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••••••••• G••••• L••
Latest filing Jun 22, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Mar 3, 2004
RAUM
$319M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$318M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$39.9M
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
26 filings and snapshots on the tape
RAUM$319M as of Jun 22, 2026
Mar 28, 2012$73.6M then
HNW client RAUM$255M as of Jun 22, 2026
Mar 26, 2018$87.1M then
State-registered IARs (5.B.3)3 as of Jun 22, 2026
Mar 18, 20131 then
Employees (5.A)8 as of Jun 22, 2026
Mar 18, 20135 then
Private funds: no history
RAUM +27% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 22, 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
- RAUM per advisor
- $39.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $321,060derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 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
- +2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $75.9M, 128 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$255M80%
- Individuals$62.9M20%
- Charitable organizations$1.5M0.5%
- Individual clients
- 237reported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 995reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.9M for 128 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• V••••••• T••••• | Pasadena, Ca | Jul 25, 2019 | 17 y | 0 |
| S•••••••• A••• H•••• | Pasadena, Ca | May 5, 2021 | 13 y | 0 |
| P•••••• G••• W••••• | Denver, Co | Oct 16, 2023 | 11 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
- G•••••••• K••••••• S•••••••• from C•••••• R••••••• • C••••••••• L••Jul 23, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• J•••• P•••••• · Principal, Chief Compliance Officercontrolsince 03/2000 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• R••••••• • C••••••••• L••investment adviseryRAUM $6.0B
- C•••••• R••••••• B•••••••• S•••••••• L••broker-dealery
Advisers that list A••••• I••••••••• G••••• L•• as a related person
- 109868 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 8 | 1 | 0 | ||
| Oracle, Az | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Organization form · Corporation to Limited Liability CompanyMar 25, 2026 to Jun 22, 2026
- Accounts · 914 to 995Dec 22, 2025 to Mar 25, 2026
- HNW clients · 84 to 98Dec 22, 2025 to Mar 25, 2026
- Individual clients · 244 to 237Dec 22, 2025 to Mar 25, 2026
- Assets in custody · $62.6M to $75.9MDec 22, 2025 to Mar 25, 2026
- Organization form · Limited Liability Company to CorporationDec 22, 2025 to Mar 25, 2026
- Discretionary RAUM · $248M to $317MDec 22, 2025 to Mar 25, 2026
- HNW RAUM · $187M to $255MDec 22, 2025 to Mar 25, 2026
- Individual RAUM · $62.9M to $62.9MDec 22, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $2.4M to $2.3MDec 22, 2025 to Mar 25, 2026
- RAUM · $251M to $319MDec 22, 2025 to Mar 25, 2026
- Accounts · 905 to 914Apr 15, 2024 to Mar 10, 2025
- HNW clients · 74 to 84Apr 15, 2024 to Mar 10, 2025
- Individual clients · 243 to 244Apr 15, 2024 to Mar 10, 2025
- Pension plan clients · 1.0 to unsetApr 15, 2024 to Mar 10, 2025
- Assets in custody · $63.7M to $62.6MApr 15, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Apr 15, 2024 to Mar 10, 2025
- Discretionary RAUM · $240M to $248MApr 15, 2024 to Mar 10, 2025
- HNW RAUM · $162M to $187MApr 15, 2024 to Mar 10, 2025
- Individual RAUM · $66.7M to $62.9MApr 15, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $2.6M to $2.4MApr 15, 2024 to Mar 10, 2025
- Pension RAUM · 13649923.0 to unsetApr 15, 2024 to Mar 10, 2025
- RAUM · $243M to $251MApr 15, 2024 to Mar 10, 2025
- Accounts · 874 to 905Mar 24, 2023 to Mar 4, 2024
- Advisory employees · 2 to 3Mar 24, 2023 to Mar 4, 2024
- BD registered reps · 1 to 3Mar 24, 2023 to Mar 4, 2024
- HNW clients · 68 to 74Mar 24, 2023 to Mar 4, 2024
- Individual clients · 242 to 243Mar 24, 2023 to Mar 4, 2024
- Pension plan clients · unset to 1.0Mar 24, 2023 to Mar 4, 2024
- Assets in custody · $63.2M to $63.7MMar 24, 2023 to Mar 4, 2024
- Insurance-licensed employees · 3 to 1Mar 24, 2023 to Mar 4, 2024
- Discretionary RAUM · $216M to $240MMar 24, 2023 to Mar 4, 2024
- HNW RAUM · $156M to $162MMar 24, 2023 to Mar 4, 2024
- Individual RAUM · $63.5M to $66.7MMar 24, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $3.2M to $2.6MMar 24, 2023 to Mar 4, 2024
- Pension RAUM · unset to 13649923.0Mar 24, 2023 to Mar 4, 2024
- RAUM · $220M to $243MMar 24, 2023 to Mar 4, 2024
- Accounts · 869 to 874Oct 10, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Oct 10, 2022 to Mar 24, 2023
- HNW clients · 79 to 68Oct 10, 2022 to Mar 24, 2023
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
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 626-844-1441reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/arroyo-investment-group-&-capital-researeportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••••INVESTMENTGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 626-844-1441reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- a•••••••••.comreportedpublished 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
- $39.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026