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•••• A•••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 10, 2012 · 22 filings
SEC status approved since Sep 26, 2003
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$175M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$175M as of Mar 24, 2026
Feb 10, 2012$212M then
HNW client RAUM$175M as of Mar 24, 2026
Mar 20, 2018$484M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Feb 27, 20131 then
Employees (5.A)1 as of Mar 24, 2026
Feb 27, 20131 then
Private funds: no history
RAUM -7.4% over the last fiscal year-11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$175M100%
- Individual clients
- n/areported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 80reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R•••••• P•••• | Los Angeles, Ca | Sep 8, 2026 | 35 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• R•••••• P•••• to A••••••• I••••••••• A•••••••• L••Dec 31, 2009 · Other
Joined, latest
- M•••••• R•••••• P•••• from P•••• F•••••• M••••••••• L••Sep 8, 2026 · Other
- M•••••• R•••••• P•••• from H••••• C•••••• M•••••••••Jul 21, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• M••••••• R•••••• · President & Founder, Chief Compliance Officercontrolsince 09/2003 · owns 75% or more
Related persons
Schedule D 7.A
- P•••• F•••••• M••••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 38 to 80Mar 27, 2025 to Mar 24, 2026
- HNW clients · 38 to 35Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $189M to $175MMar 27, 2025 to Mar 24, 2026
- HNW RAUM · $189M to $175MMar 27, 2025 to Mar 24, 2026
- RAUM · $189M to $175MMar 27, 2025 to Mar 24, 2026
- Accounts · 42 to 38Aug 5, 2024 to Mar 27, 2025
- Corporate clients · 1.0 to unsetAug 5, 2024 to Mar 27, 2025
- HNW clients · 36 to 38Aug 5, 2024 to Mar 27, 2025
- Insurance-licensed employees · 0 to 1Aug 5, 2024 to Mar 27, 2025
- Financial planning clients · unset to Aug 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $217M to $189MAug 5, 2024 to Mar 27, 2025
- HNW RAUM · $198M to $189MAug 5, 2024 to Mar 27, 2025
- RAUM · $217M to $189MAug 5, 2024 to Mar 27, 2025
- Related adviser · false to trueApr 22, 2024 to Aug 5, 2024
- Accounts · 38 to 42Apr 27, 2023 to Mar 26, 2024
- HNW clients · 38 to 36Apr 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $250M to $217MApr 27, 2023 to Mar 26, 2024
- HNW RAUM · $212M to $198MApr 27, 2023 to Mar 26, 2024
- RAUM · $250M to $217MApr 27, 2023 to Mar 26, 2024
- Accounts · 41 to 38Mar 31, 2022 to Mar 28, 2023
- Corporate clients · unset to 1.0Mar 31, 2022 to Mar 28, 2023
- HNW clients · 32 to 38Mar 31, 2022 to Mar 28, 2023
- Financial planning clients · 0 to unsetMar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $360M to $250MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $160M to $212MMar 31, 2022 to Mar 28, 2023
- RAUM · $360M to $250MMar 31, 2022 to Mar 28, 2023
- Accounts · 38 to 41Mar 16, 2021 to Mar 31, 2022
- Discretionary RAUM · $355M to $360MMar 16, 2021 to Mar 31, 2022
- HNW RAUM · $175M to $160MMar 16, 2021 to Mar 31, 2022
- RAUM · $355M to $360MMar 16, 2021 to Mar 31, 2022
- Accounts · 85 to 38Jul 10, 2020 to Mar 16, 2021
- HNW clients · 34 to 32Jul 10, 2020 to Mar 16, 2021
- Discretionary RAUM · $362M to $355MJul 10, 2020 to Mar 16, 2021
- HNW RAUM · $212M to $175MJul 10, 2020 to Mar 16, 2021
- RAUM · $362M to $355MJul 10, 2020 to Mar 16, 2021
- Accounts · 34 to 85Mar 28, 2019 to Mar 25, 2020
- Assets in custody · 25540000.0 to unsetMar 28, 2019 to Mar 25, 2020
- Custody of client assets · true to falseMar 28, 2019 to Mar 25, 2020
- Discretionary RAUM · $360M to $362MMar 28, 2019 to Mar 25, 2020
- HNW RAUM · $360M to $212MMar 28, 2019 to Mar 25, 2020
Signals
3 dated events
- P•••• A•••• M••••••••• L•• reported RAUM $250.0M, down 31% from $360.0M (2022-03-31 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- P•••• A•••• M••••••••• L•• reported RAUM $360.0M, down 26% from $484.0M (2018-03-20 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- P•••• A•••• M••••••••• L•• reported RAUM $484.0M, up 69% from $287.0M (2017-02-15 to 2018-03-20)Mar 20, 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
- Business phone
- 310-461-1330reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-461-1330reportedpublic record, Form ADV, Mar 24, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026