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
A••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape May 3, 2012 · 22 filings
SEC status approved since Jan 20, 2004
RAUM
$5.6B
reported, Item 5.F
Discretionary
0.7%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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$5.6B as of Mar 31, 2026
Mar 31, 2017$2.1B then
HNW client RAUM$42.6M as of Mar 26, 2025
Mar 27, 2018$4.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
May 3, 20120 then
Employees (5.A)1 as of Mar 31, 2026
May 3, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $5.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $48.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.7%derivedof RAUM
- Institutional
- 100%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
- +12%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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$5.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 115reported
- Charitable clients
- n/areported
- Accounts
- 115reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- M•••••••• G••• L••••• · President, Director, Chief Compliance Officercontrolsince 06/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026hourly charges (Item 5.E.2): no on the filing of 2025-03-26, yes on the filing of 2026-03-31peers: institutional managers, $5B to $20B (71)
What changed
consecutive filings, newest first
- HNW clients · 33.0 to unsetMar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $32.2M to $39.1MMar 26, 2025 to Mar 31, 2026
- HNW RAUM · 42615000.0 to unsetMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.9B to $5.5BMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $4.9B to $5.6BMar 26, 2025 to Mar 31, 2026
- RAUM · $5.0B to $5.6BMar 26, 2025 to Mar 31, 2026
- Accounts · 122 to 115Mar 14, 2024 to Mar 26, 2025
- HNW clients · 7 to 33Mar 14, 2024 to Mar 26, 2025
- Individual clients · 6.0 to unsetMar 14, 2024 to Mar 26, 2025
- Pension plan clients · 122 to 115Mar 14, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 11-25Mar 14, 2024 to Mar 26, 2025
- Discretionary RAUM · $33.0M to $32.2MMar 14, 2024 to Mar 26, 2025
- HNW RAUM · $11.1M to $42.6MMar 14, 2024 to Mar 26, 2025
- Individual RAUM · 2200000.0 to unsetMar 14, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $4.5B to $4.9BMar 14, 2024 to Mar 26, 2025
- Pension RAUM · $4.6B to $4.9BMar 14, 2024 to Mar 26, 2025
- RAUM · $4.6B to $5.0BMar 14, 2024 to Mar 26, 2025
- Accounts · 111 to 122Mar 24, 2023 to Mar 14, 2024
- HNW clients · unset to 7.0Mar 24, 2023 to Mar 14, 2024
- Individual clients · unset to 6.0Mar 24, 2023 to Mar 14, 2024
- Pension plan clients · 111 to 122Mar 24, 2023 to Mar 14, 2024
- Financial planning clients · 1-10 to 11-25Mar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $35.2M to $33.0MMar 24, 2023 to Mar 14, 2024
- HNW RAUM · unset to 11100000.0Mar 24, 2023 to Mar 14, 2024
- Individual RAUM · unset to 2200000.0Mar 24, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $4.0B to $4.5BMar 24, 2023 to Mar 14, 2024
- Pension RAUM · $4.0B to $4.6BMar 24, 2023 to Mar 14, 2024
- RAUM · $4.0B to $4.6BMar 24, 2023 to Mar 14, 2024
- Accounts · 130 to 111May 11, 2022 to Mar 24, 2023
- Pension plan clients · 130 to 111May 11, 2022 to Mar 24, 2023
- Financial planning clients · 0 to 1-10May 11, 2022 to Mar 24, 2023
- Discretionary RAUM · $42.8M to $35.2MMay 11, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $4.7B to $4.0BMay 11, 2022 to Mar 24, 2023
- Pension RAUM · $4.7B to $4.0BMay 11, 2022 to Mar 24, 2023
- RAUM · $4.7B to $4.0BMay 11, 2022 to Mar 24, 2023
- Accounts · 115 to 130Apr 27, 2021 to Mar 16, 2022
- Advisory activities · 1 to 2Apr 27, 2021 to Mar 16, 2022
- Pension plan clients · 115 to 130Apr 27, 2021 to Mar 16, 2022
- Discretionary RAUM · $18.2M to $42.8MApr 27, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $4.1B to $4.7BApr 27, 2021 to Mar 16, 2022
Signals
1 dated events
- A••••••••• I••• reported RAUM $2.7B, up 27% from $2.1B (2017-03-31 to 2018-03-27)Mar 27, 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
- Principal office phone
- 714-290-4762reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026