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
C••••••••• • A•••••••••
Legal name C••••••••• • A••••••••• T•• W••••• M••••••••• T•••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 22, 2012 · 37 filings
SEC status approved since Aug 6, 2004
RAUM
$1.3B
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
31
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.3B as of Mar 20, 2026
Mar 22, 2012$335M then
HNW client RAUM$870M as of Mar 20, 2026
Jan 30, 2018$377M then
State-registered IARs (5.B.3)7 as of Mar 20, 2026
Mar 22, 20120 then
Employees (5.A)31 as of Mar 20, 2026
Mar 26, 20139 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 20, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $456,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$870M66%
- Individuals$458M34%
- Individual clients
- 1,145reported
- HNW clients
- 397reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,908reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• P•••••• S••••••••Certified Financial Planner, Chartered Financial Consultant | Anaheim, Ca | Feb 3, 2025 | 29 y | 2 |
| A••••• B•••• Z•••Certified Financial Planner, Chartered Financial Consultant | Anaheim, Ca | Feb 3, 2025 | 10 y | 4 |
| E••• Y• O•Certified Financial Planner, Chartered Financial Consultant | Anaheim, Ca | Feb 3, 2025 | 18 y | 1 |
| R••••• D• C•••••••••Certified Financial Planner, Chartered Financial Consultant | Anaheim, Ca | Feb 3, 2025 | 31 y | 2 |
| A••••• N••••• G••••• | Anaheim, Ca | Sep 30, 2025 | 12 y | 1 |
| T••••• A• D• L•••Chartered Financial Consultant | Anaheim, Ca | Oct 6, 2025 | 14 y | 0 |
| R••••• D•••••• C•••••••••Certified Financial Planner, Chartered Financial Consultant | Anaheim, Ca | Jan 12, 2026 | 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
- B•••••• M•••••• G•••••••• to T•• A•••••••• G••••Mar 1, 2023 · RIA to RIA
- C•••••• J•••••• to S•••• W••••• M••••••••• L••Jun 14, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• B•••• Z••• from L•• F•••••••• L••Jun 3, 2022 · RIA to RIA
- B•••••• M•••••• G•••••••• from S••••••• F•••••••• S•••••••• I•••Mar 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- K••• P•••••• S•••••••• from R•••• A••••••• S•••••••• I•••Aug 20, 2004 · Other
- R••••• D• C••••••••• from R•••• A••••••• S•••••••• I•••Aug 9, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R•••••• D• · Presidentcontrolsince 07/2004 · owns 75% or more
- M•••••• A••••••• K••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- D••••••• D••••• B•••••• · Chief Compliance Officersince 03/2025 · 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 |
|---|---|---|---|---|---|
| Anaheim, Ca · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 20, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,173,254,073 to $1,328,162,191, advisors 5 to 7, private clients 2771 to 1542, offices 0 to 0 (2025-03-19 to 2026-03-20)peers: independent wealth managers, $1B to $5B (1,362)
- high employee count relative to advisorsStatic outlier · filing Mar 20, 2026employees per registered advisor of 4.4 against a peer median of 1.5 (1101 comparable advisers, 99.0th percentile, 6.0 robust deviations)peers: independent wealth managers, $1B to $5B (1,101) · 99% percentile
- control person changedChange between filings · filing Mar 20, 2026MOONEY, ABIGAIL, KATZEN (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-08-10 and 2026-03-20peers: independent wealth managers, $1B to $5B (1,362)
- client count collapseChange between filings · filing Mar 20, 2026individual and HNW clients (Item 5.D) moved from 2,771.0 to 1,542.0 (-44.0%) between the annual amendments of 2025-03-19 and 2026-03-20; the peer median change was +5.0% (1132 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 1.2% percentile
- compensation changedChange between filings · filing Mar 20, 2026commissions (Item 5.E.5): yes on the filing of 2026-01-23, no on the filing of 2026-03-20peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,771 to 2,908Jan 23, 2026 to Mar 20, 2026
