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
S••••••••• C•••••• M••••••••• I••
Latest filing Apr 2, 2026
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since Jan 6, 1969
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$258M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$269M
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
16 filings and snapshots on the tape
RAUM$269M as of Apr 2, 2026
Mar 29, 2012$393M then
HNW client RAUM$244M as of Apr 2, 2026
Mar 29, 2018$157M then
State-registered IARs (5.B.3)1 as of Apr 2, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Apr 2, 2026
Mar 27, 201310 then
Private funds: no history
RAUM -14% over the last fiscal year-6.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $269MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M91%
- Individuals$14.4M5.4%
- Pension and profit-sharing plans$7.9M2.9%
- Charitable organizations$2.4M0.9%
- Individual clients
- 130reported
- HNW clients
- 79reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 212reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• F•••••• G•••••• | Los Angeles, Ca | Nov 20, 2025 | 14 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
- J••• A••••• B••••••• to A•••••• C••••••• I••Jul 16, 2010 · Other
- B•••• P••••• J••••• to F•••• W•••••• I••••••••• M••••••••• I•••Aug 6, 2009 · Other
Joined, latest
- J••• A••••• B••••••• from A•••••• C•••••• P•••••••• I••Nov 6, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• R••••••• C•••• · Chief Executive Officer, President & Managing Directorcontrolsince 08/1979 · owns 50% to 75%
- N•••••• D••••• L••• · Chief Compliance Officer, Executive Vice President, Corporate Secretary, Chief Financial Officer & Managing Directorcontrolsince 08/1973 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 251 to 212Apr 1, 2025 to Apr 2, 2026
- Charity clients · 2 to 1Apr 1, 2025 to Apr 2, 2026
- Corporate clients · 2 to 0Apr 1, 2025 to Apr 2, 2026
- HNW clients · 91 to 79Apr 1, 2025 to Apr 2, 2026
- Individual clients · 154 to 130Apr 1, 2025 to Apr 2, 2026
- Discretionary RAUM · $311M to $269MApr 1, 2025 to Apr 2, 2026
- HNW RAUM · $280M to $244MApr 1, 2025 to Apr 2, 2026
- Individual RAUM · $20.7M to $14.4MApr 1, 2025 to Apr 2, 2026
- Pension RAUM · $6.2M to $7.9MApr 1, 2025 to Apr 2, 2026
- RAUM · $311M to $269MApr 1, 2025 to Apr 2, 2026
- Accounts · 284 to 251Mar 27, 2024 to Apr 1, 2025
- Advisory employees · 6 to 5Mar 27, 2024 to Apr 1, 2025
- Corporate clients · 3 to 2Mar 27, 2024 to Apr 1, 2025
- HNW clients · 98 to 91Mar 27, 2024 to Apr 1, 2025
- Individual clients · 179 to 154Mar 27, 2024 to Apr 1, 2025
- Employees · 6 to 5Mar 27, 2024 to Apr 1, 2025
- Financial planning clients · unset to Mar 27, 2024 to Apr 1, 2025
- Discretionary RAUM · $292M to $311MMar 27, 2024 to Apr 1, 2025
- HNW RAUM · $259M to $280MMar 27, 2024 to Apr 1, 2025
- Individual RAUM · $22.5M to $20.7MMar 27, 2024 to Apr 1, 2025
- Pension RAUM · $5.4M to $6.2MMar 27, 2024 to Apr 1, 2025
- RAUM · $292M to $311MMar 27, 2024 to Apr 1, 2025
- Accounts · 316 to 284Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 5 to 3Mar 30, 2023 to Mar 27, 2024
- HNW clients · 104 to 98Mar 30, 2023 to Mar 27, 2024
- Individual clients · 202 to 179Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $327M to $292MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $288M to $259MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $25.1M to $22.5MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.3M to $0Mar 30, 2023 to Mar 27, 2024
- Pension RAUM · $4.2M to $5.4MMar 30, 2023 to Mar 27, 2024
- RAUM · $329M to $292MMar 30, 2023 to Mar 27, 2024
- Accounts · 356 to 316Apr 1, 2022 to Mar 30, 2023
- Charity clients · 4 to 2Apr 1, 2022 to Mar 30, 2023
- HNW clients · 127 to 104Apr 1, 2022 to Mar 30, 2023
- Individual clients · 216 to 202Apr 1, 2022 to Mar 30, 2023
- Pension plan clients · 4 to 2Apr 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $435M to $327MApr 1, 2022 to Mar 30, 2023
- HNW RAUM · $371M to $288MApr 1, 2022 to Mar 30, 2023
- Individual RAUM · $44.5M to $25.1MApr 1, 2022 to Mar 30, 2023
Signals
2 dated events
- Helene Karen Parris (Executive Vice President & Managing Director) no longer on Schedule A of S••••••••• C•••••• M••••••••• I•• (listed 2022-04-01, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- William Matthew Markatos (Executive Vice President & Managing Director) no longer on Schedule A of S••••••••• C•••••• M••••••••• I•• (listed 2019-03-27, absent 2020-05-07)May 7, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-277-1450reportedpublic record, Form ADV, Apr 2, 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
- $269Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026