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
B•••••• I••••••••• P•••••••• L•
Latest filing Apr 10, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Aug 8, 1985
RAUM
$41B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
8.5%
$3.4B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$1.7B
derived; firm RAUM over IAPD count
Employees
149
35 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
18
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$41B as of Apr 10, 2026
Mar 30, 2012$33B then
HNW client RAUM$1.8B as of Apr 10, 2026
Mar 16, 2018$178M then
State-registered IARs (5.B.3)24 as of Apr 10, 2026
Mar 21, 201369 then
Employees (5.A)149 as of Apr 10, 2026
Mar 21, 2013236 then
Private funds18 as of Apr 10, 2026
Mar 30, 201220 then
RAUM +52% over the last fiscal year+32% a year over threeIARs 25 to 24
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
- RAUM per advisor
- $1.7BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 465derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.2derivedItem 5.A over advisors
- Advisors per office
- 12.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- -4.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $2.4B, 18 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$15B37%
- Other investment advisers$9.7B24%
- Investment companies$5.9B15%
- Pooled investment vehicles$3.7B9.1%
- Corporations and businesses$2.1B5.1%
- High-net-worth individuals$1.8B4.5%
- Individuals$1.6B4.0%
- Pension and profit-sharing plans$642M1.6%
- Charitable organizations$165M0.4%
- Individual clients
- 9,723reported
- HNW clients
- 1,444reported
- Pension plan clients
- 209reported
- Charitable clients
- 112reported
- Accounts
- 13,504reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $4.3B managedreported
- Custody of client assets
- $2.4B for 18 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.08 fund_share=0.47 institutional_share=0.39 related_bd=false related_bank=false bd_reps=20.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• R•••••• C••••••Chartered Financial Analyst | La Jolla, Ca | May 1, 1996 | 35 y | 0 |
| M•••••• C••••••• J•••••• | San Diego, Ca | May 1, 1996 | 33 y | 0 |
| L••••••• A••• T••••• | La Jolla, Ca | May 1, 1996 | 31 y | 0 |
| R•• E•••• L•••• | San Diego, Ca | Jul 8, 1997 | 37 y | 0 |
| M••••• C••••• O••• | La Jolla, Ca | Feb 5, 1999 | 27 y | 0 |
| T•••••• M• D••••Chartered Financial Analyst | La Jolla, Ca | Apr 30, 2000 | 32 y | 1 |
| C•••••• S• G••••••• | La Jolla, Ca | Jun 28, 2000 | 26 y | 1 |
| G•••• W••••• D••••• | San Diego, Ca | Aug 3, 2000 | 31 y | 0 |
| M••••••• L••• I••••••• | San Diego, Ca | Nov 6, 2000 | 30 y | 0 |
| P••••• S••••• J•••••• | San Diego, Ca | Aug 16, 2002 | 24 y | 0 |
| R••••• K•• B••••• | La Jolla, Ca | Jan 9, 2003 | 38 y | 0 |
| C••• M•••••• J••••• | La Jolla, Ca | May 19, 2006 | 21 y | 0 |
| A•••••• T••••••• B••••••• | La Jolla, Ca | May 22, 2006 | 24 y | 0 |
| M•••••• J•••• M••••• | La Jolla, Ca | Mar 9, 2007 | 24 y | 0 |
| R••••• P••• M••••••• | La Jolla, Ca | Dec 3, 2012 | 23 y | 0 |
| J••••• I•••••• F•••••••• | San Diego, Ca | Jun 25, 2014 | 18 y | 0 |
| S•••• S••••• S••••• | La Jolla, Ca | Oct 15, 2014 | 18 y | 0 |
| T••• K•••••• P•••••• | La Jolla, Ca | Jul 14, 2015 | 12 y | 0 |
| K•••• M• G••••• | La Jolla, Ca | Jan 7, 2020 | 22 y | 2 |
| J••• P••••• K•••• | San Diego, Ca | Feb 26, 2020 | 28 y | 3 |
| T•••••• J•••• N•••••• | La Jolla, Ca | Jul 17, 2020 | 24 y | 0 |
| J••••• W••••• B••••••••• | La Jolla, Ca | Apr 29, 2024 | 14 y | 0 |
| M•••••• B•••• I•••••Chartered Financial Analyst | La Jolla, Ca | Jan 1, 2026 | 32 y | 0 |
