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.
SEC-registered adviser
Ninth Avenue Capital, LP
Latest filing Mar 31, 2026
First filing on the tape Nov 14, 2025 · 2 filings
SEC status approved since Dec 15, 2025
RAUM
$536M
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
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$536M as of Mar 31, 2026
Nov 14, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Nov 14, 20250 then
Employees (5.A)10 as of Mar 31, 2026
Nov 14, 202510 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- $179MderivedRAUM 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 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$536M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=true 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
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-11-14, yes on the filing of 2026-03-31peers: asset managers, $500M to $1B (783)
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-11-14, yes on the filing of 2026-03-31peers: asset managers, $500M to $1B (783)
What changed
consecutive filings, newest first
- Accounts · 0 to 3Nov 14, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 3.0Nov 14, 2025 to Mar 31, 2026
- Private funds · unset to 1Nov 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $0 to $536MNov 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 536000000.0Nov 14, 2025 to Mar 31, 2026
- RAUM · $0 to $536MNov 14, 2025 to Mar 31, 2026
- Related bank · false to trueNov 14, 2025 to Mar 31, 2026
Signals
No event on the tape.
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/ninth-avenue-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ninthavenuecapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (816) 427-8758reportedpublic record, Form ADV, Mar 31, 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