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••• H••••• M••••••••• C••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Mar 27, 2026 · 2 filings
SEC status approved since Mar 27, 2026
RAUM
$215M
reported, Item 5.F
Discretionary
0.0%
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
19
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$215M as of Jul 23, 2026
Mar 27, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Mar 27, 20260 then
Employees (5.A)19 as of Jul 23, 2026
Mar 27, 202620 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 23, 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
- $107MderivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 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
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$215M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- 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=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
- K••• D••••••• T•••••••• · Chief Financial Officercontrolsince 12/2025 · owns less than 5%
- R•••••• D••••••• S•••• · Chief Executive Officer Officercontrolsince 12/2025 · owns less than 5%
- S••••••• W••••••• N••••••• · Chief Compliance Officercontrolsince 12/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 23, 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
- business activity changedChange between filings · filing Jul 23, 2026advises private funds (Item 7.B): no on the filing of 2026-03-27, yes on the filing of 2026-07-23peers: asset managers, $100M to $500M (1,567)
- compensation changedChange between filings · filing Jul 23, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-03-27, yes on the filing of 2026-07-23peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 0 to 2Mar 27, 2026 to Jul 23, 2026
- Advisory employees · 13 to 12Mar 27, 2026 to Jul 23, 2026
- Pooled vehicle clients · unset to 2.0Mar 27, 2026 to Jul 23, 2026
- Employees · 20 to 19Mar 27, 2026 to Jul 23, 2026
- Non-discretionary RAUM · $0 to $215MMar 27, 2026 to Jul 23, 2026
- Pooled vehicle RAUM · unset to 214502129.0Mar 27, 2026 to Jul 23, 2026
- RAUM · $0 to $215MMar 27, 2026 to Jul 23, 2026
Signals
1 dated events
- William Nicholas Steiner, registered through I••••• C••••••• L•• (San Francisco, CA), is a direct owner of A••• H••••• M••••••••• C••••••• L••, an adviser first registered 2026-03-27Mar 27, 2026 · Owner of a newly registered adviser · 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/ajaxhealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-991-6564reportedpublic record, Form ADV, Jul 23, 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