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•••

Broker-dealer affiliated wealth managerConcord, CaliforniaCRD 109018SEC 801-56323website IAPD

Latest filing Sep 14, 2026

First filing on the tape Jan 6, 2012 · 52 filings

SEC status approved since Mar 8, 1999

RAUM

$92B

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

92%

$85B individuals and HNW

Advisors

218

registered through the firm on IAPD

RAUM per advisor

$421M

derived; firm RAUM over IAPD count

Employees

859

269 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

52 filings and snapshots on the tape

RAUM$92B as of May 18, 2026

Mar 29, 2012$15B then

HNW client RAUM$22B as of May 18, 2026

Mar 28, 2018$5.7B then

State-registered IARs (5.B.3)195 as of May 18, 2026

Mar 28, 201397 then

Employees (5.A)859 as of May 18, 2026

Mar 28, 2013318 then

Private funds: no history

RAUM +19% over the last fiscal year+18% a year over threeIARs 179 to 195offices 5 to 4

Practice profile

derived from the filing of Sep 14, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $421MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 2,055derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $201,029derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.9derivedItem 5.A over advisors
Advisors per office: 43.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +8.9%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%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 advisersreportedItem 5.G
Wrap fee program: $92BreportedItem 5.I
Custody: $76B, 394,065 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)
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)
a related person acts as qualified custodian (9.D.2)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$63B69%
High-net-worth individuals$22B24%
Pension and profit-sharing plans$3.2B3.5%
Corporations and businesses$2.0B2.1%
Charitable organizations$910M1.0%
Insurance companies$510M0.6%

Individual clients: 436,288reported
HNW clients: 11,731reported
Pension plan clients: 4,797reported
Charitable clients: 1,649reported
Accounts: 456,453reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $76B for 394,065 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=361.0 bank_owner=falsederived

Advisors registered through the firm

218 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
F•••• S••••• M••••• R••	Chicago, Il	Apr 30, 2008	20 y	1
A•••• D•••••••• R•••••••••	Atlanta, Ga	Aug 6, 2008	21 y	1
B••••••• P••• W••••••	Concord, Ca	Aug 19, 2008	38 y	1
M•••••• J••• A••••••	Concord, Ca	Sep 15, 2008	30 y	0
A•••••• J••••• D•••••	Plymouth, Ma	Nov 13, 2008	24 y	0
A•••••• N•••• H••••	Concord, Ca	Mar 2, 2009	18 y	0
A••••• A•• R•••	Maricopa, Az	Jun 18, 2009	23 y	1
J•••• E••••• C•••••	Concord, Ca	Jan 26, 2010	27 y	1
N••••• K••• P••	Ventura, Ca	Feb 15, 2010	23 y	0
S•••• M•••••• C•••••••	Lake Zurich, Il	Jul 22, 2010	19 y	1
J•••••• S•••• B•••••	Highlands Ranch, Co	Jun 16, 2011	27 y	1
G••••••• B••• G•••••••••	Centerville, Ma	Sep 7, 2011	30 y	1
J••• N•• B•••••	Concord, Ca	Jan 10, 2012	22 y	0
F•••• R•••• C••••••	Concord, Ca	Jul 24, 2012	17 y	1
D••••• J••••• K•••••	Concord, Ca	Jan 15, 2013	19 y	1
P••••• J•••• C•••••	Fort Mill, Sc	Jul 30, 2013	15 y	3
B•••••• G•••••• L••••••	Ojai, Ca	Sep 12, 2013	13 y	0
B•••• P••• F•••••••••	Studio City, Ca	Nov 8, 2013	19 y	0
N••• O••• L••••	Concord, Ca	Mar 10, 2014	13 y	0
K•••• D•••• S••••••	Concord, Ca	Aug 14, 2014	26 y	2
F•••••••• G••••••• M•••••••	A•••••, Tx	Aug 14, 2014	26 y	2
S••••• E••••• B••••••	Raleigh, Nc	Jan 13, 2015	36 y	3
N••• G•••••	Pittstown, Nj	Aug 25, 2015	14 y	0
R•••••• F• R•••	Chicago, Il	Oct 30, 2015	14 y	0
J•••••• P••••• W•••••••••	State College, Pa	Mar 15, 2016	27 y	1
M•••••• K••	Concord, Ca	Mar 30, 2016	27 y	0
M••• S•••••	Irvine, Ca	Jun 13, 2016	10 y	0
J••• A•••• B•••••••	Oakton, Va	Nov 17, 2016	26 y	2
D•••• A•••••••• S••••••	Concord, Ca	Nov 23, 2016	25 y	1
P•••••• J••• G•••	Concord, Ca	Nov 23, 2016	22 y	3
C••••••••• C•••••••••	Concord, Ca	Nov 28, 2016	22 y	1
M•••••• A•••• J••••	Concord, Ca	Dec 22, 2016	18 y	2
J••••••• L•••• A••••	Waddell, Az	Jun 9, 2017	10 y	1
P•••••• E• L••••••••	Concord, Ca	Jan 2, 2018	19 y	1
A•••• A•••••••	Concord, Ca	Feb 23, 2018	13 y	0
B•••• D•••• R••••••	Concord, Ca	Mar 19, 2018	12 y	0
B•••••• J••• N••••••	Phoenix, Az	Apr 19, 2018	18 y	1
P•••••• E• W•••	Lake Forest, Il	Jun 1, 2018	10 y	1
M•••••• J••••• F•••••••	Gilbert, Az	Nov 26, 2018	18 y	2
A•• H•••••••••	Concord, Ca	Nov 28, 2018	10 y	1

