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•••• A•••••••• I••••••••• G•••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 29, 2018 · 14 filings
SEC status approved since Apr 30, 2018
RAUM
$253M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
100%
$253M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$253M as of Mar 25, 2026
Mar 28, 2019$123M then
HNW client RAUM$245M as of Mar 25, 2026
Mar 28, 2019$119M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 28, 20192 then
Employees (5.A)2 as of Mar 25, 2026
Mar 28, 20192 then
Private funds: no history
RAUM +7.9% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$245M97%
- Individuals$8.8M3.5%
- Individual clients
- 28reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 187reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••••• M•••••• | Los Angeles, Ca | Sep 22, 2025 | 37 y | 1 |
| R••••• E•••• G•••••Chartered Financial Analyst | Los Angeles, Ca | Oct 13, 2025 | 28 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
- M•••• S••••• K•••••• to A••••••••• L••Dec 31, 2018 · RIA to RIA
- R••••• A••• K••• to A••••••••• L••Nov 9, 2018 · RIA to RIA
Joined, latest
- M•••• S••••• K•••••• from F•• A••••••• L••Jul 17, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••••• E•••• · President, Manager, Chief Executive Officercontrolsince 08/1998 · owns 75% or more
- M••••••• J•••• P•••••• · Vice President, Finance, Chief Compliance Officercontrolsince 08/1998 · owns less than 5%
Related persons
Schedule D 7.A
- R••••• E• G•••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 171 to 187Mar 27, 2025 to Mar 25, 2026
- HNW clients · 33 to 40Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $85.5M to $76.1MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $226M to $245MMar 27, 2025 to Mar 25, 2026
- Individual RAUM · $8.8M to $8.8MMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $149M to $177MMar 27, 2025 to Mar 25, 2026
- RAUM · $235M to $253MMar 27, 2025 to Mar 25, 2026
- Accounts · 160 to 171Mar 26, 2024 to Mar 27, 2025
- HNW clients · 32 to 33Mar 26, 2024 to Mar 27, 2025
- Individual clients · 23 to 28Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $52.4M to $85.5MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $208M to $226MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $7.4M to $8.8MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $163M to $149MMar 26, 2024 to Mar 27, 2025
- RAUM · $215M to $235MMar 26, 2024 to Mar 27, 2025
- Accounts · 147 to 160Mar 29, 2023 to Mar 26, 2024
- HNW clients · 31 to 32Mar 29, 2023 to Mar 26, 2024
- Assets in custody · 16280.0 to unsetMar 29, 2023 to Mar 26, 2024
- Custody of client assets · true to falseMar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $47.0M to $52.4MMar 29, 2023 to Mar 26, 2024
- HNW RAUM · $178M to $208MMar 29, 2023 to Mar 26, 2024
- Individual RAUM · $7.5M to $7.4MMar 29, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $138M to $163MMar 29, 2023 to Mar 26, 2024
- RAUM · $185M to $215MMar 29, 2023 to Mar 26, 2024
- Accounts · 133 to 147Mar 30, 2022 to Mar 29, 2023
- HNW clients · 33 to 31Mar 30, 2022 to Mar 29, 2023
- Individual clients · 22 to 23Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $16,089 to $16,280Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $24.4M to $47.0MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $202M to $178MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $8.1M to $7.5MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $186M to $138MMar 30, 2022 to Mar 29, 2023
- RAUM · $210M to $185MMar 30, 2022 to Mar 29, 2023
- Accounts · 137 to 133Mar 31, 2021 to Mar 30, 2022
- HNW clients · 35 to 33Mar 31, 2021 to Mar 30, 2022
- Individual clients · 20 to 22Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $908,108 to $16,089Mar 31, 2021 to Mar 30, 2022
- Other offices · 1 to 0Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $19.2M to $24.4MMar 31, 2021 to Mar 30, 2022
Signals
1 dated events
- A•••• A•••••••• I••••••••• G•••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2018 · First SEC registration · 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
- Business phone
- 310-556-0389reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-557-8803reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- A••••A••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-556-0389reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026