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•••• M••••••••• C•••
Latest filing Jul 23, 2026
First filing on the tape Jan 31, 2012 · 38 filings
SEC status approved since Aug 23, 1994
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$1.6B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.9B as of Jul 23, 2026
Oct 17, 2012$748M then
HNW client RAUM$1.3B as of Jul 23, 2026
Jan 18, 2018$739M then
State-registered IARs (5.B.3)8 as of Jul 23, 2026
Nov 22, 201310 then
Employees (5.A)13 as of Jul 23, 2026
Nov 22, 201311 then
Private funds: no history
RAUM +19% over the last fiscal year-2.4% a year over threeIARs 10 to 8
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $111M, 96 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$1.3B68%
- Individuals$270M14%
- Corporations and businesses$165M8.6%
- Pension and profit-sharing plans$89.1M4.6%
- Charitable organizations$65.0M3.4%
- Pooled investment vehicles$18.6M1.0%
- Individual clients
- 726reported
- HNW clients
- 387reported
- Pension plan clients
- 68reported
- Charitable clients
- 13reported
- Accounts
- 1,221reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $111M for 96 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.82 fund_share=0.01 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T•• H••••••• | Los Angeles, Ca | Mar 20, 2020 | 26 y | 0 |
| A••••• S••••• Z•••••••Chartered Financial Analyst | Los Angeles, Ca | May 6, 2025 | 20 y | 0 |
| R•••••• M••• S•••••••Chartered Financial Analyst | Los Angeles, Ca | May 8, 2025 | 10 y | 0 |
| K•••••••• K•• | Los Angeles, Ca | May 14, 2025 | 24 y | 0 |
| W•••••• H••••• T••••• | Los Angeles, Ca | May 22, 2025 | 51 y | 0 |
| D••••• T• S•••••••••Chartered Financial Analyst | Denver, Co | Nov 10, 2025 | 15 y | 1 |
| P•••• M••••••••Personal Financial Specialist | Los Angeles, Ca | Nov 30, 2025 | 51 y | 0 |
| C•••••••• R••••• S••••••Chartered Financial Analyst | Los Angeles, Ca | Dec 11, 2025 | 33 y | 0 |
| A••••• B• K•• | Los Angeles, Ca | Dec 22, 2025 | 13 y | 0 |
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 headcount3 left over 36 months
Left, latest
- N•••• L•••••••• to V••• W••••• L••Jan 2, 2025 · RIA to a state-registered adviser
- A••••••• F•••• to T•••• S••••••••• L••Sep 11, 2024 · RIA to RIA
- R••• C••••• C••••• to S•••••••• A••••••• L••Apr 30, 2024 · RIA to affiliated broker-dealer or bank
- R•• R•• K•••••• to C••••••• C•••••• M••••••••• L••Jan 8, 2020 · RIA to RIA
- Y•••• W••• to N••••••••• M••••• I••••••••• S•••••••••May 23, 2019 · Other
- A••• M••••••• G••• to F••••• I••••••••• C••••••••• L••Aug 9, 2004 · Other
- A•••••• G••••• P••••• to L•• A•••••••• L••Nov 10, 2003 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• M••••••• T•• · President, Coocontrolsince 08/2013 · owns 25% to 50%
- T•••••• W••••••• H••••• · Chairmancontrolsince 08/2013 · owns 25% to 50%
- K••• K•••••••• · Chief Compliance Officer & Corporate Secretarysince 08/2012 · owns less than 5%
- M••••••••• P•••• · Shareholdersince 08/2012 · owns 10% to 25%
- S••••••• C••••••••• R••••• · Chief Investment Officersince 11/2014 · owns 5% to 10%
- Z•••••••• A•••••• S••••• · Portfolio Managersince 11/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 9 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 1,278 to 1,221Jul 23, 2025 to Nov 14, 2025