All 218 advisors at A••••••••• I•••

Advisor movement

10 left, 29 joined in 12 months

net +19 in 12 months3 left in 90 days8 joined in 90 daysdeparture rate 4.6% of current headcount33 left over 36 months

Left, latest

P••••••• L••• B•••• to E•••••• F•••••••• E••••••
Aug 20, 2026 · Affiliated broker-dealer or bank to independent RIA
A••••• H••••• L•••• to W••••• E••••••••• A••••••• S•••••••• L••
Jul 10, 2026 · Affiliated broker-dealer or bank to another
J•••• I• B•••••• to C••••••••• I••••••••• A•••••••• L••
Jun 24, 2026 · Affiliated broker-dealer or bank to independent RIA
D••••• C••••••••• B••••• to O•••• W•••••• I•••
Feb 17, 2026 · Affiliated broker-dealer or bank to another
V•••••• R••••• G•••••••• to S••••• M•••••••••
Feb 17, 2026 · Affiliated broker-dealer or bank to independent RIA
G•••• M•••••• L••••••• to O•••• W•••••• I•••
Feb 4, 2026 · Affiliated broker-dealer or bank to another
P•••••• E••••• N••••• to W•••• F•••• A•••••••
Jan 27, 2026 · Affiliated broker-dealer or bank to wirehouse
C•••••••• M• O•••••• to E•••••••• P••
Oct 22, 2025 · Affiliated broker-dealer or bank to independent RIA
M•••••• Z• C••••• to A••••••••• F•••••••• S•••••••• L••
Oct 8, 2025 · Affiliated broker-dealer or bank to another
P•••• A•• M••••• to A••••••• I••••••••• A•••••••• L••
Oct 8, 2025 · Other
S•••••• Y•• L•• to O•••• P•••••••• S••••••••• L••
Aug 13, 2025 · Affiliated broker-dealer or bank to another
N••••••• P•••• to T••••••• I••••••••• M••••••••• I•••
Jul 21, 2025 · Affiliated broker-dealer or bank to another
J••• A•••••••• T•••• B••••••• to K••••• A••••••• S•••••••• L••
Jul 16, 2025 · Affiliated broker-dealer or bank to another
A•••••• A•••• Z••••• to C•••••• S••••• • C••• I•••
Jul 16, 2025 · Affiliated broker-dealer or bank to another
B••••••• M••••••••• to O•••• P•••••••• S••••••••• L••
Jun 24, 2025 · Affiliated broker-dealer or bank to another

