DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••• H••• A•••• M••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since May 15, 1986
RAUM
$271M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$207M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$271M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$271M as of Mar 30, 2026
Mar 30, 2012$164M then
HNW client RAUM$161M as of Mar 30, 2026
Mar 29, 2018$189M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20131 then
Employees (5.A)6 as of Mar 30, 2026
Mar 28, 20138 then
Private funds1 as of Mar 30, 2026
Mar 30, 20121 then
RAUM -0.6% over the last fiscal year-1.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $271MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.6%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $50.7M, 1 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$161M59%
- Pooled investment vehicles$50.7M19%
- Individuals$45.9M17%
- Pension and profit-sharing plans$13.4M4.9%
- Individual clients
- 109reported
- HNW clients
- 71reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 186reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.7M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.76 fund_share=0.19 institutional_share=0.05 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 |
|---|---|---|---|---|
| C••••••• T••••• L•••••••• | Pasadena, Ca | Nov 26, 2025 | 40 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• H••• P••••••• L••• | Hedge Fund | $53.6M | 18 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••••••• C•••••••• T••••• · President, Treasurer, And Chief Compliance Officercontrolsince 03/1986 · owns 75% or more
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 · 198 to 186Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 3 to 2Mar 28, 2025 to Mar 30, 2026
- HNW clients · 75 to 71Mar 28, 2025 to Mar 30, 2026
- Individual clients · 117 to 109Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $53.5M to $50.7MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $273M to $271MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $159M to $161MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $48.8M to $45.9MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $11.6M to $13.4MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $53.5M to $50.7MMar 28, 2025 to Mar 30, 2026
- RAUM · $273M to $271MMar 28, 2025 to Mar 30, 2026
- Accounts · 220 to 198Dec 3, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Dec 3, 2024 to Mar 28, 2025
- HNW clients · 76 to 75Dec 3, 2024 to Mar 28, 2025
- Individual clients · 138 to 117Dec 3, 2024 to Mar 28, 2025
- Assets in custody · $53.6M to $53.5MDec 3, 2024 to Mar 28, 2025
- Employees · 8 to 6Dec 3, 2024 to Mar 28, 2025
- Financial planning clients · unset to Dec 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $280M to $273MDec 3, 2024 to Mar 28, 2025
- HNW RAUM · $159M to $159MDec 3, 2024 to Mar 28, 2025
- Individual RAUM · $56.3M to $48.8MDec 3, 2024 to Mar 28, 2025
- Pension RAUM · $10.8M to $11.6MDec 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $53.6M to $53.5MDec 3, 2024 to Mar 28, 2025
- RAUM · $280M to $273MDec 3, 2024 to Mar 28, 2025
- Accounts · 255 to 220Mar 31, 2023 to Mar 27, 2024
- HNW clients · 74 to 76Mar 31, 2023 to Mar 27, 2024
- Individual clients · 172 to 138Mar 31, 2023 to Mar 27, 2024
- Pension plan clients · 8 to 5Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $49.7M to $53.6MMar 31, 2023 to Mar 27, 2024
- Employees · 7 to 8Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $282M to $280MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $148M to $159MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $70.9M to $56.3MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $13.8M to $10.8MMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $49.7M to $53.6MMar 31, 2023 to Mar 27, 2024
- RAUM · $282M to $280MMar 31, 2023 to Mar 27, 2024
- Accounts · 287 to 255Apr 1, 2022 to Mar 31, 2023
- Advisory employees · 7 to 4Apr 1, 2022 to Mar 31, 2023
- HNW clients · 93 to 74Apr 1, 2022 to Mar 31, 2023
- Individual clients · 183 to 172Apr 1, 2022 to Mar 31, 2023
Signals
No event on the tape.
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
- 626-431-2685reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- RH•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 626-431-2685reportedpublic record, Form ADV, Mar 30, 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
- $271Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026