| D••••• C•••••• M•••••• | Winchester, Ma | May 8, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- T••••• H••••• to N•••••••• B••••• B• L••Sep 10, 2025 · Other
- V••••• J•••• G••••••• to A••••••••• F•••••••• S•••••••• L••Nov 9, 2022 · Other
- W•••••• T• H••••• to E•••• V•••• M•••••••••Nov 12, 2021 · Other
- K•••• G••••• K•••• to F••••• I•••••••••Dec 2, 2020 · Other
- T••••• J•••• S•••••••• to C•••••• I••••••••• M••••••••• L••Dec 2, 2020 · Other
- B•••• P••••• J•••• to C•••••• S••••• • C••• I•••Mar 25, 2019 · Other
- C••••••••• M••• B••••••••• to M•• I•••••••• S•••••••• L••Jul 3, 2018 · Other
- T••••• E••••• Z•••••••• to N••••• A•••• M••••••••• L••Jun 4, 2018 · Other
- A••••• R••••• N••••• to S••• C•••••• A•••••••• L••Apr 23, 2018 · Other
- L••• M•••• G•••••• to R••••• F•••••••• A•••••••Feb 2, 2018 · Other
- M••• D••••• F•••• to B••••• P••••• A•••••••• L••Dec 31, 2015 · Other
- W•••••• J••• D••• to W•••• F•••• A•••••••Aug 10, 2015 · Other
- A••••••• I••••••• C••• to N••••• C•••••• L••Aug 21, 2013 · Other
- J••••• P•••••• A••• to Z•••••• W••••• P•••••••Aug 21, 2013 · Other
- C•••••••• R••• A•••• to T• R••• P•••• A••••••• S•••••••• I•••May 1, 2013 · Other
Joined, latest
- T••••• H••••• from D••••••••• F••• A••••••• L•Apr 19, 2022 · Other
- J••• P••••• K•••• from N••••• A•••• M••••••••• L••Feb 26, 2020 · Other
- K•••• M• G••••• from O••••••••• • C•• I•••Jan 7, 2020 · Other
- T••••• E••••• Z•••••••• from C••••••• M••••••••• I••••••••• A•••••••• L••Aug 19, 2014 · Other
- C••••••••• M••• B••••••••• from A••••••• C•••••• P•••••••Sep 9, 2013 · Other
- K•••• G••••• K•••• from E•••••••• M••••• A•••••••• L••Apr 5, 2013 · Other
- T••••• J•••• S•••••••• from B•••••••• I••••••••• M••••••••• L••Nov 15, 2012 · Other
- J•••• L••• A••••••• from N••••••••• C•••••• M••••••••• L••Jul 30, 2003 · Other
- C•••••• S• G••••••• from B•••••• F•••• I••••• P•••••••• I••Jun 28, 2000 · Other
- L••••••• J••• P•••••• from B•••••• F•••• I••••• P•••••••• I••Jun 8, 2000 · Other
Private funds
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• N••••••• S•••• C•• P•••••••• I• | Other Private Fund | $459M | 25 | Mar 21, 2013 |
| B•••••• E••••••• M•••••• E••••• P•••••••• I• | Other Private Fund | $357M | 28 | Mar 30, 2012 |
| B•••••• N••••••• E••••• P•••••••• | Other Private Fund | $162M | 11 | Mar 30, 2012 |
| B•••••• G••••• S•••• C•• P•••••••• | Other Private Fund | $125M | 11 | Mar 30, 2012 |
| B•••••• G••••• E••••• P•••••••• | Other Private Fund | $104M | 10 | Mar 30, 2012 |
| B•••••• G••••• S•••••••• C•• P•••••••• | Other Private Fund | $88.6M | 13 | Mar 30, 2012 |
| B•••••• C••• P••• F•••• I••••• P•••••••• | Other Private Fund | $58.6M | 7 | Mar 30, 2012 |
| B•••••• G••••• O••••••••• V•••• P•••••••• | Other Private Fund | $38.6M | 8 | Mar 21, 2013 |
| B•••••• U••• E••••• P•••••••• | Other Private Fund | $36.9M | 5 | Mar 30, 2012 |
| B•••••• A••• ••••••••• E••••• P•••••••• | Other Private Fund | $23.2M | 13 | Mar 30, 2012 |
| B•••••• J•••• E••••• P•••••••• | Other Private Fund | $13.7M | 10 | Mar 30, 2012 |
| B•••••• E••••• E••••• P•••••••• | Other Private Fund | $12.7M | 8 | Mar 30, 2012 |
| B•••••• C•••••••• F•••• F•••• I••••• P••••••••no longer reported | Other Private Fund | $11.6M | 5 | Mar 30, 2012 |
| B•••••• N••••••• S•••••••• C•• P•••••••• | Other Private Fund | $9.5M | 6 | Mar 30, 2012 |
| B•••••• U••• S•••• C•• P•••••••• | Other Private Fund | $8.5M | 3 | Mar 30, 2012 |
| B•••••• G••••• M•••• C•• P••••••••no longer reported | Other Private Fund | $8.3M | 9 | Mar 30, 2012 |
| B•••••• C••• F•••• I••••• P••••••••no longer reported | Other Private Fund | $7.4M | 2 | Mar 30, 2012 |