Joined, latest

G•••••• J••••• W•••••• from E••••• J••••
Jul 30, 2026 · Affiliated broker-dealer or bank to another
K•••• P•••••• M••••• from A• W••••• M••••••••• L••
Jul 21, 2026 · Affiliated broker-dealer or bank to another
D•••• L•• S•• from S••••••• W••••• M••••••••• I•••
Jul 17, 2026 · RIA to affiliated broker-dealer or bank
P••••• J•••• C••••• from E•••••••• A•••••••
Jul 15, 2026 · RIA to affiliated broker-dealer or bank
S••••• E••••• B•••••• from E•••••••• A•••••••
Jul 15, 2026 · RIA to affiliated broker-dealer or bank
K•••• L•• P•••••• from L•• F•••••••• L••
Jul 14, 2026 · Affiliated broker-dealer or bank to another
K•••••• N••••• F••••• from M•••••• F•••••••• I••••••••• M••••••••• I•••
Jul 9, 2026 · RIA to affiliated broker-dealer or bank
S••••• B••••••• M••••• from E•••••••• A•••••••
Jun 24, 2026 · RIA to affiliated broker-dealer or bank
S•••• D••••• M•••••••• from U•• S••••••••• I•••
Jun 16, 2026 · Other
J••• K••••• K••• from E•••••••• A•••••••
Jun 16, 2026 · RIA to affiliated broker-dealer or bank
S•••••• A•• W••••••• from E•••••••• A•••••••
Jun 9, 2026 · RIA to affiliated broker-dealer or bank
J••• D•••• R•••••• from E•••••••• A•••••••
Jun 8, 2026 · RIA to affiliated broker-dealer or bank
D•••• A•••••• T•••• from A••••••• F••••••••• L•••
Apr 30, 2026 · RIA to affiliated broker-dealer or bank
A•••••••• L•••• C••••• from M••••• S••••••
Apr 16, 2026 · Wirehouse to affiliated broker-dealer or bank
L•••• J••• N•••••• from H••••• C•••••• M••••••••• I••
Apr 15, 2026 · RIA to affiliated broker-dealer or bank

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for O•••• W•••••• I•••
Feb 4, 2026 · Concord, Ca

5 joined from E•••••••• A•••••••
Jun 1, 2026 · Cincinnati, Oh · Firm absorbed
4 joined from G••••• F•••••••• P•••••• C••••••• I•••
Aug 14, 2020 · Sarasota, Fl · Firm absorbed
2 joined from G••••• F•••••••• P•••••• C••••••• I•••
Dec 17, 2019 · Sarasota, Fl
2 joined from G••••• F•••••••• P•••••• C••••••• I•••
Jun 7, 2019 · Sarasota, Fl
2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
Feb 13, 2018 · Los Angeles, Ca
3 joined from A••• W••••• S••••••• I••
Oct 1, 2015 · State College, Pa · Firm absorbed
4 joined from C••••• C••••••• L••
Sep 15, 2015 · Denver, Co

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• T••• F••• · General Counselcontrol
since 12/2010 · owns less than 5%
B•••• C•••••• G••••• · Chief Compliance Officercontrol
since 04/2014 · owns less than 5%
H•••••• C•••••• E•••• · Chief Operating Officer & Directorcontrol
since 07/2008 · owns less than 5%
K••• H•••• M•••••• · Chief Executive Officer, President, Chief C••••• Officercontrol
since 09/2023 · owns less than 5%
K••••• J•••• H•••• · Chief Compliance Officercontrol
since 05/2025 · owns less than 5%
M•••••• L•• · Chairperson Of The Board & Directorcontrol
since 09/2024 · owns less than 5%
M•••••• J•••• D•••• · Chief Wealth S•••••••• Officercontrol
since 05/2021 · owns less than 5%
M••••• M•••••• K••••••• · Chief Information Officercontrol
since 03/2017 · owns less than 5%
Z•••• G•••• G• · Chief Financial Officer & Directorcontrol
since 12/2010 · owns less than 5%

