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••••••• A••••• I••••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Jan 18, 2006
RAUM
$5.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$3.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$5.9B
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$5.9B as of Mar 25, 2026
Mar 30, 2012$944M then
HNW client RAUM$3.4M as of Mar 25, 2026
Mar 21, 2018$1.7M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 25, 2026
Mar 27, 20137 then
Private funds1 as of Mar 25, 2026
Mar 30, 20122 then
RAUM +20% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $5.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $489MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $99.9M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$5.8B98%
- Pooled investment vehicles$99.9M1.7%
- Corporations and businesses$11.0M0.2%
- High-net-worth individuals$3.4M0.1%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $99.9M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.02 institutional_share=0.98 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 |
|---|---|---|---|---|
| J••• G•••••• U• | San Diego, Ca | Jan 15, 2013 | 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
- C••••• E•••••• M••••• to A••••••• A••••• C•••••• A•••••••• L••Sep 10, 2014 · Other
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• A••••• I••••••••• F•••• L• | Hedge Fund | $89.4M | 19 | Mar 30, 2012 |
| A••••••• A••••• R••• E••••• S••••••••• F•••• L•no longer reported | Hedge Fund | $49.1M | 13 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R•••• E•••••• S••••• · Chief Executive Officer, Chief Compliance Officer, Chief Investment Officer & Trustee Of Managing Membercontrolsince 08/2002 · owns 75% or more
- S•••••••• J••••• L••• · General Counselsince 12/2012 · owns less than 5%
- Z••••• M•• · Chief Financial Officersince 12/2021 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• A••••• C•••••• A•••••••• L••investment adviseryRAUM $327M
- E••••••• I•••••••• C••••••real estaten
- I•• C••••••• I•••••••• C••••••real estaten
- I•• N••••••• I•••••••• C••••••real estaten
- I•• P•••••• I•••••••• C••••••real estaten
- I••• L•••real estaten
- I•••••••• C•••••• O• T•• W•••real estaten
- V••••••• I•••••••• C••••••real estaten
Advisers that list A••••••• A••••• I••••••••• M••••••••• L•• as a related person
- 168805 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 12Mar 27, 2025 to Mar 25, 2026
- Corporate clients · 2 to 3Mar 27, 2025 to Mar 25, 2026
- Assets in custody · $94.0M to $99.9MMar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $4.9B to $5.9BMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $3.0M to $3.4MMar 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $94.0M to $99.9MMar 27, 2025 to Mar 25, 2026
- RAUM · $4.9B to $5.9BMar 27, 2025 to Mar 25, 2026
- Related adviser · true to falseMar 27, 2025 to Mar 25, 2026
- Accounts · 10 to 11Mar 22, 2024 to Mar 27, 2025
- Corporate clients · 1 to 2Mar 22, 2024 to Mar 27, 2025
- Assets in custody · $89.4M to $94.0MMar 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $4.0B to $4.9BMar 22, 2024 to Mar 27, 2025
- HNW RAUM · $2.8M to $3.0MMar 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $89.4M to $94.0MMar 22, 2024 to Mar 27, 2025
- RAUM · $4.0B to $4.9BMar 22, 2024 to Mar 27, 2025
- Assets in custody · $78.6M to $89.4MOct 10, 2023 to Mar 22, 2024
- Discretionary RAUM · $3.2B to $4.0BOct 10, 2023 to Mar 22, 2024
- HNW RAUM · $2.5M to $2.8MOct 10, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $78.6M to $89.4MOct 10, 2023 to Mar 22, 2024
- RAUM · $3.2B to $4.0BOct 10, 2023 to Mar 22, 2024
- Advisory employees · 1 to 2Mar 9, 2023 to Oct 10, 2023
- Employees · 4 to 5Mar 9, 2023 to Oct 10, 2023
- Assets in custody · $85.5M to $78.6MMar 30, 2022 to Mar 9, 2023
- Discretionary RAUM · $3.0B to $3.2BMar 30, 2022 to Mar 9, 2023
- HNW RAUM · $2.7M to $2.5MMar 30, 2022 to Mar 9, 2023
- Pooled vehicle RAUM · $85.5M to $78.6MMar 30, 2022 to Mar 9, 2023
- RAUM · $3.0B to $3.2BMar 30, 2022 to Mar 9, 2023
- Assets in custody · $71.1M to $85.5MMar 17, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.6B to $3.0BMar 17, 2021 to Mar 30, 2022
- HNW RAUM · $2.4M to $2.7MMar 17, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $71.1M to $85.5MMar 17, 2021 to Mar 30, 2022
- RAUM · $2.6B to $3.0BMar 17, 2021 to Mar 30, 2022
- Assets in custody · $70.9M to $71.1MJun 30, 2020 to Mar 17, 2021
- Discretionary RAUM · $2.6B to $2.6BJun 30, 2020 to Mar 17, 2021
- HNW RAUM · $2.0M to $2.4MJun 30, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $70.9M to $71.1MJun 30, 2020 to Mar 17, 2021
- RAUM · $2.6B to $2.6BJun 30, 2020 to Mar 17, 2021
- Accounts · 9 to 10Mar 12, 2019 to Mar 18, 2020
- Assets in custody · $62.2M to $70.9MMar 12, 2019 to Mar 18, 2020
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
- 858-345-1461reportedpublic record, Form ADV, Mar 25, 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
- $5.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026