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
P•••••• F•••••••• C•••••••••
Legal name P•• C•••••• G•••• I••
Latest filing Oct 28, 2025
First filing on the tape Jan 3, 2012 · 19 filings
SEC status approved since Feb 6, 1986
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$257M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$87.5M
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$262M as of Oct 28, 2025
Oct 25, 2012$135M then
HNW client RAUM$217M as of Oct 28, 2025
Oct 5, 2018$11.0M then
State-registered IARs (5.B.3)3 as of Oct 28, 2025
Oct 25, 20120 then
Employees (5.A)10 as of Oct 28, 2025
Oct 29, 20136 then
Private funds: no history
RAUM +24% over the last fiscal year+3.2% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Oct 28, 2025; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $687,062derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -34%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $22.7M, 13 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)
- 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$217M84%
- Individuals$40.3M16%
- Charitable organizations$751,7990.3%
- Corporations and businesses$305,6630.1%
- Individual clients
- 181reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 382reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.7M for 13 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| S•••••• E••••• S•••••• | Los Angeles, Ca | Jul 8, 1997 | 45 y | 0 |
| J••••• M••••• | Los Angeles, Ca | Oct 14, 2020 | 13 y | 0 |
| T•••••• S•••••••• | Los Angeles, Ca | May 18, 2021 | 11 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• S••••••• E••••• · Presidentcontrolsince 09/1981 · owns less than 5%
- S••••••• S••••••• E••••• · Shareholdercontrolsince 09/1981 · owns 75% or more of R••••• I•••
- B•••••••• C••••••••• T••••• · Vice-Presidentsince 08/1987 · owns less than 5%
Entity owners
- R••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• • B•••••••• A• P••••••••• C•••••••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 412 to 382Jan 29, 2025 to Oct 28, 2025
- Corporate clients · 14 to 12Jan 29, 2025 to Oct 28, 2025
- HNW clients · 51 to 55Jan 29, 2025 to Oct 28, 2025
- Individual clients · 225 to 181Jan 29, 2025 to Oct 28, 2025
- Assets in custody · $24.9M to $22.7MJan 29, 2025 to Oct 28, 2025
- Discretionary RAUM · $243M to $262MJan 29, 2025 to Oct 28, 2025
- HNW RAUM · $195M to $217MJan 29, 2025 to Oct 28, 2025
- Individual RAUM · $42.7M to $40.3MJan 29, 2025 to Oct 28, 2025
- RAUM · $243M to $262MJan 29, 2025 to Oct 28, 2025
- Advisory employees · 1 to 3Oct 29, 2024 to Jan 29, 2025
- Employees · 8 to 10Oct 29, 2024 to Jan 29, 2025
- Insurance-licensed employees · 0 to 2Oct 29, 2024 to Jan 29, 2025
- Financial planning clients · 1-10 to 1-10Oct 29, 2024 to Jan 29, 2025
- State-registered IARs · 1 to 3Oct 29, 2024 to Jan 29, 2025
- Accounts · 441 to 412Dec 12, 2023 to Oct 29, 2024
- Advisory activities · 2 to 3Dec 12, 2023 to Oct 29, 2024
- Charity clients · unset to 3.0Dec 12, 2023 to Oct 29, 2024
- Corporate clients · 16 to 14Dec 12, 2023 to Oct 29, 2024
- HNW clients · 76 to 51Dec 12, 2023 to Oct 29, 2024
- Individual clients · 343 to 225Dec 12, 2023 to Oct 29, 2024
- Pension plan clients · 3.0 to unsetDec 12, 2023 to Oct 29, 2024
- Assets in custody · $3.3M to $24.9MDec 12, 2023 to Oct 29, 2024
- Employees · 9 to 8Dec 12, 2023 to Oct 29, 2024
- Discretionary RAUM · $212M to $243MDec 12, 2023 to Oct 29, 2024
- HNW RAUM · $169M to $195MDec 12, 2023 to Oct 29, 2024
- Individual RAUM · $37.3M to $42.7MDec 12, 2023 to Oct 29, 2024
- Pension RAUM · 388870.0 to unsetDec 12, 2023 to Oct 29, 2024
- RAUM · $212M to $243MDec 12, 2023 to Oct 29, 2024
- Accounts · 392 to 441Oct 27, 2022 to Oct 23, 2023
- Corporate clients · unset to 16.0Oct 27, 2022 to Oct 23, 2023
- HNW clients · 52 to 76Oct 27, 2022 to Oct 23, 2023
- Individual clients · 295 to 343Oct 27, 2022 to Oct 23, 2023
- Pension plan clients · unset to 3.0Oct 27, 2022 to Oct 23, 2023
- Assets in custody · $19.1M to $3.3MOct 27, 2022 to Oct 23, 2023
- Employees · 7 to 9Oct 27, 2022 to Oct 23, 2023
- Discretionary RAUM · $208M to $212MOct 27, 2022 to Oct 23, 2023
- HNW RAUM · $143M to $169MOct 27, 2022 to Oct 23, 2023
- Individual RAUM · $51.3M to $37.3MOct 27, 2022 to Oct 23, 2023
- Pension RAUM · $5.1M to $388,870Oct 27, 2022 to Oct 23, 2023
- RAUM · $208M to $212MOct 27, 2022 to Oct 23, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P•••••• F•••••••• C••••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-556-2055reportedpublic record, Form ADV, Oct 28, 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
- $87.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026