Entity owners

A•••••••• F•••••••• H•••••••• · Owner
direct · owns 75% or more
A•••••••• F•••••••• H•••••••• I••• · Owner
direct · owns 75% or more
G••• E•••••• B•••••••• L•• · Shareholder
indirect · owns 75% or more of A•••••••• F•••••••• H•••••••• I•••
G••• E•••••• H•••••••• L•• · Shareholder
indirect · owns 75% or more of G••• E•••••• T••••• I•••
G••• E•••••• I••••••••• I••• · Managing Member
indirect · owns 75% or more of G••• E•••••• B•••••••• L••
G••• E•••••• T••••• I••• · Shareholder
indirect · owns 75% or more of G••• E•••••• I••••••••• I•••
G••• F••• X•••• L• · Member
indirect · owns 25% to 50% of G••• E•••••• H•••••••• L••
G••• I••••••••• X•• L•• · General Partner
indirect · owns F of G••• P••••••• X•••••• L•
G••• P••••••• X•••••• L• · General Partner
indirect · owns F of V••••• I•••••••• L•
G••• P••••••• X•••••• L• · General Partner
indirect · owns F of G••• F••• X•••• L•
V••••• I•••••••• L• · Member
indirect · owns 25% to 50% of G••• E•••••• H•••••••• L••

Related persons

Schedule D 7.A

A•••••••• B••••••••• L••
broker-dealern
A•••••••• S•••••••• I•••
LP sponsorn
A•••••••• T•••• C••••••
custodiann
A••••••• W••••• A•••••• S••••••••
investment advisernRAUM $11B

Advisers that list A••••••••• I••• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Concord, Ca · principal	215	54	6	1
Chicago, Il	61	20	0
Phoenix, Az	29	10	0
Sarasota, Fl	6	0	0
Charlotte, Nc	5	4	0
A•••••, Tx	4	1	0
Glendale, Az	2	1	0
Highlands Ranch, Co	2	0	0
Omaha, Ne	2	0	0
Atlanta, Ga	2	0	0
Plymouth, Ma	2	0	0
Ponte Vedra Beach, Fl	2	0	0
S••••Sdale, Az	2	0	0
Seattle, Wa	2	1	0
Tarzana, Ca	2	0	0
Centennial, Co	2	0	0
Crown P••••, In	2	0	0
Irvine, Ca	1	0	0
Huntington, Ny	0	0	1
J•••Sonville, Fl	0	0	0

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 3 since 2015, 1 in 24 monthsderived
Advisors acquired: 12derived
Still registered after 90 days: 67% of 12derived
After 180 days: 29% of 7derived
After 365 days: 71% of 7derived
After 730 days: 43% of 7derived
Team lift-outs after: 0derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Chicago, IL50 employees
Phoenix, AZ21 employees
Encino, CA18 employees
Sandy Springs, GA

ADV anomalies

4 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Sep 14, 2026
pension consulting (Item 5.G.6): yes on the filing of 2026-05-18, no on the filing of 2026-09-14
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 14, 2026
K••••• J•••• H•••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-12-04 and 2026-09-14
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 14, 2026
M••••• M•••••• K••••••• (CHIEF INFORMATION OFFICER) left Schedule A between the filings of 2024-12-04 and 2026-09-14
peers: affiliated wealth managers, $20B and over (50)
control person changedChange between filings · filing Sep 14, 2026
B•••• C•••••• G••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-12-04 and 2026-09-14
peers: affiliated wealth managers, $20B and over (50)

