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•• A••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 9, 2012 · 69 filings
SEC status approved since Oct 19, 1984
RAUM
$821M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$813M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$821M as of Mar 25, 2026
Mar 9, 2012$116M then
HNW client RAUM$633M as of Mar 25, 2026
Mar 8, 2018$136M then
State-registered IARs (5.B.3)5 as of Mar 25, 2026
Mar 9, 20120 then
Employees (5.A)5 as of Mar 25, 2026
Mar 4, 20136 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 25, 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
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $588,701derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$633M77%
- Individuals$180M22%
- Charitable organizations$4.2M0.5%
- Corporations and businesses$1.7M0.2%
- Pension and profit-sharing plans$1.4M0.2%
- Individual clients
- 445reported
- HNW clients
- 212reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,394reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• J••••• A•••••Certified Financial Planner | Torrance, Ca | Mar 10, 2004 | 38 y | 0 |
| S••••• F• S••••••• | Torrance, Ca | May 4, 2011 | 25 y | 0 |
| C•••• P••••• A•••••Certified Financial Planner, Chartered Financial Analyst | Palos Verdes Estates, Ca | May 4, 2011 | 20 y | 0 |
| P••• K••••• M•••• | Torrance, Ca | May 4, 2011 | 29 y | 0 |
| V•••• P••••• A•••••Certified Financial Planner | Torrance, Ca | Feb 23, 2017 | 10 y | 0 |
| C••••••••• A••••• S••••• | Torrance, Ca | Sep 29, 2017 | 30 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••• P••••• · Co-Senior Vice Presidentcontrolsince 01/2022 · owns 25% to 50%
- A•••••• P•••••• J••••• · President And Ceocontrolsince 12/2020 · owns 25% to 50%
- M••••• P•••• K••••• · Co-Senior Vice President And Ccocontrolsince 01/2022 · owns 25% to 50%
- A•••••• V••••• P••••• · Vice Presidentsince 01/2022 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••• A•••••• N••••••• L••broker-dealerinvestment adviserreal estatenRAUM $47B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,286 to 1,394Aug 19, 2025 to Mar 25, 2026
- HNW clients · 213 to 212Aug 19, 2025 to Mar 25, 2026
- Individual clients · 405 to 445Aug 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $702M to $819MAug 19, 2025 to Mar 25, 2026
- HNW RAUM · $559M to $633MAug 19, 2025 to Mar 25, 2026
- Individual RAUM · $138M to $180MAug 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.8M to $2.0MAug 19, 2025 to Mar 25, 2026
- Pension RAUM · $960,297 to $1.4MAug 19, 2025 to Mar 25, 2026
- RAUM · $704M to $821MAug 19, 2025 to Mar 25, 2026
- Accounts · 1,212 to 1,286Mar 18, 2024 to Mar 31, 2025
- HNW clients · 186 to 213Mar 18, 2024 to Mar 31, 2025
- Individual clients · 420 to 405Mar 18, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $604M to $702MMar 18, 2024 to Mar 31, 2025
- HNW RAUM · $460M to $559MMar 18, 2024 to Mar 31, 2025
- Individual RAUM · $143M to $138MMar 18, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.9M to $1.8MMar 18, 2024 to Mar 31, 2025
- Pension RAUM · $442,696 to $960,297Mar 18, 2024 to Mar 31, 2025
- RAUM · $606M to $704MMar 18, 2024 to Mar 31, 2025
- Accounts · 1,172 to 1,212May 25, 2023 to Feb 21, 2024
- HNW clients · 162 to 186May 25, 2023 to Feb 21, 2024
- Individual clients · 425 to 420May 25, 2023 to Feb 21, 2024
- Discretionary RAUM · $533M to $604MMay 25, 2023 to Feb 21, 2024
- HNW RAUM · $388M to $460MMay 25, 2023 to Feb 21, 2024
- Individual RAUM · $144M to $143MMay 25, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $2.1M to $1.9MMay 25, 2023 to Feb 21, 2024
- Pension RAUM · $856,484 to $442,696May 25, 2023 to Feb 21, 2024
- RAUM · $535M to $606MMay 25, 2023 to Feb 21, 2024
- Accounts · 1,086 to 1,172Jan 6, 2023 to Jan 31, 2023
- HNW clients · 180 to 162Jan 6, 2023 to Jan 31, 2023
- Individual clients · 375 to 425Jan 6, 2023 to Jan 31, 2023
- Discretionary RAUM · $574M to $533MJan 6, 2023 to Jan 31, 2023
- HNW RAUM · $444M to $388MJan 6, 2023 to Jan 31, 2023
- Individual RAUM · $130M to $144MJan 6, 2023 to Jan 31, 2023
- Non-discretionary RAUM · $2.3M to $2.1MJan 6, 2023 to Jan 31, 2023
- Pension RAUM · $703,120 to $856,484Jan 6, 2023 to Jan 31, 2023
- RAUM · $576M to $535MJan 6, 2023 to Jan 31, 2023
- Accounts · 989 to 1,086Jan 7, 2022 to Feb 15, 2022
- HNW clients · 137 to 180Jan 7, 2022 to Feb 15, 2022
- Individual clients · 379 to 375Jan 7, 2022 to Feb 15, 2022
Signals
1 dated events
- Chris Miloe (Ceo) no longer on Schedule A of A••••••••• A•• A••••••••• I••• (listed 2020-11-06, absent 2020-12-04)Dec 4, 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 email
- a•••••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-373-8861reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••M••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-373-8861reportedpublic record, Form ADV, Mar 25, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026