| B•••••• U••• S•••••••• C•• P•••••••• | Other Private Fund | $6.5M | 6 | Mar 30, 2012 |
| B•••••• N••••••• S•••• C•• P••••••••no longer reported | Other Private Fund | $4.9M | 3 | Mar 30, 2012 |
| B•••••• G••••• S•••••••• C•• A•• O•••no longer reported | Other Private Fund | $4.2M | 2 | Mar 30, 2012 |
| B•••••• E••••••• M•••••• V•••• P•••••••• | Other Private Fund | $2.9M | 7 | Mar 30, 2012 |
| B•••••• E••••••• I••••• P••••••••no longer reported | Other Private Fund | $1.5M | 5 | Mar 30, 2012 |
| B•••••• E••••••• M•••••• ••••••••• E••••• P•••••••• | Other Private Fund | $420,147 | 4 | Mar 29, 2021 |
| B•••••• G••••• E••••• I••••• P•••••••• | Other Private Fund | $247,530 | 3 | Mar 27, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• G••••• R•••••• · Executive Directorcontrolsince 02/2013 · owns less than 5%
- F••••••••• S••••••• K••• · Operations Directorcontrolsince 09/2011 · owns less than 5%
- K•••••••• K••••• M•••••• · Director Of Human Resourcescontrolsince 01/2021 · owns less than 5%
- L•••••• K••••••• D••••• · Managing Director Of Investmentscontrolsince 02/2013 · owns less than 5%
- L••••••• R••••••• L•• · Global Head Of Compliance (Chief Compliance Officer)controlsince 08/2010 · owns less than 5%
- M•••••• O•••••• M•••••• · Chief Executive Officercontrolsince 05/2024 · owns less than 5%
- N•••••••• J••• K••••• · Finance Directorcontrolsince 03/2022 · owns less than 5%
- S••••••• J••••• · Trading Directorcontrolsince 04/2007 · owns less than 5%
- T•••••• D•••• · Managing Director P•••••••• Management And Client Servicecontrolsince 09/2024 · owns less than 5%
- W••••• B••••• V••••••• · Executive Directorcontrolsince 05/2024 · owns less than 5%
- C••••••• G••••• R•••••• · Membercontrolsince 02/2018 · owns 50% to 75% of C••••• L••
Entity owners
- B•••••• W•••••••• H•••••••• L••• · L•••••• Partnerdirect · owns 75% or more
- C••••• L•• · General Partnerdirect · owns less than 5%
- C••••• L•• · General Partnerindirect · owns F of B•••••• W•••••••• H•••••••• L•••
Related persons
Schedule D 7.A
- B•••••• I••••••••• P••••••• ••••• P•• L••investment advisern
- B•••••• I••••••••• P••••••• ••••••• L••••••investment advisern
- B•••••• I••••••••• P••••••• • C••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 17 | 2 | 0 | ||
| San Diego, Ca | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Brookfield, WI4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 10, 2026RAUM (Item 5.F) moved from $26,686,881,169 to $40,646,678,109 (+52.0%) between the annual amendments of 2025-03-28 and 2026-04-10; the peer median change was +11.0% (113 comparable advisers, 94.0th percentile of changes)peers: other advisers, $20B and over (113) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 10,588 to 13,504Nov 18, 2025 to Mar 25, 2026
- Advisory employees · 34 to 35Nov 18, 2025 to Mar 25, 2026
- BD registered reps · 21 to 20Nov 18, 2025 to Mar 25, 2026
- Charity clients · 97 to 112Nov 18, 2025 to Mar 25, 2026
- Corporate clients · 353 to 1,951Nov 18, 2025 to Mar 25, 2026
- HNW clients · 1,004 to 1,444Nov 18, 2025 to Mar 25, 2026
- Individual clients · 8,867 to 9,723Nov 18, 2025 to Mar 25, 2026
- Pension plan clients · 207 to 209Nov 18, 2025 to Mar 25, 2026
- Assets in custody · $1.5B to $2.4BNov 18, 2025 to Mar 25, 2026
- Employees · 143 to 149Nov 18, 2025 to Mar 25, 2026
- State-registered IARs · 25 to 24Nov 18, 2025 to Mar 25, 2026
- Private funds · 17 to 18Nov 18, 2025 to Mar 25, 2026
- Discretionary RAUM · $26B to $40BNov 18, 2025 to Mar 25, 2026
- HNW RAUM · $1.1B to $1.8BNov 18, 2025 to Mar 25, 2026
