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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Former SEC-registered adviser
D•••••• • Y•••••• L••
Latest filing Mar 1, 2023
First filing on the tape Mar 28, 2012 · 75 filings
RAUM
$6.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$5.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
56
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$6.1B as of Mar 31, 2022
Mar 28, 2012$2.0B then
HNW client RAUM$5.6B as of Mar 31, 2022
Mar 29, 2018$3.7B then
State-registered IARs (5.B.3)25 as of Mar 31, 2022
Mar 28, 20120 then
Employees (5.A)56 as of Mar 31, 2022
Mar 28, 201328 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 25 to 25
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
- RAUM per advisor
- $245MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 25.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $22.6M, 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)
- 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$5.6B92%
- Charitable organizations$246M4.0%
- Individuals$94.6M1.5%
- Corporations and businesses$63.0M1.0%
- Pension and profit-sharing plans$59.7M1.0%
- Individual clients
- 153reported
- HNW clients
- 1,196reported
- Pension plan clients
- 13reported
- Charitable clients
- 34reported
- Accounts
- 4,834reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.6M for 18 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- E•••• F••••••••• V••• to C••••••Mar 31, 2023 · RIA to RIA
- W•••••• G•••• B••••• to C••••••Mar 31, 2023 · RIA to RIA
- A••• E• D••• to C••••••Mar 31, 2023 · RIA to RIA
- J••• M•••••• P••••• to C••••••Mar 31, 2023 · RIA to RIA
- M•••••• R••• A•••• to C••••••Mar 31, 2023 · RIA to RIA
- M•••••• S• B•••• to C••••••Mar 31, 2023 · RIA to RIA
- M•••••• N••••• S•••••• to C••••••Mar 31, 2023 · RIA to RIA
- J•••• T••••• E•••••••• to C••••••Mar 31, 2023 · RIA to RIA
- J•••••• M•••••• G•••••• to C••••••Mar 31, 2023 · RIA to RIA
- K••••••• A•••• U•••• to C••••••Mar 31, 2023 · RIA to RIA
- E••• H•••• N••••• to C••••••Mar 31, 2023 · RIA to RIA
- A••••• H••••• M••••••• to C••••••Mar 31, 2023 · RIA to RIA
- R••••• J••••• H••••• to C••••••Mar 31, 2023 · RIA to RIA
- B•••• R••••• H••••• to C••••••Mar 31, 2023 · RIA to RIA
- C•••• M••••• J•••••• to C••••••Mar 31, 2023 · RIA to RIA
Joined, latest
- A••••• Y•••••• K•• from P•••••• I••••••• A•••••••• L••Jul 26, 2022 · Other
- J•••• M•••••• A•••••••• from C•••••• S••••• • C••• I•••Apr 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••• M••••• J•••••• from W•••••• • R•••Mar 10, 2022 · Other
- J••• M•••••• P••••• from G•••• W••••• M••••••••• L••Dec 1, 2021 · Other
- M•••••• N••••• S•••••• from P••••••• W••••• L••Mar 22, 2021 · Other
- A••••• H••••• M••••••• from T•• G•••••• G••••Nov 20, 2020 · RIA to RIA
- O•••••• T••••• P•••• from D••••••••• F••• A••••••• L•Sep 16, 2019 · Other
- E••• H•••• N••••• from W•••••••• A•••• M•••••••••Aug 15, 2019 · RIA to RIA
- A••• E• D••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 12, 2018 · Wirehouse to independent RIA
- K•••• A•• F••••••• from D••••••• W••••• A•••••••• I•••Apr 30, 2018 · RIA to RIA
- M•••••• R••• A•••• from A••••••••• L••Aug 23, 2017 · Other
- G•••• A•••• W•••••• from A•••••• W••••• L•Dec 15, 2016 · Other
- B•••• R••• P•••••••• from E•••••••• A•••••••• L••Nov 6, 2014 · Other
- R•••••• L•••• K•••••• from C•••••• S••••• • C••• I•••Jul 29, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• W••••••• G•••• · Presidentcontrolsince 11/2013 · owns less than 5%
- N•••••••• L••••• T•••••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- Y•••••• D•••• E••••• · Chief Executive Officercontrolsince 09/2016 · owns less than 5%
- Z••••••• E••••• R••• · Compliance Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- C• P•••••• W•••••• L•• · Owner & Managing Memberdirect · owns 75% or more · public reporting company
- C• F•••••••• C•••• · Ownerindirect · owns 75% or more of C• U• H•••••••• I••• · public reporting company
- C• U• H•••••••• I••• · Ownerindirect · owns 75% or more of C••• H•••••••• L••
- C••• H•••••••• L•• · Ownerindirect · owns 75% or more of C• P•••••• W•••••• L••
Related persons
Schedule D 7.A
- C••••••investment adviseryRAUM $165B
- P•••••• P•••••••investment advisernRAUM $5.6B
Advisers that list D•••••• • Y•••••• L•• as a related person
- 305407 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $124M to $6.0BMar 31, 2022 to Apr 4, 2022
- Non-discretionary RAUM · $6.0B to $124MMar 31, 2022 to Apr 4, 2022
- Accounts · 4,733 to 4,834Jul 30, 2021 to Mar 31, 2022
- Corporate clients · 14 to 15Jul 30, 2021 to Mar 31, 2022
- HNW clients · 1,157 to 1,196Jul 30, 2021 to Mar 31, 2022
- Individual clients · 148 to 153Jul 30, 2021 to Mar 31, 2022
- Assets in custody · $18.1M to $22.6MJul 30, 2021 to Mar 31, 2022
- Employees · 54 to 56Jul 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.6B to $124MJul 30, 2021 to Mar 31, 2022
- HNW RAUM · $5.3B to $5.6BJul 30, 2021 to Mar 31, 2022
- Individual RAUM · $85.9M to $94.6MJul 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $103M to $6.0BJul 30, 2021 to Mar 31, 2022