- Advisory employees · 9 to 10Jan 23, 2026 to Mar 20, 2026
- BD registered reps · 5 to 6Jan 23, 2026 to Mar 20, 2026
- HNW clients · 338 to 397Jan 23, 2026 to Mar 20, 2026
- Individual clients · 2,433 to 1,145Jan 23, 2026 to Mar 20, 2026
- Commission compensation · true to falseJan 23, 2026 to Mar 20, 2026
- Employees · 34 to 31Jan 23, 2026 to Mar 20, 2026
- State-registered IARs · 5 to 7Jan 23, 2026 to Mar 20, 2026
- Discretionary RAUM · $272M to $399MJan 23, 2026 to Mar 20, 2026
- HNW RAUM · $721M to $870MJan 23, 2026 to Mar 20, 2026
- Individual RAUM · $452M to $458MJan 23, 2026 to Mar 20, 2026
- Non-discretionary RAUM · $901M to $929MJan 23, 2026 to Mar 20, 2026
- RAUM · $1.2B to $1.3BJan 23, 2026 to Mar 20, 2026
- Accounts · 2,750 to 2,771Feb 3, 2025 to Mar 19, 2025
- HNW clients · 77 to 338Feb 3, 2025 to Mar 19, 2025
- Individual clients · 2,673 to 2,433Feb 3, 2025 to Mar 19, 2025
- Employees · 25 to 34Feb 3, 2025 to Mar 19, 2025
- Financial planning clients · More than 500 to More than 500Feb 3, 2025 to Mar 19, 2025
- State-registered IARs · 0 to 5Feb 3, 2025 to Mar 19, 2025
- Discretionary RAUM · $190M to $272MFeb 3, 2025 to Mar 19, 2025
- HNW RAUM · $209M to $721MFeb 3, 2025 to Mar 19, 2025
- Individual RAUM · $845M to $452MFeb 3, 2025 to Mar 19, 2025
- Non-discretionary RAUM · $864M to $901MFeb 3, 2025 to Mar 19, 2025
- RAUM · $1.1B to $1.2BFeb 3, 2025 to Mar 19, 2025
- Accounts · 2,705 to 2,750Aug 10, 2023 to Mar 31, 2024
- Advisory employees · 4 to 9Aug 10, 2023 to Mar 31, 2024
- BD registered reps · 4 to 5Aug 10, 2023 to Mar 31, 2024
- HNW clients · 74 to 77Aug 10, 2023 to Mar 31, 2024
- Individual clients · 2,631 to 2,673Aug 10, 2023 to Mar 31, 2024
- State-registered IARs · 4 to 0Aug 10, 2023 to Mar 31, 2024
- Discretionary RAUM · $162M to $190MAug 10, 2023 to Mar 31, 2024
- HNW RAUM · $170M to $209MAug 10, 2023 to Mar 31, 2024
- Individual RAUM · $774M to $845MAug 10, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $782M to $864MAug 10, 2023 to Mar 31, 2024
- RAUM · $944M to $1.1BAug 10, 2023 to Mar 31, 2024
- Accounts · 3,338 to 2,705Mar 3, 2023 to Mar 28, 2023
- HNW clients · 733 to 74Mar 3, 2023 to Mar 28, 2023
- Individual clients · 1,376 to 2,631Mar 3, 2023 to Mar 28, 2023
- Commission compensation · false to trueMar 3, 2023 to Mar 28, 2023
- Employees · 4 to 25Mar 3, 2023 to Mar 28, 2023
Signals
6 dated events
- Thomas John Mcdevitt (Chief Compliance Officer) no longer on Schedule A of Chatterton & Associates (listed 2023-03-28, absent 2023-08-10)Aug 10, 2023 · Control person left · inference
- Katzen Abigail Mooney (Chief Compliance Officer) appeared on Schedule A of Chatterton & AssociatesAug 10, 2023 · Control person joined · fact
- Michael Bradley Griffiths (Chief Compliance Officer) no longer on Schedule A of Chatterton & Associates (listed 2022-03-08, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Thomas John Mcdevitt (Chief Compliance Officer) appeared on Schedule A of Chatterton & AssociatesMar 3, 2023 · Control person joined · fact
- Bradley Michael Griffiths left Chatterton & Associates for The Ameriflex Group (registered 2023-02-06)Mar 1, 2023 · Advisor changed firm · fact
- Michael Bradley Griffiths (Chief Compliance Officer) appeared on Schedule A of Chatterton & AssociatesMar 16, 2021 · Control person joined · fact
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
- 714-572-2050reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-490-4988reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/chatterton-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- chattertonseminars.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-572-2050reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- chattertoninc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- chattertoninc.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026