How anomalies are measured

What changed

consecutive filings, newest first

Advisory activities · 5 to 4
May 18, 2026 to Sep 14, 2026
Financial planning clients · 0 to 0
May 18, 2026 to Sep 14, 2026
Succession · false to unset
May 18, 2026 to Sep 14, 2026
Accounts · 410,749 to 456,453
Dec 15, 2025 to Mar 27, 2026
Advisory employees · 244 to 269
Dec 15, 2025 to Mar 27, 2026
BD registered reps · 353 to 361
Dec 15, 2025 to Mar 27, 2026
Charity clients · 1,335 to 1,649
Dec 15, 2025 to Mar 27, 2026
Corporate clients · 1,855 to 1,985
Dec 15, 2025 to Mar 27, 2026
HNW clients · 8,960 to 11,731
Dec 15, 2025 to Mar 27, 2026
Individual clients · 393,482 to 436,288
Dec 15, 2025 to Mar 27, 2026
Pension plan clients · 5,113 to 4,797
Dec 15, 2025 to Mar 27, 2026
Assets in custody · $64B to $76B
Dec 15, 2025 to Mar 27, 2026
Employees · 735 to 859
Dec 15, 2025 to Mar 27, 2026
Insurance-licensed employees · 2 to 1
Dec 15, 2025 to Mar 27, 2026
State-registered IARs · 179 to 195
Dec 15, 2025 to Mar 27, 2026
Other offices · 5 to 4
Dec 15, 2025 to Mar 27, 2026
Discretionary RAUM · $76B to $91B
Dec 15, 2025 to Mar 27, 2026
HNW RAUM · $17B to $22B
Dec 15, 2025 to Mar 27, 2026
Individual RAUM · $54B to $63B
Dec 15, 2025 to Mar 27, 2026
Non-discretionary RAUM · $1.5B to $838M
Dec 15, 2025 to Mar 27, 2026
Pension RAUM · $3.2B to $3.2B
Dec 15, 2025 to Mar 27, 2026
RAUM · $77B to $92B
Dec 15, 2025 to Mar 27, 2026
Financial planning clients · 0 to 0
May 20, 2025 to Nov 17, 2025
Accounts · 374,574 to 410,749
Dec 4, 2024 to Mar 26, 2025
Advisory employees · 247 to 244
Dec 4, 2024 to Mar 26, 2025
Advisory activities · 4 to 5
Dec 4, 2024 to Mar 26, 2025
BD registered reps · 366 to 353
Dec 4, 2024 to Mar 26, 2025
Charity clients · 1,228 to 1,335
Dec 4, 2024 to Mar 26, 2025
Corporate clients · 1,767 to 1,855
Dec 4, 2024 to Mar 26, 2025
HNW clients · 6,735 to 8,960
Dec 4, 2024 to Mar 26, 2025
Individual clients · 359,945 to 393,482
Dec 4, 2024 to Mar 26, 2025
Pension plan clients · 4,895 to 5,113
Dec 4, 2024 to Mar 26, 2025
Assets in custody · $55B to $64B
Dec 4, 2024 to Mar 26, 2025
Employees · 709 to 735
Dec 4, 2024 to Mar 26, 2025
State-registered IARs · 187 to 179
Dec 4, 2024 to Mar 26, 2025
Other offices · 4 to 5
Dec 4, 2024 to Mar 26, 2025
Discretionary RAUM · $64B to $76B
Dec 4, 2024 to Mar 26, 2025
HNW RAUM · $13B to $17B
Dec 4, 2024 to Mar 26, 2025
Individual RAUM · $47B to $54B
Dec 4, 2024 to Mar 26, 2025
Non-discretionary RAUM · $1.5B to $1.5B
Dec 4, 2024 to Mar 26, 2025

