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
N•••••••• L••
Latest filing Apr 2, 2026
First filing on the tape Nov 17, 2011 · 45 filings
SEC status approved since Jan 30, 2006
RAUM
$732M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$668M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$91.5M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$732M as of Apr 2, 2026
Mar 1, 2012$77.9M then
HNW client RAUM$530M as of Apr 2, 2026
Mar 20, 2018$72.1M then
State-registered IARs (5.B.3)8 as of Apr 2, 2026
Mar 1, 20120 then
Employees (5.A)10 as of Apr 2, 2026
Feb 11, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+19% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Apr 2, 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
- 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
- $91.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $384,019derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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$530M72%
- Individuals$138M19%
- Pension and profit-sharing plans$58.7M8.0%
- Corporations and businesses$4.6M0.6%
- Charitable organizations$428,2450.1%
- Individual clients
- 439reported
- HNW clients
- 241reported
- Pension plan clients
- 32reported
- Charitable clients
- 1reported
- Accounts
- 1,906reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••••• J••••• | Encino, Ca | Jan 16, 2018 | 28 y | 1 |
| S•••• T•••• | Encino, Ca | Jan 16, 2018 | 14 y | 2 |
| S•••••• E••••• R•••••••Certified Financial Planner | Encino, Ca | Jul 16, 2018 | 17 y | 4 |
| M••• J••••• S•••••••• | Encino, Ca | Jul 16, 2018 | 17 y | 3 |
| K•••• M•••••• H•••••Certified Financial Planner | Encino, Ca | Sep 21, 2018 | 16 y | 3 |
| S•••• C••••••••• G•••••Certified Financial Planner | Encino, Ca | Jul 14, 2023 | 14 y | 3 |
| A•••• G••••• S••••••••• | Encino, Ca | Nov 14, 2025 | 12 y | 0 |
| M•••••• A• P•••••• | Encino, Ca | Jan 5, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A••••• M••• D•••• to E•••••• F•••••••• S•••••••• L••Jan 22, 2015 · Other
- A••••• H••••• M••••• to F•••• F••••••••• A•••••••Jan 4, 2012 · Other
Joined, latest
- M•••••• A• P•••••• from M•••••• W••••• S•••••••••Jan 5, 2026 · RIA to RIA
- S•••• C••••••••• G••••• from K•• W••••• A•••••••Jul 14, 2023 · RIA to RIA
- K•••• M•••••• H••••• from A••••••• A•••• M•••••••••Sep 21, 2018 · RIA to RIA
- M••• J••••• S•••••••• from 1••• F•••••••• G••••Jul 16, 2018 · Other
- S•••••• E••••• R••••••• from 1••• F•••••••• G••••Jul 16, 2018 · Other
- S•••• T•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 20, 2015 · Other
- A••••• H••••• M••••• from E•••••••• A•••••••• L••Apr 30, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from 1••• F•••••••• G••••Dec 31, 2018 · Encino, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• M•••••• · Member & Chief Compliance Officercontrolsince 03/2002 · owns 25% to 50%
- J•••••• D••••• W•••••• · Membercontrolsince 03/2002 · owns 25% to 50%
- R•••••••• S••••••• E••••• · Membercontrolsince 06/2018 · owns 10% to 25%
- S••••••••• M••••••• J• · Membercontrolsince 06/2018 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Encino, Ca · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,845 to 1,906Sep 17, 2025 to Feb 25, 2026
- Advisory employees · 7 to 8Sep 17, 2025 to Feb 25, 2026
- Charity clients · unset to 1.0Sep 17, 2025 to Feb 25, 2026
- Corporate clients · unset to 3.0Sep 17, 2025 to Feb 25, 2026
- HNW clients · 219 to 241Sep 17, 2025 to Feb 25, 2026
- Individual clients · 458 to 439Sep 17, 2025 to Feb 25, 2026
- Pension plan clients · 37 to 32Sep 17, 2025 to Feb 25, 2026
- Assets in custody · 256000000.0 to unsetSep 17, 2025 to Feb 25, 2026
- Custody of client assets · true to falseSep 17, 2025 to Feb 25, 2026
- Employees · 9 to 10Sep 17, 2025 to Feb 25, 2026
- State-registered IARs · 7 to 8Sep 17, 2025 to Feb 25, 2026
- Discretionary RAUM · $656M to $732MSep 17, 2025 to Feb 25, 2026
- HNW RAUM · $466M to $530MSep 17, 2025 to Feb 25, 2026
- Individual RAUM · $124M to $138MSep 17, 2025 to Feb 25, 2026
- Pension RAUM · $65.3M to $58.7MSep 17, 2025 to Feb 25, 2026
- RAUM · $656M to $732MSep 17, 2025 to Feb 25, 2026
- Accounts · 1,685 to 1,845Nov 8, 2024 to Mar 27, 2025
- HNW clients · 205 to 219Nov 8, 2024 to Mar 27, 2025
- Individual clients · 468 to 458Nov 8, 2024 to Mar 27, 2025
- Assets in custody · $227M to $256MNov 8, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Nov 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $554M to $656MNov 8, 2024 to Mar 27, 2025
- HNW RAUM · $390M to $466MNov 8, 2024 to Mar 27, 2025
- Individual RAUM · $114M to $124MNov 8, 2024 to Mar 27, 2025
- Pension RAUM · $50.0M to $65.3MNov 8, 2024 to Mar 27, 2025
- RAUM · $554M to $656MNov 8, 2024 to Mar 27, 2025
- Accounts · 1,516 to 1,685Sep 27, 2023 to Mar 21, 2024
- Advisory employees · 6 to 7Sep 27, 2023 to Mar 21, 2024
- HNW clients · 179 to 205Sep 27, 2023 to Mar 21, 2024
- Individual clients · 436 to 468Sep 27, 2023 to Mar 21, 2024
- Pension plan clients · 30 to 37Sep 27, 2023 to Mar 21, 2024
- Assets in custody · $210M to $227MSep 27, 2023 to Mar 21, 2024
- Employees · 8 to 9Sep 27, 2023 to Mar 21, 2024
- State-registered IARs · 6 to 7Sep 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $439M to $554MSep 27, 2023 to Mar 21, 2024
- HNW RAUM · $296M to $390MSep 27, 2023 to Mar 21, 2024
- Individual RAUM · $93.7M to $114MSep 27, 2023 to Mar 21, 2024
- Pension RAUM · $48.8M to $50.0MSep 27, 2023 to Mar 21, 2024
- RAUM · $439M to $554MSep 27, 2023 to Mar 21, 2024
- Accounts · 1,599 to 1,516Oct 31, 2022 to Mar 16, 2023
Signals
2 dated events
- N•••••••• L•• reported RAUM $553.7M, up 26% from $438.7M (2023-09-27 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- N•••••••• L•• reported RAUM $356.2M, up 109% from $170.3M (2019-10-30 to 2020-03-19)Mar 19, 2020 · 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
- 855-360-1080reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/navalignreportedpublic record, Form ADV, Sep 18, 2026
- Website
- navalign.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 818-728-4500reportedpublic record, Form ADV, Apr 2, 2026
- Team page
- navalign.com/who-we-arereportedpublished 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
- $91.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026