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.
Former SEC-registered adviser
Georgina Asset Management LLC
Latest filing Mar 31, 2025
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Jun 23, 2000
RAUM
$358M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
68%
$243M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$358M as of Mar 31, 2025
Mar 30, 2012$141M then
HNW client RAUM$242M as of Mar 31, 2025
Mar 29, 2018$150M then
State-registered IARs (5.B.3)2 as of Mar 31, 2025
Mar 30, 20120 then
Employees (5.A)3 as of Mar 31, 2025
Mar 27, 20132 then
Private funds1 as of Mar 31, 2025
Mar 31, 20141 then
RAUM +4.5% over the last fiscal year-4.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $18.6MderivedHNW RAUM over HNW clients
- Average account
- $19.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $117M, 10 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$242M68%
- Charitable organizations$114M32%
- Individuals$1.1M0.3%
- Pension and profit-sharing plans$1.1M0.3%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $117M for 10 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- Robert Howard Lipp to Arax Advisory PartnersNov 19, 2025 · RIA to RIA
- Anthony Lee Blueford to Arax Advisory PartnersNov 19, 2025 · RIA to RIA
- Connor Cody Pastoor to Jag Capital Management LLCJun 29, 2016 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Arax Advisory PartnersNov 19, 2025 · Santa Monica, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Kc Target Opportunity Fund I, LP | Venture Capital Fund | $4.3M | 35 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Lee Anthony Blueford · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- Howard Robert Lipp · Managing Directorcontrolsince 02/2024 · owns less than 5%
- Howard Robert Lipp · Trusteecontrolsince 05/2021 · owns F of Lipp 2021 Revocable Trust
Entity owners
- Gam Investment Holdings, LLC · Memberdirect · owns 75% or more
- Arax Business Trust · Memberindirect · owns 75% or more of Arax Investment Partners, LLC
- Arax Investment Partners, LLC · Memberindirect · owns 75% or more of Arax Midco, LLC
- Arax Midco, LLC · Memberindirect · owns 75% or more of Arax Wealth Management, LLC
- Arax Wealth Management, LLC · Memberindirect · owns 50% to 75% of Gam Investment Holdings, LLC
- Lipp 2021 Revocable Trust · Memberindirect · owns 75% or more of Westwood Financial Holdings, LLC
- Redbird Capital Partners Fund IV Genpar LLC · Trusteeindirect · owns F of Arax Business Trust
- Westwood Financial Holdings, LLC · Memberindirect · owns 25% to 50% of Gam Investment Holdings, LLC
Related persons
Schedule D 7.A
- 17th Street Partners Inc.pooled vehicle sponsorn
Advisers that list Georgina Asset Management LLC as a related person
- 153768 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 18Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $76.1M to $117MMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $125M to $157MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $216M to $242MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $5.4M to $1.1MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $218M to $201MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $1.1M to $1.1MMar 28, 2024 to Mar 31, 2025
- RAUM · $343M to $358MMar 28, 2024 to Mar 31, 2025
- HNW clients · 11 to 13Mar 31, 2023 to Mar 7, 2024
- Individual clients · 7.0 to unsetMar 31, 2023 to Mar 7, 2024
- Pooled vehicle clients · 0.0 to unsetMar 31, 2023 to Mar 7, 2024
- Assets in custody · $16.3M to $76.1MMar 31, 2023 to Mar 7, 2024
- Discretionary RAUM · $115M to $125MMar 31, 2023 to Mar 7, 2024
- HNW RAUM · $201M to $216MMar 31, 2023 to Mar 7, 2024
- Individual RAUM · $8.5M to $5.4MMar 31, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $220M to $218MMar 31, 2023 to Mar 7, 2024
- Pension RAUM · $1.1M to $1.1MMar 31, 2023 to Mar 7, 2024
- RAUM · $334M to $343MMar 31, 2023 to Mar 7, 2024
- Related adviser · true to falseMar 31, 2023 to Mar 7, 2024
- Accounts · 18 to 19Mar 31, 2022 to Mar 31, 2023
- Individual clients · 6 to 7Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $24.0M to $16.3MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $142M to $115MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $264M to $201MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $6.7M to $8.5MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $275M to $220MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $1.6M to $1.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $417M to $334MMar 31, 2022 to Mar 31, 2023
- Employees · 2 to 3Oct 14, 2021 to Mar 31, 2022
- Discretionary RAUM · $125M to $142MOct 14, 2021 to Mar 31, 2022
- HNW RAUM · $175M to $264MOct 14, 2021 to Mar 31, 2022
- Individual RAUM · $7.5M to $6.7MOct 14, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $187M to $275MOct 14, 2021 to Mar 31, 2022
- Pension RAUM · $1.7M to $1.6MOct 14, 2021 to Mar 31, 2022
- RAUM · $312M to $417MOct 14, 2021 to Mar 31, 2022
- Accounts · 16 to 18Oct 14, 2021 to Mar 31, 2022
- Advisory employees · 2 to 3Oct 14, 2021 to Mar 31, 2022
- Individual clients · unset to 6.0Oct 14, 2021 to Mar 31, 2022
- Assets in custody · $48.1M to $24.0MOct 14, 2021 to Mar 31, 2022
- HQ city · unset to SANTA MONICAMar 31, 2021 to Oct 14, 2021
Signals
8 dated events
- Georgina Asset Management Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $357.8M)Dec 20, 2025 · Left the SEC roster · derived
- Anthony Lee Blueford left Georgina Asset Management Llc for Arax Advisory Partners (registered 2025-11-10)Nov 19, 2025 · Advisor changed firm · fact
- Robert Howard Lipp left Georgina Asset Management Llc for Arax Advisory Partners (registered 2025-11-10)Nov 19, 2025 · Advisor changed firm · fact
- 2 advisors left Georgina Asset Management LLC (Santa Monica, CA) for Arax Advisory Partners on the same dayNov 19, 2025 · Team lift-out · derived
- Georgina Asset Management Llc reported RAUM $416.6M, up 33% from $312.1M (2021-10-14 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S (Mi Only) Diane Lipp (Owner) no longer on Schedule A of Georgina Asset Management Llc (listed 2021-10-14, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Linda Kristina Nava (Chief Compliance Officer) no longer on Schedule A of Georgina Asset Management Llc (listed 2019-03-29, absent 2020-05-25)May 25, 2020 · Control person left · inference
- Lee Anthony Blueford (Chief Compliance Officer) appeared on Schedule A of Georgina Asset Management LlcMay 25, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Georgina Asset Management LLC · Venture Capitalshared crd · organization
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