DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•••• P•• M••••••••• C••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 333812SEC 801-132131websiteIAPD
Latest filing Aug 5, 2026
First filing on the tape Feb 6, 2025 · 6 filings
SEC status approved since Mar 7, 2025
RAUM
$1.2B
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
249
80 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.2B as of Aug 5, 2026
Feb 6, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Feb 6, 20250 then
Employees (5.A)249 as of Aug 5, 2026
Feb 6, 2025206 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 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
$1.2BderivedRAUM 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
unknownderived2 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
Custody
$985M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
$985M for 1 clientsreported
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=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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• K•••• E••• · Managing Director & Chief Financial Officer, A•••• P•••••• D•••control
        since 06/2026 · owns less than 5%
      • G•••••••• A••••••••• H•••• · Co-Chief Operating Officer & Chief Financial Officer, A•••• Group & Senior Managing Directorcontrol
        since 08/2021 · owns less than 5%
      • G•••••••• U•• P••••• · Partnercontrol
        since 06/2000 · owns less than 5%
      • J•••••• R••••••• T••••• · Vice Chairman, A•••• Group Officer, A•••• Group & Senior Managing Directorcontrol
        since 01/2008 · owns less than 5%
      • M••••• K••••• P••• · President & Chief Executive Officer, A•••• P•••••• D•••control
        since 03/2000 · owns less than 5%
      • M••••••••• M••••••• · Managing Partner, A•••• P•••••• D•••control
        since 04/2007 · owns less than 5%
      • R••••••• G•••••••• S•••• · Co-Chairman & Co-Chief Executive Officer, A•••• Group & Executive Chairman, A•••• P•••••• Equitycontrol
        since 03/2000 · owns less than 5%
      • R•••• S•••••• V••••• · Managing Partner, A•••• P•••••• D•••control
        since 12/2021 · owns less than 5%
      • V••••••••• R••••• · Managing Partner, A•••• P•••••• D•••control
        since 12/2021 · owns less than 5%
      • W••••• A•••• J•••• · Partnercontrol
        since 06/2025 · owns less than 5%
      • W•••••• M•••• B•••• · Co-Chairman & Co-Chief Executive Officer, A•••• Group & Executive Chairman, A•••• P•••••• D•••control
        since 03/2000 · owns less than 5%
      Entity owners
      • A•••• P•••••• D••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 71 to 80
        Jan 22, 2026 to Mar 31, 2026
      • Assets in custody · unset to 985199267.0
        Jan 22, 2026 to Mar 31, 2026
      • Custody of client assets · false to true
        Jan 22, 2026 to Mar 31, 2026
      • Employees · 206 to 249
        Jan 22, 2026 to Mar 31, 2026
      • Discretionary RAUM · $912M to $1.2B
        Jan 22, 2026 to Mar 31, 2026
      • RAUM · $912M to $1.2B
        Jan 22, 2026 to Mar 31, 2026
      • Accounts · 0 to 1
        Feb 6, 2025 to May 9, 2025
      • Financial planning clients · unset to
        Feb 6, 2025 to May 9, 2025
      • Discretionary RAUM · $0 to $912M
        Feb 6, 2025 to May 9, 2025
      • RAUM · $0 to $912M
        Feb 6, 2025 to May 9, 2025
      Signals
      1 dated events
      • A•••• P•• M••••••••• C••••••• L•• reported RAUM $1.2B, up 29% from $912.2M (2026-01-22 to 2026-03-31)
        Mar 31, 2026 · RAUM change · derived
      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/audax-private-debtreportedpublic record, Form ADV, Sep 21, 2026
      Website
      a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      212-703-2700reportedpublic record, Form ADV, Aug 5, 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