AIS CAPITAL MANAGEMENT L.P.

CRD

107971

SEC file #

801-43295

EIN

270901023

DBA names

—

Economics

AUM

$358.3M

AUM band

$100M-$500M

AUM trajectory

'20 · $98.2M

'21 · $114.5M

'22 · $174.9M

'23 · $198.3M

'25 · $183.2M

'26 · $358.3M

'20'26

$98.2M → $358.3M▲ +265%

sec adv history

Client mix

Individuals High Net Worth	38
Pooled Investment Vehicles	5
Individuals Other	1

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 1 advisors

'21 · 1 advisors

'22 · 1 advisors

'23 · 1 advisors

'25 · 1 advisors

'26 · 1 advisors

'20'26

1 advisors → 1 advisors▬ 0%

sec adv history

Primary office

WILTON CT

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — pooled vehicles

Fee basis

% of AUMPerformance-based fees

Filings

Latest ADV filing

02/27/2026

ADV-W filed at

—

Website

aisgroup.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

HUMMEL, JOHN, ROBERT

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

HUMMEL, JOHN, ROBERT

STERN, BRADLEY, CHARLES

Solo Advisor Indicator

Yes

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

AISGROUP.COM

Rdap Domain Creation Date

1995-10-28T04:00:00Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

Bluehost Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001473501

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2009-09-30

Edgar Last Filing Date

2014-12-03

Edgar Form D Count

Edgar Form D Offerings

2014-12-032014-12-03 · 0001473501-14-000001

2013-12-112013-12-11 · 0001473501-13-000003

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade	4
Interactive Brokers	1

adv brochure

Edgar Addresses

Mailing

800 CONNECTICUT AVENUE4 WESTNORWALK, CT 06854

Business

800 CONNECTICUT AVENUE4 WESTNORWALK, CT 06854

Edgar EIN

270901023

Edgar Recent Filings

D/A2014-12-03 · 0001473501-14-000001

D/A2013-12-11 · 0001473501-13-000003

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2026-10-27T04:00:00Z

Rdap Domain Last Changed

2025-10-11T06:37:08Z

Rdap Nameservers

Ns1.bluehost.comNs2.bluehost.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Top Owner CRD

823557

Trust Company Affiliate

Yes