- Pension RAUM · $62.0M to $59.7MJul 30, 2021 to Mar 31, 2022
- RAUM · $5.7B to $6.1BJul 30, 2021 to Mar 31, 2022
- Related adviser · false to trueJul 30, 2021 to Mar 31, 2022
- Accounts · 5,033 to 4,733Apr 30, 2021 to Jul 1, 2021
- Corporate clients · 15 to 14Apr 30, 2021 to Jul 1, 2021
- HNW clients · 1,150 to 1,157Apr 30, 2021 to Jul 1, 2021
- Individual clients · 158 to 148Apr 30, 2021 to Jul 1, 2021
- Custody of client assets · false to trueApr 30, 2021 to Jul 1, 2021
- Discretionary RAUM · $5.7B to $5.6BApr 30, 2021 to Jul 1, 2021
- HNW RAUM · $5.3B to $5.3BApr 30, 2021 to Jul 1, 2021
- Individual RAUM · $85.6M to $85.9MApr 30, 2021 to Jul 1, 2021
- Non-discretionary RAUM · $0 to $103MApr 30, 2021 to Jul 1, 2021
- Pension RAUM · $60.6M to $62.0MApr 30, 2021 to Jul 1, 2021
- RAUM · $5.7B to $5.7BApr 30, 2021 to Jul 1, 2021
- Accounts · 4,910 to 5,033Mar 31, 2021 to Apr 30, 2021
- Corporate clients · 12 to 15Mar 31, 2021 to Apr 30, 2021
- HNW clients · 1,123 to 1,150Mar 31, 2021 to Apr 30, 2021
- Individual clients · 156 to 158Mar 31, 2021 to Apr 30, 2021
- Assets in custody · unset to 18085253.0Mar 31, 2021 to Apr 30, 2021
- Discretionary RAUM · $5.5B to $5.7BMar 31, 2021 to Apr 30, 2021
- HNW RAUM · $5.1B to $5.3BMar 31, 2021 to Apr 30, 2021
- Individual RAUM · $77.8M to $85.6MMar 31, 2021 to Apr 30, 2021
- Pension RAUM · $58.8M to $60.6MMar 31, 2021 to Apr 30, 2021
- RAUM · $5.5B to $5.7BMar 31, 2021 to Apr 30, 2021
- Accounts · 4,490 to 4,910Dec 11, 2020 to Mar 31, 2021
- Charity clients · 31 to 34Dec 11, 2020 to Mar 31, 2021
- HNW clients · 1,066 to 1,123Dec 11, 2020 to Mar 31, 2021
- Individual clients · 150 to 156Dec 11, 2020 to Mar 31, 2021
Signals
39 dated events
- M•••••• N••••• S•••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- K••••••• A•••• U•••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- K•••• A•• F••••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2025-01-02)Mar 31, 2023 · Advisor changed firm · fact
- C•••• M••••• J•••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2025-01-01)Mar 31, 2023 · Advisor changed firm · fact
- M•••••• R••• A•••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- M•••••• S• B•••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- J•••• T••••• E•••••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- J•••••• M•••••• G•••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- E••• H•••• N••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- R••••• J••••• H••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2023-11-21)Mar 31, 2023 · Advisor changed firm · fact
- A••••• H••••• M••••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- A••••• Y•••••• K•• left D•••••• • Y•••••• L•• for C•••••• (registered 2025-01-06)Mar 31, 2023 · Advisor changed firm · fact
- B•••• R••••• H••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2024-03-20)Mar 31, 2023 · Advisor changed firm · fact
- W•••••• G•••• B••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- E•••• F••••••••• V••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- B•••• R••• P•••••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- G•••• A•••• W•••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- R•••••• M••• W••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- A••• E• D••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- J••• M•••••• P••••• left D•••••• • Y•••••• L•• for C•••••• (registered 2022-09-15)Mar 31, 2023 · Advisor changed firm · fact
- D•••••• • Y•••••• L••'s advisors moved to C•••••• (San Diego, CA): 20 of 20 registered, on the same dayMar 31, 2023 · Firm absorbed (people side) · derived
- J••••• Mark Munoz (Chief Operating Officer) no longer on Schedule A of D•••••• • Y•••••• L•• (listed 2022-09-09, absent 2023-03-01)Mar 1, 2023 · Control person left · inference
- Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of D•••••• • Y•••••• L••Mar 1, 2023 · Control person joined · fact
- H••••• P•••••• D••••• left D•••••• • Y•••••• L•• for M••••• W••••• (registered 2022-07-08)Jul 5, 2022 · Advisor changed firm · fact
- J•••• M•••••• A•••••••• left D•••••• • Y•••••• L•• for N•• M••••••••• G•••• (registered 2022-07-06)May 9, 2022 · Advisor changed firm · fact
- R••• E•••• Z•••••• (Chief Compliance Officer) appeared on Schedule A of D•••••• • Y•••••• L••Jul 30, 2021 · Control person joined · fact
- Triston Larry Nakamura (Chief Compliance Officer) no longer on Schedule A of D•••••• • Y•••••• L•• (listed 2021-07-06, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- C••••tine Alana Asmussen (Shareholder) no longer on Schedule A of D•••••• • Y•••••• L•• (listed 2021-04-30, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- S Michael Brown (Shareholder) no longer on Schedule A of D•••••• • Y•••••• L•• (listed 2021-04-30, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- J•••• Gregory Richardson (Shareholder) no longer on Schedule A of D•••••• • Y•••••• L•• (listed 2021-04-30, absent 2021-07-01)Jul 1, 2021 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026