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•••• M••••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Jan 8, 2024 · 4 filings
SEC status approved since Feb 22, 2024
RAUM
$3.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.8%
$66.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$3.8B as of Jun 24, 2026
Jun 27, 2024$1.9B then
HNW client RAUM$66.9M as of Jun 24, 2026
Jun 27, 2024$36.4M then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Jun 27, 20240 then
Employees (5.A)21 as of Jun 24, 2026
Jun 27, 202420 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $181MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.5%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
- unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B82%
- Other investment advisers$193M5.1%
- Corporations and businesses$178M4.7%
- Pension and profit-sharing plans$173M4.6%
- High-net-worth individuals$66.9M1.8%
- Insurance companies$61.7M1.6%
- Charitable organizations$10.9M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.87 institutional_share=0.06 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
- T••••••••• A•••••• G•••••• · Chief Compliance Officer, Chief Financial Officercontrolsince 06/2014 · owns less than 5%
- W•••••••• N••••••• R••• · Chief Executive Officercontrolsince 06/2014 · owns less than 5%
Entity owners
- W••••••• L•••••• · Memberdirect · owns 75% or more
- C••••••• B••• L•••••• · Trusteeindirect · owns 50% to 75% of T•• K••••• T••••
- M•••••• C•••••• L•••••• · Shareholderindirect · owns 75% or more of W••••••• L••••••
- N•• Z•••••• T•••• C••••••••• L•••••• · Trusteeindirect · owns 50% to 75% of T•• K••••• T••••
- T•• K••••• T•••• · Shareholderindirect · owns 75% or more of M•••••• C•••••• L••••••
Related persons
Schedule D 7.A
- S•• C••••••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 21Jun 26, 2025 to Jun 24, 2026
- Advisory employees · 9 to 10Jun 26, 2025 to Jun 24, 2026
- Employees · 18 to 21Jun 26, 2025 to Jun 24, 2026
- Discretionary RAUM · $2.2B to $3.8BJun 26, 2025 to Jun 24, 2026
- HNW RAUM · $44.5M to $66.9MJun 26, 2025 to Jun 24, 2026
- Pension RAUM · $155M to $173MJun 26, 2025 to Jun 24, 2026
- Pooled vehicle RAUM · $1.7B to $3.1BJun 26, 2025 to Jun 24, 2026
- RAUM · $2.2B to $3.8BJun 26, 2025 to Jun 24, 2026
- Accounts · 16 to 19Jun 27, 2024 to Jun 26, 2025
- Advisory employees · 12 to 9Jun 27, 2024 to Jun 26, 2025
- Employees · 20 to 18Jun 27, 2024 to Jun 26, 2025
- Financial planning clients · unset to Jun 27, 2024 to Jun 26, 2025
- HQ state · unset to Jun 27, 2024 to Jun 26, 2025
- Discretionary RAUM · $1.9B to $2.2BJun 27, 2024 to Jun 26, 2025
- HNW RAUM · $36.4M to $44.5MJun 27, 2024 to Jun 26, 2025
- Pension RAUM · $193M to $155MJun 27, 2024 to Jun 26, 2025
- Pooled vehicle RAUM · $1.4B to $1.7BJun 27, 2024 to Jun 26, 2025
- RAUM · $1.9B to $2.2BJun 27, 2024 to Jun 26, 2025
- Advisory employees · 14 to 12Jan 8, 2024 to Jun 27, 2024
- Employees · 21 to 20Jan 8, 2024 to Jun 27, 2024
- Discretionary RAUM · $1.7B to $1.9BJan 8, 2024 to Jun 27, 2024
- HNW RAUM · $32.3M to $36.4MJan 8, 2024 to Jun 27, 2024
- Pension RAUM · $162M to $193MJan 8, 2024 to Jun 27, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BJan 8, 2024 to Jun 27, 2024
- RAUM · $1.7B to $1.9BJan 8, 2024 to Jun 27, 2024
Signals
2 dated events
- A•••• A•••• M••••••••• L•• reported RAUM $3.8B, up 69% from $2.2B (2025-06-26 to 2026-06-24)Jun 24, 2026 · RAUM change · derived
- A•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 8, 2024 · 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
- uk.linkedin.com/company/alken-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +44-207-44-016-00reportedpublic record, Form ADV, Jun 24, 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