Signals

60 dated events

P••••••• L••• B•••• left A••••••••• I••• for E•••••• F•••••••• E•••••• (registered 2026-08-27)
Aug 20, 2026 · a•••••• firm change · fact
A••••• H••••• L•••• left A••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-07-06)
Jul 10, 2026 · a•••••• firm change · fact
J•••• I• B•••••• left A••••••••• I••• for C••••••••• I••••••••• A•••••••• L•• (registered 2026-07-03)
Jun 24, 2026 · a•••••• firm change · fact
4 advisors left E•••••••• A••••••• (Cincinnati, OH) for A••••••••• I••• on the same day
Jun 1, 2026 · Team lift-out · derived
V•••••• R••••• G•••••••• left A••••••••• I••• for S••••• M••••••••• (registered 2026-02-20)
Feb 17, 2026 · a•••••• firm change · fact
D••••• C••••••••• B••••• left A••••••••• I••• for O•••• W•••••• I••• (registered 2026-03-04)
Feb 17, 2026 · a•••••• firm change · fact
G•••• M•••••• L••••••• left A••••••••• I••• for O•••• W•••••• I••• (registered 2026-02-02)
Feb 4, 2026 · a•••••• firm change · fact
2 advisors left A••••••••• I••• (Concord, CA) for O•••• W•••••• I••• within 13 days
Feb 4, 2026 · Team lift-out · derived
P•••••• E••••• N••••• left A••••••••• I••• for W•••• F•••• A••••••• (registered 2026-02-19)
Jan 27, 2026 · a•••••• firm change · fact
C•••••••• M• O•••••• left A••••••••• I••• for E•••••••• P•• (registered 2026-07-07)
Oct 22, 2025 · a•••••• firm change · fact
M•••••• Z• C••••• left A••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-01)
Oct 8, 2025 · a•••••• firm change · fact
P•••• A•• M••••• left A••••••••• I••• for A••••••• I••••••••• A•••••••• L•• (registered 2026-04-22)
Oct 8, 2025 · a•••••• firm change · fact
S•••••• Y•• L•• left A••••••••• I••• for O•••• P•••••••• S••••••••• L•• (registered 2025-11-12)
Aug 13, 2025 · a•••••• firm change · fact
N••••••• P•••• left A••••••••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2026-02-10)
Jul 21, 2025 · a•••••• firm change · fact
J••• A•••••••• T•••• B••••••• left A••••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2025-08-15)
Jul 16, 2025 · a•••••• firm change · fact
A•••••• A•••• Z••••• left A••••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-08-12)
Jul 16, 2025 · a•••••• firm change · fact
B••••••• M••••••••• left A••••••••• I••• for O•••• P•••••••• S••••••••• L•• (registered 2025-07-28)
Jun 24, 2025 · a•••••• firm change · fact
C•••••• S•••••• C•••••• left A••••••••• I••• for L•• F•••••••• L•• (registered 2025-05-14)
Apr 24, 2025 · a•••••• firm change · fact
B•••• P• M••••••• left A••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-12-02)
Apr 2, 2025 · a•••••• firm change · fact
C••••• C••••••••• Z•••• left A••••••••• I••• for S••••••••• A•• C••••••• I••• (registered 2025-04-21)
Apr 2, 2025 · a•••••• firm change · fact
M•••••• S••••••• left A••••••••• I••• for V•••••• A•••••••• I••• (registered 2025-05-27)
Jan 21, 2025 · a•••••• firm change · fact
B•••• R••••• C•••••• left A••••••••• I••• for C••••••• F•••••••• D••••••• I••• (registered 2026-07-02)
Jan 6, 2025 · a•••••• firm change · fact
D••••• S••••• G•••••• left A••••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-05-02)
Dec 18, 2024 · a•••••• firm change · fact
M•••••• D• H••••• left A••••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-03-07)
Dec 5, 2024 · a•••••• firm change · fact
Lou Maiuri (Chairman Of The Board & Director) appeared on Schedule A of A••••••••• I•••
Dec 4, 2024 · Control person joined · fact
R••••• P••• V•••• left A••••••••• I••• for G••••• K••••••• W••••• • I••••••••• M••••••••• (registered 2025-05-21)
Sep 25, 2024 · a•••••• firm change · fact
T•••••• J•••• G•••• left A••••••••• I••• for B••••••••• C•••••• M••••••••• L•• (registered 2026-04-07)
Sep 25, 2024 · a•••••• firm change · fact
T••••• E••••• R••• left A••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-06-10)
Aug 21, 2024 · a•••••• firm change · fact
T••••• B••••••• left A••••••••• I••• for R•••••• J•••• I••••••••• M••••••••• (registered 2026-06-08)
Jul 23, 2024 · a•••••• firm change · fact
S••••• S•••••• S••••••••• left A••••••••• I••• for O•••• W•••••• I••• (registered 2024-07-17)
Jun 25, 2024 · a•••••• firm change · fact

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-BETA/40087reportedpublic record, Form ADV, Sep 18, 2026
Website: A••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 800-664-5345reportedpublic record, Form ADV, Sep 14, 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: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $421Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026