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 14, 2026
First filing on the tape Jan 29, 2026 · 3 filings
SEC status approved since Jan 30, 2026
RAUM
$343M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
38
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$343M as of Apr 14, 2026
Jan 29, 2026$343M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 14, 2026
Jan 29, 20260 then
Employees (5.A)3 as of Apr 14, 2026
Jan 29, 20261 then
Private funds38 as of Apr 14, 2026
Jan 29, 202638 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM 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
- $9.0MderivedRAUM 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$343M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• O••••••••• | Austin, Tx | Apr 9, 2026 | 13 y | 2 |
| C••••• P••• W•••• | Austin, Tx | Apr 10, 2026 | 11 y | 2 |
| A••••• S•••••• K••••• | Westport, Ct | Apr 13, 2026 | 30 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• S•••••• K••••• from P•••• G•••• L••Apr 13, 2026 · Other
- C••••• P••• W•••• from P•••• G•••• L••Apr 10, 2026 · Other
- F•••••• O••••••••• from S••••••••• F••••••••• L••Apr 9, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• A•••••• S•••••• · Chief Compliance Officercontrolsince 04/2026 · owns less than 5%
- W••••• C•••••• P••• · Chief Executive Officercontrolsince 04/2026 · owns less than 5%
Entity owners
- A•••••• M••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 14, 2026discretionary share of RAUM of 0% against a peer median of 100% (1567 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,567) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 1 to 3Mar 30, 2026 to Apr 14, 2026
- BD registered reps · 1 to 3Mar 30, 2026 to Apr 14, 2026
- Employees · 1 to 3Mar 30, 2026 to Apr 14, 2026
- Other offices · 0 to 1Mar 30, 2026 to Apr 14, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/augmentmarketsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- augment.marketreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-298-9839reportedpublic record, Form ADV, Apr 14, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026