funds: no history
RAUM +154% over the last fiscal year+55% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $145MderivedRAUM 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
- +154%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$727M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
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
- G••• Y• · Limited Partnercontrolsince 08/2021 · owns 75% or more
- K•••••••• T•••• H•• · Chief Operating Officer / Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- G••• Y• · Sole Membercontrolsince 08/2021 · owns 75% or more of A•• C••••••• L••
Entity owners
- A•• C••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••••••••• I••••••••• M••••••••• L••investment advisern
- B•••••• A••••• T••••••••• C••• L•••investment advisern
- S••••••• A••••• T••••••••• C••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $286,558,049 to $727,146,509 (+154.0%) between the annual amendments of 2025-03-19 and 2026-03-12; the peer median change was +8.0% (672 comparable advisers, 97.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 97% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 19, 2025 to Mar 12, 2026
- Employees · 8 to 7Mar 19, 2025 to Mar 12, 2026
- Discretionary RAUM · $287M to $727MMar 19, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $287M to $727MMar 19, 2025 to Mar 12, 2026
- RAUM · $287M to $727MMar 19, 2025 to Mar 12, 2026
- Employees · 9 to 8Feb 27, 2024 to Mar 19, 2025
- Financial planning clients · unset to Feb 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $424M to $287MFeb 27, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $424M to $287MFeb 27, 2024 to Mar 19, 2025
- RAUM · $424M to $287MFeb 27, 2024 to Mar 19, 2025
- Accounts · 4 to 5Mar 17, 2023 to Feb 27, 2024
- Advisory employees · 1 to 2Mar 17, 2023 to Feb 27, 2024
- Pooled vehicle clients · 4 to 5Mar 17, 2023 to Feb 27, 2024
- Employees · 13 to 9Mar 17, 2023 to Feb 27, 2024
- Discretionary RAUM · $196M to $424MMar 17, 2023 to Feb 27, 2024
- Pooled vehicle RAUM · $196M to $424MMar 17, 2023 to Feb 27, 2024
- RAUM · $196M to $424MMar 17, 2023 to Feb 27, 2024
- Accounts · 2 to 4Jul 22, 2022 to Mar 17, 2023
- Advisory employees · 3 to 1Jul 22, 2022 to Mar 17, 2023
- Pooled vehicle clients · 2 to 4Jul 22, 2022 to Mar 17, 2023
- Employees · 5 to 13Jul 22, 2022 to Mar 17, 2023
- Discretionary RAUM · $320M to $196MJul 22, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · $320M to $196MJul 22, 2022 to Mar 17, 2023
- RAUM · $320M to $196MJul 22, 2022 to Mar 17, 2023
- Related adviser · false to trueJul 22, 2022 to Mar 17, 2023
- Accounts · unset to 2.0Feb 28, 2022 to Jul 22, 2022
- Pooled vehicle clients · unset to 2.0Feb 28, 2022 to Jul 22, 2022
- Discretionary RAUM · unset to 319676887.0Feb 28, 2022 to Jul 22, 2022
- Non-discretionary RAUM · unset to 0.0Feb 28, 2022 to Jul 22, 2022
- Pooled vehicle RAUM · unset to 319676887.0Feb 28, 2022 to Jul 22, 2022
- RAUM · unset to 319676887.0Feb 28, 2022 to Jul 22, 2022
Signals
5 dated events
- A•• C••••••• L• reported RAUM $727.1M, up 154% from $286.6M (2025-03-19 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- A•• C••••••• L• reported RAUM $286.6M, down 32% from $423.7M (2024-02-27 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- A•• C••••••• L• reported RAUM $423.7M, up 116% from $196.2M (2023-03-17 to 2024-02-27)Feb 27, 2024 · RAUM change · derived
- A•• C••••••• L• reported RAUM $196.2M, down 39% from $319.7M (2022-07-22 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- A•• C••••••• L• filed its initial SEC registration (Form ADV)Feb 25, 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
- Website
- axqcap.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (917) 740-9028reportedpublic record, Form ADV, Mar 12, 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