DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
A• A•••• M••••••••• I•••
Latest filing Sep 25, 2025
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Mar 19, 1982
RAUM
$603M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
56%
$338M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$201M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$603M as of Sep 25, 2025
Sep 21, 2012$397M then
HNW client RAUM$335M as of Sep 25, 2025
Sep 27, 2018$275M then
State-registered IARs (5.B.3)3 as of Sep 25, 2025
Sep 21, 20120 then
Employees (5.A)4 as of Sep 25, 2025
Sep 17, 20133 then
Private funds3 as of Sep 25, 2025
Sep 21, 20123 then
RAUM +11% over the last fiscal year+3.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 25, 2025; 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $201MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $206M, 12 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$335M56%
- Pooled investment vehicles$180M30%
- Charitable organizations$83.5M14%
- Individuals$3.7M0.6%
- Pension and profit-sharing plans$502,9610.1%
- Individual clients
- 18reported
- HNW clients
- 97reported
- Pension plan clients
- 2reported
- Charitable clients
- 6reported
- Accounts
- 126reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $206M for 12 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.56 fund_share=0.3 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• M•• R••••••••• | West Hollywood, Ca | Jul 8, 1997 | 45 y | 0 |
| A•••• A•• N••• K•• | West Hollywood, Ca | Feb 13, 2012 | 26 y | 0 |
| K••• D•••• P•••• | West Hollywood, Ca | Oct 7, 2019 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• I••••• A•• G••••• F•••• L••• | Hedge Fund | $59.7M | 30 | Mar 29, 2012 |
| E• C••••• F•••• L••• | Hedge Fund | $53.6M | 31 | Mar 29, 2012 |
| E• C••••• E••••• F•••• L••• | Hedge Fund | $40.7M | 34 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••••••• A••••• M•• · Presidentcontrolsince 02/1981 · owns 50% to 75%
- R••••••••• A•••••• S••••• · Secretary/Chief Compliance Officercontrolsince 02/1981 · owns 50% to 75%
- K••• A••••• A•• N••• · Vice President / Portfolio Managersince 02/2000 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• M•• R•••••••••pooled vehicle sponsory
- N•• P•••••• R••••• C•••••••••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Hollywood, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 128 to 126Sep 23, 2024 to Sep 25, 2025
- HNW clients · 99 to 97Sep 23, 2024 to Sep 25, 2025
- Assets in custody · $190M to $206MSep 23, 2024 to Sep 25, 2025
- Financial planning clients · unset to Sep 23, 2024 to Sep 25, 2025
- Discretionary RAUM · $573M to $603MSep 23, 2024 to Sep 25, 2025
- HNW RAUM · $322M to $335MSep 23, 2024 to Sep 25, 2025
- Individual RAUM · $3.5M to $3.7MSep 23, 2024 to Sep 25, 2025
- Pension RAUM · $304,457 to $502,961Sep 23, 2024 to Sep 25, 2025
- Pooled vehicle RAUM · $166M to $180MSep 23, 2024 to Sep 25, 2025
- RAUM · $573M to $603MSep 23, 2024 to Sep 25, 2025
- Accounts · 129 to 128Sep 28, 2023 to Sep 23, 2024
- HNW clients · 98 to 99Sep 28, 2023 to Sep 23, 2024
- Individual clients · 20 to 18Sep 28, 2023 to Sep 23, 2024
- Assets in custody · $176M to $190MSep 28, 2023 to Sep 23, 2024
- Discretionary RAUM · $542M to $573MSep 28, 2023 to Sep 23, 2024
- HNW RAUM · $314M to $322MSep 28, 2023 to Sep 23, 2024
- Individual RAUM · $3.5M to $3.5MSep 28, 2023 to Sep 23, 2024
- Pension RAUM · $146,105 to $304,457Sep 28, 2023 to Sep 23, 2024
- Pooled vehicle RAUM · $148M to $166MSep 28, 2023 to Sep 23, 2024
- RAUM · $542M to $573MSep 28, 2023 to Sep 23, 2024
- Accounts · 126 to 129Sep 29, 2022 to Sep 28, 2023
- Charity clients · 5 to 6Sep 29, 2022 to Sep 28, 2023
- Pension plan clients · 0 to 2Sep 29, 2022 to Sep 28, 2023
- Assets in custody · $158M to $176MSep 29, 2022 to Sep 28, 2023
- Financial planning clients · 0 to unsetSep 29, 2022 to Sep 28, 2023
- Discretionary RAUM · $501M to $542MSep 29, 2022 to Sep 28, 2023
- HNW RAUM · $297M to $314MSep 29, 2022 to Sep 28, 2023
- Individual RAUM · $3.8M to $3.5MSep 29, 2022 to Sep 28, 2023
- Pension RAUM · $0 to $146,105Sep 29, 2022 to Sep 28, 2023
- Pooled vehicle RAUM · $129M to $148MSep 29, 2022 to Sep 28, 2023
- RAUM · $501M to $542MSep 29, 2022 to Sep 28, 2023
- Accounts · 128 to 126Sep 28, 2021 to Sep 29, 2022
- HNW clients · 100 to 98Sep 28, 2021 to Sep 29, 2022
- Assets in custody · $176M to $158MSep 28, 2021 to Sep 29, 2022
- Discretionary RAUM · $542M to $501MSep 28, 2021 to Sep 29, 2022
- HNW RAUM · $319M to $297MSep 28, 2021 to Sep 29, 2022
- Individual RAUM · $4.0M to $3.8MSep 28, 2021 to Sep 29, 2022
- Pooled vehicle RAUM · $142M to $129MSep 28, 2021 to Sep 29, 2022
- RAUM · $542M to $501MSep 28, 2021 to Sep 29, 2022
- Accounts · 127 to 128Sep 25, 2020 to Sep 28, 2021
Signals
No event on the tape.
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
- Principal office phone
- (310) 859-7644reportedpublic record, Form ADV, Sep 25, 2025
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
- $201Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026