- Advisory employees · 11 to 9Jul 23, 2025 to Nov 14, 2025
- Charity clients · 20 to 13Jul 23, 2025 to Nov 14, 2025
- Corporate clients · 36 to 25Jul 23, 2025 to Nov 14, 2025
- HNW clients · 360 to 387Jul 23, 2025 to Nov 14, 2025
- Individual clients · 775 to 726Jul 23, 2025 to Nov 14, 2025
- Pension plan clients · 85 to 68Jul 23, 2025 to Nov 14, 2025
- Assets in custody · $144M to $111MJul 23, 2025 to Nov 14, 2025
- Employees · 14 to 13Jul 23, 2025 to Nov 14, 2025
- State-registered IARs · 11 to 8Jul 23, 2025 to Nov 14, 2025
- Discretionary RAUM · $1.8B to $1.9BJul 23, 2025 to Nov 14, 2025
- HNW RAUM · $1.2B to $1.3BJul 23, 2025 to Nov 14, 2025
- Individual RAUM · $285M to $270MJul 23, 2025 to Nov 14, 2025
- Pension RAUM · $120M to $89.1MJul 23, 2025 to Nov 14, 2025
- Pooled vehicle RAUM · $16.9M to $18.6MJul 23, 2025 to Nov 14, 2025
- RAUM · $1.8B to $1.9BJul 23, 2025 to Nov 14, 2025
- Financial planning clients · unset to Mar 5, 2025 to Jul 23, 2025
- Related insurance company · true to falseMar 5, 2025 to Jul 23, 2025
- Accounts · 1,256 to 1,278Feb 27, 2024 to Nov 21, 2024
- Advisory employees · 10 to 11Feb 27, 2024 to Nov 21, 2024
- Charity clients · 19 to 20Feb 27, 2024 to Nov 21, 2024
- Corporate clients · 18 to 36Feb 27, 2024 to Nov 21, 2024
- HNW clients · 321 to 360Feb 27, 2024 to Nov 21, 2024
- Individual clients · 799 to 775Feb 27, 2024 to Nov 21, 2024
- Pension plan clients · 96 to 85Feb 27, 2024 to Nov 21, 2024
- Assets in custody · $135M to $144MFeb 27, 2024 to Nov 21, 2024
- Employees · 15 to 14Feb 27, 2024 to Nov 21, 2024
- State-registered IARs · 10 to 11Feb 27, 2024 to Nov 21, 2024
- Discretionary RAUM · $1.6B to $1.8BFeb 27, 2024 to Nov 21, 2024
- HNW RAUM · $972M to $1.2BFeb 27, 2024 to Nov 21, 2024
- Individual RAUM · $301M to $285MFeb 27, 2024 to Nov 21, 2024
- Pension RAUM · $104M to $120MFeb 27, 2024 to Nov 21, 2024
- Pooled vehicle RAUM · $14.5M to $16.9MFeb 27, 2024 to Nov 21, 2024
- RAUM · $1.6B to $1.8BFeb 27, 2024 to Nov 21, 2024
- Related insurance company · false to trueFeb 27, 2024 to Nov 21, 2024
- Accounts · 1,260 to 1,256Apr 17, 2023 to Nov 15, 2023
- Charity clients · 21 to 19Apr 17, 2023 to Nov 15, 2023
- Corporate clients · 21 to 18Apr 17, 2023 to Nov 15, 2023
- HNW clients · 301 to 321Apr 17, 2023 to Nov 15, 2023
- Individual clients · 811 to 799Apr 17, 2023 to Nov 15, 2023
Signals
4 dated events
- N•••• L•••••••• left A•• A•••• M••••••••• C••• for V••• W••••• L•• (registered 2025-03-17)Jan 2, 2025 · Advisor changed firm · fact
- A••••••• F•••• left A•• A•••• M••••••••• C••• for T•••• S••••••••• L•• (registered 2026-09-01)Sep 11, 2024 · Advisor changed firm · fact
- R••• C••••• C••••• left A•• A•••• M••••••••• C••• for S•••••••• A••••••• L•• (registered 2025-09-03)Apr 30, 2024 · Advisor changed firm · fact
- A•• A•••• M••••••••• C••• reported RAUM $1.5B, down 27% from $2.1B (2022-07-20 to 2022-11-17)Nov 17, 2022 · RAUM change · derived
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
- 424-320-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ami-asset-management-corp.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424 320-4000reportedpublic record, Form ADV, Jul 23, 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
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026