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
M••••••••• I••••••••• S•••••••
Latest filing Mar 13, 2026
First filing on the tape Apr 3, 2012 · 29 filings
SEC status approved since Mar 17, 2000
RAUM
$154M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
85%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$154M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$154M as of Mar 13, 2026
Apr 3, 2012$91.2M then
HNW client RAUM$120M as of Mar 13, 2026
Jan 31, 2018$71.8M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Apr 3, 20120 then
Employees (5.A)3 as of Mar 13, 2026
Mar 28, 20132 then
Private funds2 as of Mar 13, 2026
Jan 31, 20181 then
RAUM +7.7% over the last fiscal year+8.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $154MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $677,979derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $45.6M, 47 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$120M78%
- Pooled investment vehicles$15.3M10.0%
- Individuals$10.5M6.8%
- Pension and profit-sharing plans$6.2M4.1%
- Corporations and businesses$2.0M1.3%
- Individual clients
- 44reported
- HNW clients
- 72reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 227reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.6M for 47 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.85 fund_share=0.1 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 |
|---|---|---|---|---|
| A•••••• M•••••• R•••Certified Financial Planner | Van Nuys, Ca | Sep 20, 1995 | 32 y | 1 |
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•• E••••• S••••••••• L••• | Hedge Fund | $15.0M | 42 | Jan 29, 2016 |
| F•••• V•••••••• L• | Hedge Fund | $3.3M | 16 | Sep 3, 2021 |
Owners and control persons
Schedule A and B, latest filing
- R•••• A•••••• K• · Co Trustee Of The A•••••• & A••••• R••• Family Trust Dtd 5/30/02controlsince 05/2002 · owns 75% or more
- R•••• A••••••• M•••••• · Co Trustee Of The A•••••• & A••••• R••• Family Trust Dtd 5/30/02controlsince 05/2002 · owns 75% or more
Entity owners
- A•••••• • A••••• R••• F••••• T•••• 0••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••• P••••••• L••pooled vehicle sponsorn
- M•• P•••••••• L••pooled vehicle sponsorn
Advisers that list M••••••••• I••••••••• S••••••• as a related person
- 149033 n
Offices
Schedule D 1.F, the 25 largest
- Calabasas, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 218 to 227Nov 19, 2025 to Mar 13, 2026
- Corporate clients · 6 to 5Nov 19, 2025 to Mar 13, 2026
- HNW clients · 73 to 72Nov 19, 2025 to Mar 13, 2026
- Individual clients · 42 to 44Nov 19, 2025 to Mar 13, 2026
- Pension plan clients · 10 to 11Nov 19, 2025 to Mar 13, 2026
- Assets in custody · $54.1M to $45.6MNov 19, 2025 to Mar 13, 2026
- Discretionary RAUM · $138M to $147MNov 19, 2025 to Mar 13, 2026
- HNW RAUM · $109M to $120MNov 19, 2025 to Mar 13, 2026
- Individual RAUM · $8.5M to $10.5MNov 19, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $4.9M to $7.1MNov 19, 2025 to Mar 13, 2026
- Pension RAUM · $6.3M to $6.2MNov 19, 2025 to Mar 13, 2026
- Pooled vehicle RAUM · $17.4M to $15.3MNov 19, 2025 to Mar 13, 2026
- RAUM · $143M to $154MNov 19, 2025 to Mar 13, 2026
- Financial planning clients · 0 to 0Apr 24, 2025 to Nov 19, 2025
- Accounts · 224 to 218Mar 26, 2024 to Apr 24, 2025
- Corporate clients · 7 to 6Mar 26, 2024 to Apr 24, 2025
- HNW clients · 79 to 73Mar 26, 2024 to Apr 24, 2025
- Assets in custody · $48.0M to $54.1MMar 26, 2024 to Apr 24, 2025
- Discretionary RAUM · $119M to $138MMar 26, 2024 to Apr 24, 2025
- HNW RAUM · $86.5M to $109MMar 26, 2024 to Apr 24, 2025
- Individual RAUM · $7.3M to $8.5MMar 26, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $5.2M to $4.9MMar 26, 2024 to Apr 24, 2025
- Pension RAUM · $9.8M to $6.3MMar 26, 2024 to Apr 24, 2025
- Pooled vehicle RAUM · $18.3M to $17.4MMar 26, 2024 to Apr 24, 2025
- RAUM · $124M to $143MMar 26, 2024 to Apr 24, 2025
- Accounts · 223 to 224Nov 14, 2023 to Mar 26, 2024
- Corporate clients · 6 to 7Nov 14, 2023 to Mar 26, 2024
- HNW clients · 76 to 79Nov 14, 2023 to Mar 26, 2024
- Individual clients · 48 to 42Nov 14, 2023 to Mar 26, 2024
- Pension plan clients · 12 to 10Nov 14, 2023 to Mar 26, 2024
- Assets in custody · $68.0M to $48.0MNov 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $116M to $119MNov 14, 2023 to Mar 26, 2024
- HNW RAUM · $81.7M to $86.5MNov 14, 2023 to Mar 26, 2024
- Individual RAUM · $8.2M to $7.3MNov 14, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $4.2M to $5.2MNov 14, 2023 to Mar 26, 2024
- Pension RAUM · $8.0M to $9.8MNov 14, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $21.5M to $18.3MNov 14, 2023 to Mar 26, 2024
- RAUM · $120M to $124MNov 14, 2023 to Mar 26, 2024
- Accounts · 212 to 223Nov 7, 2022 to Mar 28, 2023
- Corporate clients · 4 to 6Nov 7, 2022 to Mar 28, 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
- 818-786-4271reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-902-5544reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.m••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-902-5544reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- m••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $154Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026