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
A••••••• I••••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 34 filings
SEC status approved since Jul 28, 1992
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.2%
$37.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.2B as of Mar 27, 2026
Mar 29, 2012$791M then
HNW client RAUM$19.4M as of Mar 27, 2026
Mar 27, 2018$74.5M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 7, 20130 then
Employees (5.A)6 as of Mar 27, 2026
Mar 7, 20139 then
Private funds1 as of Mar 30, 2016
Mar 31, 20151 then
RAUM +8.8% over the last fiscal year+0.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 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
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $16.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.8%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
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$979M84%
- Investment companies$51.2M4.4%
- Pension and profit-sharing plans$35.3M3.0%
- State and municipal entities$31.7M2.7%
- Charitable organizations$23.3M2.0%
- High-net-worth individuals$19.4M1.7%
- Individuals$18.0M1.6%
- Corporations and businesses$1.6M0.1%
- Individual clients
- 42reported
- HNW clients
- 9reported
- Pension plan clients
- 6reported
- Charitable clients
- 5reported
- Accounts
- 69reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $56.4M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.03 fund_share=0.89 institutional_share=0.08 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•••••• R••••• L••Chartered Financial Analyst | Newport Beach, Ca | Sep 9, 2026 | 34 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
- M•••••• R•••••• P•••• to P•••• F•••••• M••••••••• L••Mar 28, 2025 · Other
- S••••• L• S•••• to A••••• T••••• P•••••• W•••••Feb 28, 2023 · Other
Joined, latest
- M•••••• R•••••• P•••• from P•••• A•••• M••••••••• L••Mar 8, 2024 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• I••••••••• F•••• L•no longer reported | Other Private Fund | $454,000 | 3 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- K•••• J•••••• N•• · Chief Compliance Officer, Manager Of Investment Operationscontrolsince 01/2020 · owns less than 5%
- L••• G••••••• R••••• · Ceo/Membercontrolsince 07/1992 · owns 75% or more
- L••• C••••• F••• · Trusteecontrolsince 06/2020 · owns F of L•• F••••• T••••
- L••• G••••••• R••••• · Trusteecontrolsince 06/2020 · owns F of L•• F••••• T••••
Entity owners
- L•• F••••• T•••• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 1 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 71 to 69Jan 21, 2026 to Mar 27, 2026
- Advisory employees · 5 to 4Jan 21, 2026 to Mar 27, 2026
- Corporate clients · 7 to 4Jan 21, 2026 to Mar 27, 2026
- HNW clients · 10 to 9Jan 21, 2026 to Mar 27, 2026
- Individual clients · 40 to 42Jan 21, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.2BJan 21, 2026 to Mar 27, 2026
- HNW RAUM · $18.1M to $19.4MJan 21, 2026 to Mar 27, 2026
- Individual RAUM · $15.6M to $18.0MJan 21, 2026 to Mar 27, 2026
- Pension RAUM · $31.9M to $35.3MJan 21, 2026 to Mar 27, 2026
- RAUM · $1.1B to $1.2BJan 21, 2026 to Mar 27, 2026
- Wrap assets (manager) · $48.4M to $56.4MJan 21, 2026 to Mar 27, 2026
- Accounts · 77 to 71Mar 27, 2024 to Mar 31, 2025
- Advisory employees · 6 to 5Mar 27, 2024 to Mar 31, 2025
- HNW clients · 7 to 10Mar 27, 2024 to Mar 31, 2025
- Individual clients · 45 to 40Mar 27, 2024 to Mar 31, 2025
- Pension plan clients · 9 to 6Mar 27, 2024 to Mar 31, 2025
- Employees · 8 to 6Mar 27, 2024 to Mar 31, 2025
- Insurance-licensed employees · 1 to 0Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 1Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $935M to $1.1BMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $12.1M to $18.1MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $17.2M to $15.6MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.6M to $3.0MMar 27, 2024 to Mar 31, 2025
- Pension RAUM · $51.0M to $31.9MMar 27, 2024 to Mar 31, 2025
- RAUM · $938M to $1.1BMar 27, 2024 to Mar 31, 2025
- Wrap assets (manager) · $40.2M to $48.4MMar 27, 2024 to Mar 31, 2025
- Accounts · 98 to 77Mar 30, 2023 to Mar 27, 2024
- Charity clients · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 10 to 7Mar 30, 2023 to Mar 27, 2024
- HNW clients · 11 to 7Mar 30, 2023 to Mar 27, 2024
- Individual clients · 52 to 45Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 14 to 9Mar 30, 2023 to Mar 27, 2024
- Employees · 9 to 8Mar 30, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 1Mar 30, 2023 to Mar 27, 2024
- State-registered IARs · 1 to 2Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $935MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $28.1M to $12.1MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $17.9M to $17.2MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.5M to $2.6MMar 30, 2023 to Mar 27, 2024
Signals
8 dated events
- M•••••• R•••••• P•••• left A••••••• I••••••••• A•••••••• L•• for P•••• F•••••• M••••••••• L•• (registered 2024-09-13)Mar 28, 2025 · Advisor changed firm · fact
- S••••• L• S•••• left A••••••• I••••••••• A•••••••• L•• for A••••• T••••• P•••••• W••••• (registered 2024-06-03)Feb 28, 2023 · Advisor changed firm · fact
- A••••••• I••••••••• A•••••••• L•• reported RAUM $1.1B, up 218% from $334.8M (2020-10-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- F••• C•••• Lai (Trustee) appeared on Schedule A of A••••••• I••••••••• A•••••••• L••Jul 2, 2020 · Control person joined · fact
- A••••••• I••••••••• A•••••••• L•• reported RAUM $334.8M, down 53% from $706.2M (2020-02-06 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Nmn Joshua Katz (Chief Compliance Officer, Manager Of Investment Operations) appeared on Schedule A of A••••••• I••••••••• A•••••••• L••Feb 6, 2020 · Control person joined · fact
- Stephen Robert Venable (Chief Operating Officer/Chief Compliance Officer/Chief Financial Officer) no longer on Schedule A of A••••••• I••••••••• A•••••••• L•• (listed 2019-04-12, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- A••••••• I••••••••• A•••••••• L•• reported RAUM $706.2M, down 31% from $1.0B (2018-03-27 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/affinity-investment-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- affinityinvestment.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-660-6373reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026