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
P•••••• M••••••••• G•••• I••
Latest filing Jul 31, 2026
First filing on the tape Mar 26, 2012 · 42 filings
SEC status approved since Sep 26, 1986
RAUM
$4.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$4.5B individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
21
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$4.9B as of Jul 31, 2026
Mar 26, 2012$1.4B then
HNW client RAUM$3.9B as of Jul 31, 2026
Mar 19, 2018$2.1B then
State-registered IARs (5.B.3)21 as of Jul 31, 2026
Feb 4, 20138 then
Employees (5.A)21 as of Jul 31, 2026
Feb 4, 201320 then
Private funds: no history
RAUM +8.6% over the last fiscal year+12% a year over threeIARs 20 to 21
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $687,560derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 14.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.9B80%
- Individuals$625M13%
- Pension and profit-sharing plans$216M4.4%
- Corporations and businesses$85.3M1.7%
- Charitable organizations$56.2M1.1%
- Individual clients
- 2,410reported
- HNW clients
- 974reported
- Pension plan clients
- 125reported
- Charitable clients
- 47reported
- Accounts
- 7,132reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A•••• R••••••Chartered Financial Analyst | Irvine, Ca | Dec 1, 1986 | 41 y | 0 |
| R••••• T••• S••••••Chartered Financial Analyst | Irvine, Ca | Jan 6, 1992 | 40 y | 0 |
| S•••••• L••••••• P••••• | Irvine, Ca | Dec 10, 1997 | 33 y | 0 |
| J••• M•••••• L••••••Chartered Financial Analyst | Irvine, Ca | Dec 10, 1997 | 32 y | 0 |
| J•••••• L•••• P•••• | Irvine, Ca | Jun 18, 2004 | 22 y | 0 |
| J••••••• A•••• C•••Chartered Financial Analyst | Irvine, Ca | Mar 25, 2008 | 18 y | 0 |
| G•••••• M••••• L•••• | Irvine, Ca | Oct 24, 2013 | 14 y | 0 |
| S••• A•••••• S••••••Chartered Financial Analyst | Irvine, Ca | Aug 13, 2014 | 14 y | 0 |
| K•••••• M•••• M•••• | Irvine, Ca | Dec 22, 2014 | 13 y | 0 |
| M••••• D•••• C••• | Irvine, Ca | Mar 23, 2015 | 14 y | 0 |
| D•••• S••• D• L• C••• | Irvine, Ca | Sep 18, 2017 | 16 y | 0 |
| M•••••• D•••• H•••••Chartered Financial Consultant | Tustin, Ca | Apr 18, 2018 | 40 y | 0 |
| H••••• D•••• T•••••••• | Orange, Ca | Apr 20, 2018 | 65 y | 0 |
| J•••• L••••••• P•••••• | Carlsbad, Ca | Apr 20, 2018 | 34 y | 0 |
| E••••• D••• S•••• | Camarillo, Ca | Apr 20, 2018 | 22 y | 0 |
| L••• A•••••• M••••••• | Laguna Beach, Ca | Apr 20, 2018 | 35 y | 1 |
| E•••• M•••• R•••••• | Irvine, Ca | Jan 10, 2019 | 12 y | 0 |
| M•••••• H••••• F•••••• | Irvine, Ca | Oct 26, 2020 | 16 y | 0 |
| K••• M••••• S••••• | Irvine, Ca | Jan 20, 2021 | 10 y | 0 |
| K•••••• L• N•••• | Irvine, Ca | Apr 13, 2023 | 13 y | 0 |
| C••• R•• D••• | Irvine, Ca | Apr 18, 2023 | 12 y | 0 |
| K••••••••• C•••••• R•••••• | Irvine, Ca | Apr 28, 2023 | 12 y | 0 |
| E••• E••••••••• | Irvine, Ca | Apr 8, 2024 | 13 y | 0 |
| L•••• T•••• P••••••• | Irvine, Ca | Jan 6, 2025 | 13 y | 0 |
| S••• M•••••• J•••••• | Irvine, Ca | Jun 11, 2025 | 10 y | 0 |
| S••• C••••••••• S•••••• | Irvine, Ca | Sep 3, 2025 | 13 y | 0 |
| J•• J•• F•••••• | Redlands, Ca | Dec 15, 2025 | 20 y | 1 |
| M•••••• R••• F•••••• | Irvine, Ca | Mar 25, 2026 | 13 y | 0 |
| A••••• N•••••• C••••••• | Irvine, Ca | Sep 5, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••• J•••• L•• to B••• Z••• W••••• A•••••••• L••Jan 29, 2020 · RIA to RIA
- C••••••••• J••••• B••• to C•••••• C•••••• A•••••••Dec 17, 2019 · RIA to a state-registered adviser
Joined, latest
- J•• J•• F•••••• from J••••• I••••••••• I•••Dec 15, 2025 · Other
- L••• A•••••• M••••••• from B••••••••• P••••••••• I•••Apr 20, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• J•••• M•••••• · Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- R••••••• D•••••• A•••• · Co-Presidentcontrolsince 05/2021 · owns 50% to 75%
