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•••••• I••••••••
Legal name P•••••• I•••••••• N••••••• I•••
Latest filing Apr 30, 2026
First filing on the tape Jan 18, 2012 · 49 filings
SEC status approved since Apr 7, 2014
RAUM
$516M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$516M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$172M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$516M as of Apr 30, 2026
Mar 10, 2015$108M then
HNW client RAUM$343M as of Apr 30, 2026
Jan 27, 2019$7.6M then
State-registered IARs (5.B.3)3 as of Apr 30, 2026
Mar 10, 20153 then
Employees (5.A)8 as of Apr 30, 2026
Mar 10, 20154 then
Private funds: no history
RAUM +26% over the last fiscal year+29% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Apr 30, 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
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 223derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $769,850derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminars, otherreportedItem 5.G
- Custody
- $23.3M, 27 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$343M66%
- Individuals$173M34%
- Individual clients
- 514reported
- HNW clients
- 156reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 670reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.3M for 27 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| J•••• C•••••••• O•• | Lake Forest, Ca | Jan 9, 2012 | 16 y | 0 |
| J••••• L• V•• L•• | Lake Forest, Ca | Jun 21, 2017 | 15 y | 0 |
| A••• Y•• K••Certified Financial Planner, Chartered Financial Analyst | Lake Forest, Ca | Jul 8, 2024 | 22 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
- K••••• A• D••••••••• to I•••• F••• A•••••••• I•••Apr 12, 2023 · RIA to RIA
Joined, latest
- K••••• A• D••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 23, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J•••••• L• V•• · Chief Executive Officercontrolsince 01/2023 · owns 75% or more
- O••• J••••• C•••••••• · Principalcontrolsince 01/2023 · owns less than 5%
- O••• T••• H•• · Principalcontrolsince 01/2021 · owns less than 5%
- W••••••••• E••••• M•••• · Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lake Forest, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 580 to 670Feb 4, 2026 to Mar 30, 2026
- Advisory employees · 4 to 3Feb 4, 2026 to Mar 30, 2026
- HNW clients · 123 to 156Feb 4, 2026 to Mar 30, 2026
- Individual clients · 457 to 514Feb 4, 2026 to Mar 30, 2026
- Assets in custody · $17.1M to $23.3MFeb 4, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 1-10Feb 4, 2026 to Mar 30, 2026
- State-registered IARs · 4 to 3Feb 4, 2026 to Mar 30, 2026
- Discretionary RAUM · $409M to $516MFeb 4, 2026 to Mar 30, 2026
- HNW RAUM · $270M to $343MFeb 4, 2026 to Mar 30, 2026
- Individual RAUM · $140M to $173MFeb 4, 2026 to Mar 30, 2026
- Pension RAUM · unset to 0.0Feb 4, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 4, 2026 to Mar 30, 2026
- RAUM · $409M to $516MFeb 4, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Aug 11, 2025
- Accounts · 586 to 580Aug 1, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Aug 1, 2024 to Mar 27, 2025
- HNW clients · 67 to 123Aug 1, 2024 to Mar 27, 2025
- Individual clients · 423 to 457Aug 1, 2024 to Mar 27, 2025
- Assets in custody · $160M to $17.1MAug 1, 2024 to Mar 27, 2025
- Employees · 5 to 8Aug 1, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 0Aug 1, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 4Aug 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $295M to $409MAug 1, 2024 to Mar 27, 2025
- HNW RAUM · $165M to $270MAug 1, 2024 to Mar 27, 2025
- Individual RAUM · $130M to $140MAug 1, 2024 to Mar 27, 2025
- RAUM · $295M to $409MAug 1, 2024 to Mar 27, 2025
- Assets in custody · $1.6B to $160MFeb 26, 2024 to Aug 1, 2024
- Accounts · 568 to 586Sep 6, 2023 to Feb 26, 2024
- Business name · PRUDENT INVESTORS NETWORK, INC. to PRUDENT INVESTORSSep 6, 2023 to Feb 26, 2024
- HNW clients · 107 to 67Sep 6, 2023 to Feb 26, 2024
- Individual clients · 268 to 423Sep 6, 2023 to Feb 26, 2024
- Assets in custody · $5.9M to $1.6BSep 6, 2023 to Feb 26, 2024
- Discretionary RAUM · $238M to $295MSep 6, 2023 to Feb 26, 2024
- HNW RAUM · $163M to $165MSep 6, 2023 to Feb 26, 2024
- Individual RAUM · $75.6M to $130MSep 6, 2023 to Feb 26, 2024
- RAUM · $238M to $295MSep 6, 2023 to Feb 26, 2024
- Advisory employees · 4 to 3May 24, 2023 to Sep 6, 2023
- Assets in custody · $11 to $5.9MMay 24, 2023 to Sep 6, 2023
- Employees · 6 to 5May 24, 2023 to Sep 6, 2023
- State-registered IARs · 4 to 3May 24, 2023 to Sep 6, 2023
Signals
6 dated events
- Prudent Investors reported RAUM $515.8M, up 26% from $409.3M (2026-02-04 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Prudent Investors reported RAUM $409.3M, up 39% from $295.4M (2024-08-01 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Cheung-Yi Jared Ong (Principal) appeared on Schedule A of Prudent InvestorsSep 6, 2023 · Control person joined · fact
- Kerrie A Doughty-Lloyd left Prudent Investors for Index Fund Advisors, Inc. (registered 2023-04-13)Apr 12, 2023 · Advisor changed firm · fact
- Marie Elisa Williamson (Chief Compliance Officer) appeared on Schedule A of Prudent InvestorsJan 27, 2019 · Control person joined · fact
- Prudent Investors Network, Inc. filed its initial SEC registration (Form ADV)Mar 18, 2014 · 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/prudent-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- PRUDENTINVESTORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-597-9255reportedpublic record, Form ADV, Apr 30, 2026
- Team page
- PRUDENTINVESTORS.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
- $172Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026