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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••• A••••••• I• L••
Latest filing Apr 30, 2026
First filing on the tape Aug 13, 2024 · 9 filings
SEC status approved since Sep 12, 2024
RAUM
$6.8M
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
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$6.8M as of Apr 30, 2026
Jun 30, 2025$100,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Jun 30, 20250 then
Employees (5.A)10 as of Apr 30, 2026
Jun 30, 202516 then
Private funds: no history
RAUM n/a over the last fiscal year
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
- $6.8MderivedRAUM 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
- 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, performance-basedreportedItem 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$6.8M100%
- 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 AUM, performancereported
- 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
- B••••••• G•••• J• · President And Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- D••••••• J•••••• E••••• · Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- J••••• K•••••• J••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- K•••••• A•••• L••••••• · Chief Administration Officercontrolsince 07/2024 · owns less than 5%
- D••••••• J•••••• E••••• · M••••••controlsince 12/2021 · owns 75% or more of J••• H••••••• L••
Entity owners
- A•••• C•••••• I••• · Memberdirect · owns 75% or more
- A•••• F••• S•••••••• L•• · Memberdirect · owns less than 5%
- 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•••••••
- 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••••••• · 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•••• A••••••• L••investment advisernRAUM $100,000
- A•••• C•••••• I•••n
- A•••• H••••••• I•••n
- A•••• P•••••• L••n
- 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••n
- D•••••• C•••••• P••••••• L••n
- D•••••• C•••••• S••••••••• P••••••• L••n
- D•••••• E••••••••• L••n
- D•••••• I•••••••• L••n
- D•••••• P•••••• C•••••• P••••••• L••n
- D•••••• P••••• C•••••• L••n
- D•••••• P••••• C•••••• P••••••• L••n
- D••• C••••••n
- D•• A•••• H••••••• L••n
- D•• A•••• P••••••• L••n
- D•• B••••••• P••••••• L••n
- D•• D••••••••• P••••••• I• L••n
- D•• D••••••••• P••••••• L••n
- D•• D••••••••• P••••••• L••n
- D•• E••••• M•••••• I• L••n
- D•• R••• E••••• P••••••• L••n
- G••• L••n
- G••• P•••••• C•••••• M•••••••••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 1Jan 13, 2026 to Apr 30, 2026
- BD registered reps · 5 to 4Jan 13, 2026 to Apr 30, 2026
- Employees · 16 to 10Jan 13, 2026 to Apr 30, 2026
- Discretionary RAUM · $0 to $6.8MJan 13, 2026 to Apr 30, 2026
- Non-discretionary RAUM · $100,000 to $0Jan 13, 2026 to Apr 30, 2026
- RAUM · $100,000 to $6.8MJan 13, 2026 to Apr 30, 2026
- Financial planning clients · unset to Nov 22, 2024 to Jun 30, 2025
- Accounts · unset to 1.0Sep 12, 2024 to Nov 22, 2024
- Discretionary RAUM · unset to 0.0Sep 12, 2024 to Nov 22, 2024
- Non-discretionary RAUM · unset to 100000.0Sep 12, 2024 to Nov 22, 2024
- RAUM · unset to 100000.0Sep 12, 2024 to Nov 22, 2024
- HQ city · CORAL GABLE to CORAL GABLESAug 21, 2024 to Aug 21, 2024
- Business name · A•••• A•••••• I• L•• to A•••• A••••••• I• L••Aug 21, 2024 to Aug 21, 2024
- Legal name · A•••• A•••••• I• L•• to A•••• A••••••• I• L••Aug 21, 2024 to Aug 21, 2024
Signals
1 dated events
- A•••• A•••••• I• L•• filed its initial SEC registration (Form ADV)Aug 13, 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
- linkedin.com/company/axxescapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.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