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
C•••••• R••••••• • C••••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Mar 21, 2012 · 24 filings
SEC status approved since Mar 23, 1999
RAUM
$6.0B
reported, Item 5.F
Discretionary
10%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$998M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$6.0B as of Jun 22, 2026
Mar 21, 2012$2.2B then
HNW client RAUM$0 as of Jun 22, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)2 as of Jun 22, 2026
Mar 20, 20132 then
Employees (5.A)8 as of Jun 22, 2026
Mar 20, 20137 then
Private funds: no history
RAUM -1.4% over the last fiscal year+3.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $998MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $117MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 10%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$5.0B83%
- State and municipal entities$1.0B17%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 51reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••••• O••••Certified Financial Planner | Pasadena, Ca | Jun 26, 2000 | 34 y | 0 |
| M•••••• D••• H•••• | Pasadena, Ca | Jun 28, 2005 | 21 y | 0 |
| D••••• B•••••••• W••••• | Oracle, Az | Jan 27, 2016 | 10 y | 0 |
| G•••••••• K••••••• S••••••••Certified Financial Planner | Pasadena, Ca | Jul 23, 2019 | 14 y | 1 |
| S••••• K••• G••••••• | Charlevoix, Mi | Nov 4, 2024 | 21 y | 2 |
| M••••••• M•••••• O••••Certified Financial Planner | Pasadena, Ca | Nov 24, 2025 | 18 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- D•••• J•••• M•••• to W•••• I••••••••• A•••••••• L••Oct 3, 2025 · Other
- G•••••••• K••••••• S•••••••• to A••••• I••••••••• G••••• L••Jul 22, 2019 · Other
- K••••••• M•••• Z•••••••• to F•••••••• S••••••• M••••••••• I••Sep 30, 2015 · Other
Joined, latest
- S••••• K••• G••••••• from B•• R••••••••• S•••••••Nov 4, 2024 · Other
- D•••• J•••• M•••• from S•••••••• A••••••• L••Feb 15, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• J•••• P•••••• · Principal, Chief Compliance Officercontrolsince 01/1998 · owns 75% or more
Related persons
Schedule D 7.A
- A••••• I••••••••• G••••• L••investment adviseryRAUM $319M
- C•••••• R••••••• B•••••••• S•••••••• L••broker-dealery
Advisers that list C•••••• R••••••• • C••••••••• L•• as a related person
- 130243 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 6 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Organization form · Corporation to Limited Liability CompanyMar 25, 2026 to Jun 22, 2026
- Accounts · 64 to 51Mar 17, 2025 to Mar 25, 2026
- Pension plan clients · 23 to 15Mar 17, 2025 to Mar 25, 2026
- Organization form · Limited Liability Company to CorporationMar 17, 2025 to Mar 25, 2026
- Discretionary RAUM · $517M to $603MMar 17, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $5.6B to $5.4BMar 17, 2025 to Mar 25, 2026
- Pension RAUM · $5.2B to $5.0BMar 17, 2025 to Mar 25, 2026
- RAUM · $6.1B to $6.0BMar 17, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Apr 22, 2024 to Mar 17, 2025
- Discretionary RAUM · $503M to $517MApr 22, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $5.8B to $5.6BApr 22, 2024 to Mar 17, 2025
- Pension RAUM · $5.5B to $5.2BApr 22, 2024 to Mar 17, 2025
- RAUM · $6.3B to $6.1BApr 22, 2024 to Mar 17, 2025
- BD registered reps · 1 to 2Oct 9, 2023 to Feb 26, 2024
- Discretionary RAUM · $411M to $503MOct 9, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $4.9B to $5.8BOct 9, 2023 to Feb 26, 2024
- Pension RAUM · $4.6B to $5.5BOct 9, 2023 to Feb 26, 2024
- RAUM · $5.3B to $6.3BOct 9, 2023 to Feb 26, 2024
- Accounts · 68 to 64Mar 24, 2023 to Oct 9, 2023
- Discretionary RAUM · $419M to $411MMar 24, 2023 to Oct 9, 2023
- Non-discretionary RAUM · $5.0B to $4.9BMar 24, 2023 to Oct 9, 2023
- Pension RAUM · $4.8B to $4.6BMar 24, 2023 to Oct 9, 2023
- RAUM · $5.5B to $5.3BMar 24, 2023 to Oct 9, 2023
- Accounts · 72 to 68Mar 21, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Mar 21, 2022 to Mar 24, 2023
- Employees · 6 to 8Mar 21, 2022 to Mar 24, 2023
- State-registered IARs · 3 to 2Mar 21, 2022 to Mar 24, 2023
- Discretionary RAUM · $364M to $419MMar 21, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $6.1B to $5.0BMar 21, 2022 to Mar 24, 2023
- Pension RAUM · $5.6B to $4.8BMar 21, 2022 to Mar 24, 2023
- RAUM · $6.4B to $5.5BMar 21, 2022 to Mar 24, 2023
- Accounts · 69 to 72Mar 22, 2021 to Mar 21, 2022
- State-registered IARs · 2 to 3Mar 22, 2021 to Mar 21, 2022
- Discretionary RAUM · $270M to $364MMar 22, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $5.2B to $6.1BMar 22, 2021 to Mar 21, 2022
- Pension RAUM · $4.6B to $5.6BMar 22, 2021 to Mar 21, 2022
- RAUM · $5.4B to $6.4BMar 22, 2021 to Mar 21, 2022
- Accounts · 71 to 69Jun 29, 2020 to Mar 22, 2021
- Pension plan clients · 24 to 23Jun 29, 2020 to Mar 22, 2021
- Discretionary RAUM · $271M to $270MJun 29, 2020 to Mar 22, 2021
Signals
1 dated events
- D•••• J•••• M•••• left C•••••• R••••••• • C••••••••• L•• for W•••• I••••••••• A•••••••• L•• (registered 2025-08-21)Oct 3, 2025 · Advisor changed firm · 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
- H•••S://WWW.LINKEDIN.COM/COMPANY/A•••••-INVESTMENT-GROUP-&-Creportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-844-1440reportedpublic record, Form ADV, Jun 22, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $998Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026