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.
SEC-registered adviser
Prudent Investor Advisors, LLC
Latest filing Mar 26, 2026
First filing on the tape Mar 22, 2012 · 29 filings
SEC status approved since Sep 15, 2004
RAUM
$1.3B
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
10%
$136M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$326M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.3B as of Mar 26, 2026
Mar 22, 2012$315M then
HNW client RAUM$95.9M as of Mar 26, 2026
Mar 21, 2018$10.7M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Mar 7, 20131 then
Employees (5.A)4 as of Mar 26, 2026
Mar 7, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+6.4% 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
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $326MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$616M47%
- State and municipal entities$378M29%
- Pooled investment vehicles$137M11%
- High-net-worth individuals$95.9M7.4%
- Individuals$40.3M3.1%
- Charitable organizations$34.2M2.6%
- Corporations and businesses$428,3440.0%
- Individual clients
- 153reported
- HNW clients
- 26reported
- Pension plan clients
- 30reported
- Charitable clients
- 10reported
- Accounts
- 238reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.1 fund_share=0.11 institutional_share=0.79 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 |
|---|---|---|---|---|
| Gary Keith Allen | Folsom, Ca | Nov 18, 2004 | 28 y | 0 |
| Jeffrey Brian Coontz | Folsom, Ca | Nov 22, 2004 | 32 y | 1 |
| Gabriel Arturo Uruburo | Folsom, Ca | Aug 24, 2022 | 13 y | 5 |
| Kenneth Peter Haren | Folsom, Ca | Aug 21, 2023 | 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 headcount0 left over 36 months
Left, latest
- Andrew Yoontae Kim to Dowling & Yahnke, LLCApr 8, 2022 · Other
- Anna Christina Nelson to Ely Prudent Portfolios, LLCMay 24, 2007 · Other
- Guerdon Tisdale Ely to Ely Prudent Portfolios, LLCMay 24, 2007 · Other
Joined, latest
- Gabriel Arturo Uruburo from MML Investors Services, LLCAug 24, 2022 · Other
- Jeffrey Brian Coontz from Premier Financial Group IncNov 22, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Keith Gary Allen · Membercontrolsince 05/2007 · owns 50% to 75%
- Brian Jeffrey Coontz · Member/Chief Compliance Officercontrolsince 05/2007 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Folsom, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oceanside, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 168 to 238Mar 19, 2025 to Mar 26, 2026
- Charity clients · 3 to 10Mar 19, 2025 to Mar 26, 2026
- HNW clients · 23 to 26Mar 19, 2025 to Mar 26, 2026
- Individual clients · 122 to 153Mar 19, 2025 to Mar 26, 2026
- Pension plan clients · 27 to 30Mar 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $122M to $171MMar 19, 2025 to Mar 26, 2026
- HNW RAUM · $71.6M to $95.9MMar 19, 2025 to Mar 26, 2026
- Individual RAUM · $25.5M to $40.3MMar 19, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.0B to $1.1BMar 19, 2025 to Mar 26, 2026
- Pension RAUM · $556M to $616MMar 19, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $127M to $137MMar 19, 2025 to Mar 26, 2026
- RAUM · $1.2B to $1.3BMar 19, 2025 to Mar 26, 2026
- Accounts · 137 to 168Mar 20, 2024 to Mar 19, 2025
- Advisory employees · 5 to 4Mar 20, 2024 to Mar 19, 2025
- Charity clients · 2 to 3Mar 20, 2024 to Mar 19, 2025
- HNW clients · 16 to 23Mar 20, 2024 to Mar 19, 2025
- Individual clients · 78 to 122Mar 20, 2024 to Mar 19, 2025
- Pension plan clients · 35 to 27Mar 20, 2024 to Mar 19, 2025
- Employees · 5 to 4Mar 20, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 19, 2025
- State-registered IARs · 5 to 4Mar 20, 2024 to Mar 19, 2025
- Other offices · 1 to 0Mar 20, 2024 to Mar 19, 2025
- Discretionary RAUM · $83.6M to $122MMar 20, 2024 to Mar 19, 2025
- HNW RAUM · $42.8M to $71.6MMar 20, 2024 to Mar 19, 2025
- Individual RAUM · $29.3M to $25.5MMar 20, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $1.2B to $1.0BMar 20, 2024 to Mar 19, 2025
- Pension RAUM · $628M to $556MMar 20, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $124M to $127MMar 20, 2024 to Mar 19, 2025
- RAUM · $1.2B to $1.2BMar 20, 2024 to Mar 19, 2025
- Accounts · 98 to 137Mar 9, 2023 to Mar 20, 2024
- Advisory employees · 4 to 5Mar 9, 2023 to Mar 20, 2024
- Charity clients · unset to 2.0Mar 9, 2023 to Mar 20, 2024
- Corporate clients · unset to 3.0Mar 9, 2023 to Mar 20, 2024
- Individual clients · 31 to 78Mar 9, 2023 to Mar 20, 2024
- Pension plan clients · 41 to 35Mar 9, 2023 to Mar 20, 2024
- State-registered IARs · 4 to 5Mar 9, 2023 to Mar 20, 2024
- Discretionary RAUM · $75.5M to $83.6MMar 9, 2023 to Mar 20, 2024
- HNW RAUM · $32.8M to $42.8MMar 9, 2023 to Mar 20, 2024
- Individual RAUM · $11.7M to $29.3MMar 9, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $1.0B to $1.2BMar 9, 2023 to Mar 20, 2024
Signals
4 dated events
- Andrew Yoontae Kim left Prudent Investor Advisors, Llc for Dowling & Yahnke, Llc (registered 2022-07-26)Apr 8, 2022 · Advisor changed firm · fact
- Prudent Investor Advisors, Llc reported RAUM $1.2B, up 47% from $847.1M (2021-03-12 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Scott Wendell Simon (Member) no longer on Schedule A of Prudent Investor Advisors, Llc (listed 2020-07-23, absent 2020-08-24)Aug 24, 2020 · Control person left · inference
- Prudent Investor Advisors, Llc reported RAUM $848.3M, up 31% from $646.0M (2017-03-21 to 2018-03-21)Mar 21, 2018 · 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
- Firm profile
- linkedin.com/company/prudent-investor-advisors-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- prudentllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-446-1848reportedpublic 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $326Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026