- Individual RAUM · $1.7B to $1.6BNov 18, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $562M to $913MNov 18, 2025 to Mar 25, 2026
- Pension RAUM · $429M to $642MNov 18, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $2.6B to $3.7BNov 18, 2025 to Mar 25, 2026
- RAUM · $27B to $41BNov 18, 2025 to Mar 25, 2026
- Wrap assets (manager) · $2.5B to $4.3BNov 18, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 18, 2025
- Accounts · 9,220 to 10,588Nov 7, 2024 to Mar 28, 2025
- Advisory employees · 35 to 34Nov 7, 2024 to Mar 28, 2025
- BD registered reps · 23 to 21Nov 7, 2024 to Mar 28, 2025
- Corporate clients · 365 to 353Nov 7, 2024 to Mar 28, 2025
- HNW clients · 810 to 1,004Nov 7, 2024 to Mar 28, 2025
- Individual clients · 7,675 to 8,867Nov 7, 2024 to Mar 28, 2025
- Pension plan clients · 213 to 207Nov 7, 2024 to Mar 28, 2025
- Pooled vehicle clients · 26 to 27Nov 7, 2024 to Mar 28, 2025
- Employees · 141 to 143Nov 7, 2024 to Mar 28, 2025
- State-registered IARs · 33 to 25Nov 7, 2024 to Mar 28, 2025
- Private funds · 18 to 17Nov 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $22B to $26BNov 7, 2024 to Mar 28, 2025
- HNW RAUM · $883M to $1.1BNov 7, 2024 to Mar 28, 2025
- Individual RAUM · $1.6B to $1.7BNov 7, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $513M to $562MNov 7, 2024 to Mar 28, 2025
- Pension RAUM · $482M to $429MNov 7, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.8B to $2.6BNov 7, 2024 to Mar 28, 2025
- RAUM · $22B to $27BNov 7, 2024 to Mar 28, 2025
- Wrap assets (manager) · $2.3B to $2.5BNov 7, 2024 to Mar 28, 2025
Signals
10 dated events
- B•••••• I••••••••• P•••••••• L• reported RAUM $40.6B, up 52% from $26.7B (2025-11-18 to 2026-03-25)Mar 25, 2026 · ria raum c•••ge · derived
- T••••• H••••• left B•••••• I••••••••• P•••••••• L• for N•••••••• B••••• B• L•• (registered 2025-09-05)Sep 10, 2025 · advisor firm c•••ge · fact
- Dylan Turner (Managing Director Portfolio Management And Client Service) appeared on Schedule A of B•••••• I••••••••• P•••••••• L•Nov 7, 2024 · Control person joined · fact
- B•••••• I••••••••• P•••••••• L• reported RAUM $22.2B, up 27% from $17.5B (2023-11-10 to 2024-03-28)Mar 28, 2024 · ria raum c•••ge · derived
- Atwood Jeffrey Busby (Executive Director) no longer on Schedule A of B•••••• I••••••••• P•••••••• L• (listed 2023-11-10, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michele Karen Kaligian (Director Of Human Resources) appeared on Schedule A of B•••••• I••••••••• P•••••••• L•Mar 28, 2024 · Control person joined · fact
- V••••• J•••• G••••••• left B•••••• I••••••••• P•••••••• L• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-04-21)Nov 9, 2022 · advisor firm c•••ge · fact
- Kazumi Jon Nakagawa (Finance Director) appeared on Schedule A of B•••••• I••••••••• P•••••••• L•Mar 29, 2022 · Control person joined · fact
- Kenji Gary Iwamura (Finance Director) no longer on Schedule A of B•••••• I••••••••• P•••••••• L• (listed 2021-09-30, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Nigel Ian Rose (General Counsel) no longer on Schedule A of B•••••• I••••••••• P•••••••• L• (listed 2021-03-29, absent 2021-09-30)Sep 30, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- B•••••• I••••••••• P•••••••• L• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/brandes-investment-partners/?viewAsMembreportedpublic record, Form ADV, Sep 18, 2026
- Website
- B••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-755-0239reportedpublic record, Form ADV, Apr 10, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.7Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026