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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 5 filings
SEC status approved since Aug 13, 2025
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$145M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$154M as of Mar 31, 2026
Mar 30, 2012$52.6M then
HNW client RAUM$128M as of Mar 31, 2026
Aug 7, 2025$103M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Aug 7, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $76.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $508,334derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $7.8MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M84%
- Individuals$17.1M11%
- Charitable organizations$8.1M5.3%
- Individual clients
- 85reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 302reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• W•••••• J••••••Certified Financial Planner | Torrance, Ca | Jun 28, 2004 | 23 y | 1 |
| G•••••• P••• A••••••••• | Torrance, Ca | Apr 16, 2010 | 30 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
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
- A••••••••• G••••••• P••• · Managing Member And Chief Compliance Officercontrolsince 02/1999 · 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 |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 147 to 302Sep 11, 2025 to Mar 31, 2026
- HNW clients · 99 to 87Sep 11, 2025 to Mar 31, 2026
- Individual clients · 46 to 85Sep 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $115M to $154MSep 11, 2025 to Mar 31, 2026
- HNW RAUM · $103M to $128MSep 11, 2025 to Mar 31, 2026
- Individual RAUM · $6.6M to $17.1MSep 11, 2025 to Mar 31, 2026
- RAUM · $115M to $154MSep 11, 2025 to Mar 31, 2026
- Accounts · 216 to 147Mar 30, 2012 to Aug 7, 2025
- Advisory employees · unset to 2.0Mar 30, 2012 to Aug 7, 2025
- Advisory activities · 1 to 3Mar 30, 2012 to Aug 7, 2025
- BD registered reps · unset to 2.0Mar 30, 2012 to Aug 7, 2025
- Charity clients · unset to 2.0Mar 30, 2012 to Aug 7, 2025
- HNW clients · unset to 99.0Mar 30, 2012 to Aug 7, 2025
- Individual clients · unset to 46.0Mar 30, 2012 to Aug 7, 2025
- Commission compensation · true to falseMar 30, 2012 to Aug 7, 2025
- Employees · unset to 3.0Mar 30, 2012 to Aug 7, 2025
- Financial planning clients · 0 to 1-10Mar 30, 2012 to Aug 7, 2025
- HQ city · ROLLING HILLS ESTATES to TORRANCEMar 30, 2012 to Aug 7, 2025
- State-registered IARs · 0 to 2Mar 30, 2012 to Aug 7, 2025
- Other offices · unset to 0.0Mar 30, 2012 to Aug 7, 2025
- Discretionary RAUM · $52.6M to $115MMar 30, 2012 to Aug 7, 2025
- HNW RAUM · unset to 103126457.0Mar 30, 2012 to Aug 7, 2025
- Individual RAUM · unset to 6597407.0Mar 30, 2012 to Aug 7, 2025
- RAUM · $52.6M to $115MMar 30, 2012 to Aug 7, 2025
- Wrap assets (manager) · unset to 0.0Mar 30, 2012 to Aug 7, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 30, 2012 to Aug 7, 2025
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
- Business email
- theresa@alessandracapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-377-9220reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-377-9220reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- alessandracapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- alessandracapital.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $76.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026