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 801-56323websiteIAPD
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
4
beyond the principal office
Private funds
0
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
NameBranchHere sinceIn industryPrior firms
F•••• S••••• M••••• R••Chicago, Il Apr 30, 200820 y1
A•••• D•••••••• R•••••••••Atlanta, Ga Aug 6, 200821 y1
B••••••• P••• W••••••Concord, Ca Aug 19, 200838 y1
M•••••• J••• A••••••Concord, CaSep 15, 200830 y0
A•••••• J••••• D•••••Plymouth, Ma Nov 13, 200824 y0
A•••••• N•••• H••••Concord, Ca Mar 2, 200918 y0
A••••• A•• R•••Maricopa, Az Jun 18, 200923 y1
J•••• E••••• C•••••Concord, Ca Jan 26, 201027 y1
N••••• K••• P••Ventura, Ca Feb 15, 201023 y0
S•••• M•••••• C•••••••Lake Zurich, Il Jul 22, 201019 y1
J•••••• S•••• B•••••Highlands Ranch, Co Jun 16, 201127 y1
G••••••• B••• G•••••••••Centerville, Ma Sep 7, 201130 y1
J••• N•• B•••••Concord, Ca Jan 10, 201222 y0
F•••• R•••• C••••••Concord, Ca Jul 24, 201217 y1
D••••• J••••• K•••••Concord, Ca Jan 15, 201319 y1
P••••• J•••• C•••••Fort Mill, Sc Jul 30, 201315 y3
B•••••• G•••••• L••••••Ojai, Ca Sep 12, 201313 y0
B•••• P••• F•••••••••Studio City, Ca Nov 8, 201319 y0
N••• O••• L••••Concord, Ca Mar 10, 201413 y0
K•••• D•••• S••••••Concord, Ca Aug 14, 201426 y2
F•••••••• G••••••• M•••••••A•••••, Tx Aug 14, 201426 y2
S••••• E••••• B••••••Raleigh, NcJan 13, 201536 y3
N••• G•••••Pittstown, Nj Aug 25, 201514 y0
R•••••• F• R•••Chicago, Il Oct 30, 201514 y0
J•••••• P••••• W•••••••••State College, PaMar 15, 201627 y1
M•••••• K••Concord, CaMar 30, 201627 y0
M••• S•••••Irvine, Ca Jun 13, 201610 y0
J••• A•••• B•••••••Oakton, Va Nov 17, 201626 y2
D•••• A•••••••• S••••••Concord, Ca Nov 23, 201625 y1
P•••••• J••• G•••Concord, Ca Nov 23, 201622 y3
C••••••••• C•••••••••Concord, Ca Nov 28, 201622 y1
M•••••• A•••• J••••Concord, Ca Dec 22, 201618 y2
J••••••• L•••• A••••Waddell, Az Jun 9, 201710 y1
P•••••• E• L••••••••Concord, Ca Jan 2, 201819 y1
A•••• A•••••••Concord, Ca Feb 23, 201813 y0
B•••• D•••• R••••••Concord, Ca Mar 19, 201812 y0
B•••••• J••• N••••••Phoenix, Az Apr 19, 201818 y1
P•••••• E• W•••Lake Forest, Il Jun 1, 201810 y1
M•••••• J••••• F•••••••Gilbert, Az Nov 26, 201818 y2
A•• H•••••••••Concord, CaNov 28, 201810 y1
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
Joined, latest
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
Advisers that list A••••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Concord, Ca · principal2155461
Chicago, Il61200
Phoenix, Az29100
Sarasota, Fl600
Charlotte, Nc540
A•••••, Tx410
Glendale, Az210
Highlands Ranch, Co200
Omaha, Ne200
Atlanta, Ga200
Plymouth, Ma200
Ponte Vedra Beach, Fl200
S••••Sdale, Az200
Seattle, Wa210
Tarzana, Ca200
Centennial, Co200
Crown P••••, In200
Irvine, Ca100
Huntington, Ny001
J•••Sonville, Fl000
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)
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