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
O•••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 30, 2020 · 19 filings
SEC status approved since Jul 31, 2020
RAUM
$371M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$349M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$92.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$371M as of Mar 26, 2026
Mar 18, 2021$151M then
HNW client RAUM$312M as of Mar 26, 2026
Mar 18, 2021$105M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Mar 18, 20212 then
Employees (5.A)4 as of Mar 26, 2026
Mar 18, 20213 then
Private funds: no history
RAUM +45% over the last fiscal year+25% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $92.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $674,397derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$312M84%
- Individuals$36.7M9.9%
- Pension and profit-sharing plans$12.6M3.4%
- Charitable organizations$6.8M1.8%
- Corporations and businesses$2.7M0.7%
- Individual clients
- 89reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 550reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• C••••••••• T••••Chartered Financial Analyst | Coronado, Ca | Jun 6, 2002 | 24 y | 0 |
| C••• M•••••• F••••••Certified Financial Planner | San Diego, Ca | Jan 14, 2022 | 19 y | 4 |
| J••••• P•••••• M•••Certified Financial Planner | El Cajon, Ca | Sep 9, 2024 | 29 y | 0 |
| J•••••••• J••••• R••••••••Certified Financial Planner | Coronado, Ca | Jan 1, 2025 | 13 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
- J•• P••••• S••••••••• to J•• G••••• I••••••••• L••Mar 10, 2017 · RIA to a state-registered adviser
Joined, latest
- J•••••••• J••••• R•••••••• from T•• G•••••• G••••Jan 1, 2025 · RIA to RIA
- C••• M•••••• F•••••• from T•• G•••••• G••••Jan 14, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• P••••• C••••••••• · Managing Member/Chief Compliance Officercontrolsince 04/2002 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Coronado, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coronado, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $256,676,559 to $370,918,114 (+45.0%) between the annual amendments of 2025-03-29 and 2026-03-26; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 450 to 550Mar 29, 2025 to Mar 26, 2026
- HNW clients · 59 to 74Mar 29, 2025 to Mar 26, 2026
- Individual clients · 76 to 89Mar 29, 2025 to Mar 26, 2026
- Pension plan clients · 5.0 to unsetMar 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $256M to $371MMar 29, 2025 to Mar 26, 2026
- HNW RAUM · $195M to $312MMar 29, 2025 to Mar 26, 2026
- Individual RAUM · $35.1M to $36.7MMar 29, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $380,986 to $403,657Mar 29, 2025 to Mar 26, 2026
- Pension RAUM · $15.7M to $12.6MMar 29, 2025 to Mar 26, 2026
- RAUM · $257M to $371MMar 29, 2025 to Mar 26, 2026
- Accounts · 449 to 450Dec 17, 2024 to Mar 29, 2025
- Advisory employees · 3 to 4Dec 17, 2024 to Mar 29, 2025
- HNW clients · 54 to 59Dec 17, 2024 to Mar 29, 2025
- Individual clients · 80 to 76Dec 17, 2024 to Mar 29, 2025
- Pension plan clients · 10 to 5Dec 17, 2024 to Mar 29, 2025
- Financial planning clients · 51-100 to 51-100Dec 17, 2024 to Mar 29, 2025
- State-registered IARs · 3 to 4Dec 17, 2024 to Mar 29, 2025
- Discretionary RAUM · $218M to $256MDec 17, 2024 to Mar 29, 2025
- HNW RAUM · $154M to $195MDec 17, 2024 to Mar 29, 2025
- Individual RAUM · $37.3M to $35.1MDec 17, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $251,022 to $380,986Dec 17, 2024 to Mar 29, 2025
- Pension RAUM · $18.9M to $15.7MDec 17, 2024 to Mar 29, 2025
- RAUM · $218M to $257MDec 17, 2024 to Mar 29, 2025
- Other offices · 5 to 6Dec 5, 2024 to Dec 17, 2024
- Other offices · 4 to 5Dec 5, 2024 to Dec 5, 2024
- Accounts · 393 to 449Apr 3, 2023 to Mar 26, 2024
- Corporate clients · 5.0 to unsetApr 3, 2023 to Mar 26, 2024
- Individual clients · 65 to 80Apr 3, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 10Apr 3, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 51-100Apr 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $189M to $218MApr 3, 2023 to Mar 26, 2024
- HNW RAUM · $139M to $154MApr 3, 2023 to Mar 26, 2024
- Individual RAUM · $25.7M to $37.3MApr 3, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $132,902 to $251,022Apr 3, 2023 to Mar 26, 2024
- Pension RAUM · $10.7M to $18.9MApr 3, 2023 to Mar 26, 2024
- RAUM · $189M to $218MApr 3, 2023 to Mar 26, 2024
- Accounts · 303 to 393Apr 27, 2022 to Mar 24, 2023
- Corporate clients · unset to 5.0Apr 27, 2022 to Mar 24, 2023
- HNW clients · 44 to 54Apr 27, 2022 to Mar 24, 2023
- Individual clients · 52 to 65Apr 27, 2022 to Mar 24, 2023
Signals
2 dated events
- O•••• C•••••• M••••••••• L•• reported RAUM $370.9M, up 45% from $256.7M (2025-03-29 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- O•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2020 · 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
- Firm profile
- linkedin.com/company/orion-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- orioncapitalmgmt.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (619) 319-0520reportedpublic record, Form ADV, Mar 26, 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
- $92.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026