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
S•• I••••••••• A•••••••
Legal name F••• R•••• B••••••
Latest filing May 29, 2026
First filing on the tape Mar 19, 2012 · 17 filings
SEC status approved since Jun 1, 2026
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$51.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.2M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$106M as of May 29, 2026
Mar 19, 2012$104M then
HNW client RAUM$5.9M as of May 29, 2026
Mar 23, 2018$71.4M then
State-registered IARs (5.B.3)2 as of May 29, 2026
Mar 12, 20131 then
Employees (5.A)2 as of May 29, 2026
Mar 12, 20131 then
Private funds: no history
RAUM +5.0% over the last fiscal year+3.0% a year over threeIARs 1 to 2
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $53.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $404,443derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$52.2M49%
- Individuals$45.2M42%
- High-net-worth individuals$5.9M5.5%
- Pooled investment vehicles$3.1M2.9%
- Individual clients
- 110reported
- HNW clients
- 4reported
- Pension plan clients
- 54reported
- Charitable clients
- n/areported
- Accounts
- 263reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.48 fund_share=0.03 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• T•••••• M••••••• | Encino, Ca | Dec 14, 2021 | 38 y | 0 |
| R•••• B• F•• | Encino, Ca | Jan 27, 2025 | 41 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
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
- F••• R••••• B• · Sole Proprietor/Ccocontrolsince 11/1984 · owns 75% or more
- M•••••••• A•• · Compliance Officer/Operations Managercontrolsince 02/2013 · 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 |
|---|---|---|---|---|---|
| Encino, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 29, 2026institutional share of RAUM of 49% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 16.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 316 to 263Aug 24, 2021 to May 29, 2026
- HNW clients · 6 to 4Aug 24, 2021 to May 29, 2026
- Individual clients · 37 to 110Aug 24, 2021 to May 29, 2026
- Pension plan clients · 67 to 54Aug 24, 2021 to May 29, 2026
- Pooled vehicle clients · unset to 4.0Aug 24, 2021 to May 29, 2026
- Financial planning clients · unset to Aug 24, 2021 to May 29, 2026
- State-registered IARs · 1 to 2Aug 24, 2021 to May 29, 2026
- Discretionary RAUM · $74.2M to $106MAug 24, 2021 to May 29, 2026
- HNW RAUM · $6.2M to $5.9MAug 24, 2021 to May 29, 2026
- Individual RAUM · $3.3M to $45.2MAug 24, 2021 to May 29, 2026
- Pension RAUM · $33.5M to $52.2MAug 24, 2021 to May 29, 2026
- Pooled vehicle RAUM · unset to 3119685.0Aug 24, 2021 to May 29, 2026
- RAUM · $74.2M to $106MAug 24, 2021 to May 29, 2026
- Accounts · 329 to 316Jun 26, 2020 to Mar 16, 2021
- HNW clients · 8 to 6Jun 26, 2020 to Mar 16, 2021
- Individual clients · 30 to 37Jun 26, 2020 to Mar 16, 2021
- Pension plan clients · 43 to 67Jun 26, 2020 to Mar 16, 2021
- Employees · 1 to 2Jun 26, 2020 to Mar 16, 2021
- HQ city · LOS ANGELES to ENCINOJun 26, 2020 to Mar 16, 2021
- Discretionary RAUM · $101M to $74.2MJun 26, 2020 to Mar 16, 2021
- HNW RAUM · $16.2M to $6.2MJun 26, 2020 to Mar 16, 2021
- Individual RAUM · $5.4M to $3.3MJun 26, 2020 to Mar 16, 2021
- Pension RAUM · $24.8M to $33.5MJun 26, 2020 to Mar 16, 2021
- RAUM · $101M to $74.2MJun 26, 2020 to Mar 16, 2021
- Accounts · 175 to 329Mar 28, 2019 to Mar 26, 2020
- HNW clients · 10 to 8Mar 28, 2019 to Mar 26, 2020
- Individual clients · 46 to 30Mar 28, 2019 to Mar 26, 2020
- Pension plan clients · 45 to 43Mar 28, 2019 to Mar 26, 2020
- Discretionary RAUM · $96.6M to $101MMar 28, 2019 to Mar 26, 2020
- HNW RAUM · $13.5M to $16.2MMar 28, 2019 to Mar 26, 2020
- Individual RAUM · $7.8M to $5.4MMar 28, 2019 to Mar 26, 2020
- Pension RAUM · $22.6M to $24.8MMar 28, 2019 to Mar 26, 2020
- RAUM · $96.6M to $101MMar 28, 2019 to Mar 26, 2020
- Accounts · 386 to 175Mar 23, 2018 to Mar 28, 2019
- HNW clients · 157 to 10Mar 23, 2018 to Mar 28, 2019
- Individual clients · 45 to 46Mar 23, 2018 to Mar 28, 2019
- Pension plan clients · 43 to 45Mar 23, 2018 to Mar 28, 2019
- Discretionary RAUM · $97.5M to $96.6MMar 23, 2018 to Mar 28, 2019
- HNW RAUM · $71.4M to $13.5MMar 23, 2018 to Mar 28, 2019
- Individual RAUM · $4.1M to $7.8MMar 23, 2018 to Mar 28, 2019
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
- Principal office phone
- 310-481-9320reportedpublic record, Form ADV, May 29, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $53.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026