- S••••••• R•••••• T••• · Co-Presidentcontrolsince 05/2021 · owns 25% to 50%
- C•••• J•••••••• A•••• · Ownersince 01/2021 · owns less than 5%
- D• L• C•••• D••••• S••• · Chief Compliance Officersince 03/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 23 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 31, 2026R••••••• D•••••• A•••• (CO-PRESIDENT) left Schedule A between the filings of 2024-03-26 and 2026-07-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 31, 2026S••••••• R•••••• T••• (CO-PRESIDENT) left Schedule A between the filings of 2024-03-26 and 2026-07-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 6,784 to 7,132Jan 14, 2026 to Mar 25, 2026
- Advisory employees · 20 to 21Jan 14, 2026 to Mar 25, 2026
- Charity clients · 42 to 47Jan 14, 2026 to Mar 25, 2026
- Corporate clients · 40 to 38Jan 14, 2026 to Mar 25, 2026
- HNW clients · 920 to 974Jan 14, 2026 to Mar 25, 2026
- Individual clients · 2,327 to 2,410Jan 14, 2026 to Mar 25, 2026
- Pension plan clients · 132 to 125Jan 14, 2026 to Mar 25, 2026
- Employees · 20 to 21Jan 14, 2026 to Mar 25, 2026
- Financial planning clients · to 0Jan 14, 2026 to Mar 25, 2026
- State-registered IARs · 20 to 21Jan 14, 2026 to Mar 25, 2026
- Discretionary RAUM · $4.5B to $4.9BJan 14, 2026 to Mar 25, 2026
- HNW RAUM · $3.6B to $3.9BJan 14, 2026 to Mar 25, 2026
- Individual RAUM · $608M to $625MJan 14, 2026 to Mar 25, 2026
- Pension RAUM · $215M to $216MJan 14, 2026 to Mar 25, 2026
- RAUM · $4.5B to $4.9BJan 14, 2026 to Mar 25, 2026
- Advisory employees · 18 to 20Nov 8, 2024 to Mar 20, 2025
- Accounts · 6,440 to 6,784Nov 8, 2024 to Mar 20, 2025
- Charity clients · 34 to 42Nov 8, 2024 to Mar 20, 2025
- Corporate clients · 35 to 40Nov 8, 2024 to Mar 20, 2025
- HNW clients · 884 to 920Nov 8, 2024 to Mar 20, 2025
- Individual clients · 2,223 to 2,327Nov 8, 2024 to Mar 20, 2025
- Pension plan clients · 134 to 132Nov 8, 2024 to Mar 20, 2025
- Employees · 18 to 20Nov 8, 2024 to Mar 20, 2025
- Financial planning clients · unset to Nov 8, 2024 to Mar 20, 2025
- State-registered IARs · 18 to 20Nov 8, 2024 to Mar 20, 2025
- Other offices · 0 to 1Nov 8, 2024 to Mar 20, 2025
- Discretionary RAUM · $4.2B to $4.5BNov 8, 2024 to Mar 20, 2025
- HNW RAUM · $3.3B to $3.6BNov 8, 2024 to Mar 20, 2025
- Individual RAUM · $576M to $608MNov 8, 2024 to Mar 20, 2025
- Pension RAUM · $221M to $215MNov 8, 2024 to Mar 20, 2025
- RAUM · $4.2B to $4.5BNov 8, 2024 to Mar 20, 2025
- Accounts · 6,222 to 6,440Nov 20, 2023 to Mar 26, 2024
- Advisory employees · 15 to 18Nov 20, 2023 to Mar 26, 2024
- Charity clients · 31 to 34Nov 20, 2023 to Mar 26, 2024
- HNW clients · 769 to 884Nov 20, 2023 to Mar 26, 2024
- Individual clients · 2,273 to 2,223Nov 20, 2023 to Mar 26, 2024
- Pension plan clients · 143 to 134Nov 20, 2023 to Mar 26, 2024
- Employees · 15 to 18Nov 20, 2023 to Mar 26, 2024
- State-registered IARs · 15 to 18Nov 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $3.5B to $4.2BNov 20, 2023 to Mar 26, 2024
Signals
2 dated events
- P•••••• M••••••••• G•••• I•• reported RAUM $3.7B, up 27% from $2.9B (2021-04-22 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- M•••• Lori Munoz-R•••••• (Director) no longer on Schedule A of P•••••• M••••••••• G•••• I•• (listed 2020-03-25, absent 2020-04-13)Apr 13, 2020 · Control person left · inference
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
- Business phone
- 949-752-2299reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-752-7500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••••MANAGEMENTGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-752-7500reportedpublic record, Form ADV, Jul 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026