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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Former SEC-registered adviser
E•••••• A•••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Feb 24, 2012 · 54 filings
SEC status approved since Oct 19, 2005
RAUM
$5.9B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$5.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$5.9B as of Feb 17, 2026
Feb 24, 2012$2.3B then
HNW client RAUM$5.8B as of Feb 17, 2026
Mar 5, 2018$4.2B then
State-registered IARs (5.B.3)4 as of Feb 17, 2026
Feb 24, 20120 then
Employees (5.A)6 as of Feb 17, 2026
Mar 6, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 247derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- High-net-worth individuals$5.8B98%
- Individuals$68.7M1.2%
- Corporations and businesses$26.8M0.5%
- Charitable organizations$18.7M0.3%
- Pension and profit-sharing plans$9.4M0.2%
- Individual clients
- 129reported
- HNW clients
- 857reported
- Pension plan clients
- 3reported
- Charitable clients
- 6reported
- Accounts
- 4,333reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- J•••• R•••• D•••••••• to E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Apr 23, 2026 · RIA to RIA
- D•••• B••• S••••••• to E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Apr 23, 2026 · RIA to RIA
- P•••••• T••••• C•••••• to E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Apr 23, 2026 · RIA to RIA
- L•••• J••• K•••• to E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Apr 23, 2026 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Apr 23, 2026 · Carmel, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• K•••••••• L••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- E••••••• S•••••• E••••• · Managing Membercontrolsince 04/2005 · owns 75% or more
- S•••••••• D••••• B••• · Alternate Designated Officersince 07/2022 · 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 |
|---|---|---|---|---|---|
| Carmel, Ca | 0 | 0 | 2 | ||
| Monterey, Ca | 0 | 0 | 1 | ||
| Santa Cruz, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Monterey, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4,264 to 4,333Aug 6, 2025 to Feb 17, 2026
- Advisory employees · 5 to 4Aug 6, 2025 to Feb 17, 2026
- Charity clients · 9 to 6Aug 6, 2025 to Feb 17, 2026
- HNW clients · 852 to 857Aug 6, 2025 to Feb 17, 2026
- Individual clients · 137 to 129Aug 6, 2025 to Feb 17, 2026
- Pension plan clients · 4 to 3Aug 6, 2025 to Feb 17, 2026
- Employees · 7 to 6Aug 6, 2025 to Feb 17, 2026
- State-registered IARs · 5 to 4Aug 6, 2025 to Feb 17, 2026
- Discretionary RAUM · $5.1B to $5.9BAug 6, 2025 to Feb 17, 2026
- HNW RAUM · $4.4B to $5.8BAug 6, 2025 to Feb 17, 2026
- Individual RAUM · $640M to $68.7MAug 6, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $27.5M to $40.2MAug 6, 2025 to Feb 17, 2026
- Pension RAUM · $25.6M to $9.4MAug 6, 2025 to Feb 17, 2026
- RAUM · $5.1B to $5.9BAug 6, 2025 to Feb 17, 2026
- Financial planning clients · 11-25 to 11-25Feb 5, 2025 to May 30, 2025
- Accounts · 4,379 to 4,264Dec 3, 2024 to Feb 5, 2025
- HNW clients · 845 to 852Dec 3, 2024 to Feb 5, 2025
- Individual clients · 157 to 137Dec 3, 2024 to Feb 5, 2025
- Pension plan clients · 5 to 4Dec 3, 2024 to Feb 5, 2025
- Financial planning clients · 26-50 to 11-25Dec 3, 2024 to Feb 5, 2025
- HQ city · unset to Dec 3, 2024 to Feb 5, 2025
- HQ state · unset to Dec 3, 2024 to Feb 5, 2025
- Discretionary RAUM · $4.8B to $5.1BDec 3, 2024 to Feb 5, 2025
- HNW RAUM · $4.7B to $4.4BDec 3, 2024 to Feb 5, 2025
- Individual RAUM · $82.9M to $640MDec 3, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $24.7M to $27.5MDec 3, 2024 to Feb 5, 2025
- Pension RAUM · $15.7M to $25.6MDec 3, 2024 to Feb 5, 2025
- RAUM · $4.8B to $5.1BDec 3, 2024 to Feb 5, 2025
- Employees · 5 to 7Feb 26, 2024 to Dec 3, 2024
- Accounts · 4,458 to 4,379Oct 25, 2023 to Feb 26, 2024
- Charity clients · 7 to 9Oct 25, 2023 to Feb 26, 2024
- Corporate clients · 6 to 3Oct 25, 2023 to Feb 26, 2024
- HNW clients · 829 to 845Oct 25, 2023 to Feb 26, 2024
- Individual clients · 214 to 157Oct 25, 2023 to Feb 26, 2024
- Pension plan clients · 1 to 5Oct 25, 2023 to Feb 26, 2024
- Financial planning clients · 11-25 to 26-50Oct 25, 2023 to Feb 26, 2024
- Discretionary RAUM · $4.3B to $4.8BOct 25, 2023 to Feb 26, 2024
- HNW RAUM · $4.2B to $4.7BOct 25, 2023 to Feb 26, 2024
- Individual RAUM · $114M to $82.9MOct 25, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $23.4M to $24.7MOct 25, 2023 to Feb 26, 2024
Signals
7 dated events
- E•••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $5.9B)Jun 1, 2026 · Left the SEC roster · derived
- P•••••• T••••• C•••••• left E•••••• A•••• M••••••••• L•• for E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• (registered 2026-04-28)Apr 23, 2026 · Advisor changed firm · fact
- J•••• R•••• D•••••••• left E•••••• A•••• M••••••••• L•• for E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• (registered 2026-04-28)Apr 23, 2026 · Advisor changed firm · fact
- L•••• J••• K•••• left E•••••• A•••• M••••••••• L•• for E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• (registered 2026-04-28)Apr 23, 2026 · Advisor changed firm · fact
- D•••• B••• S••••••• left E•••••• A•••• M••••••••• L•• for E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• (registered 2026-04-28)Apr 23, 2026 · Advisor changed firm · fact
- E•••••• A•••• M••••••••• L••'s advisors moved to E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• (Carmel, CA): 4 of 4 registered, on the same dayApr 23, 2026 · Firm absorbed (people side) · derived
- Lynn Kimberly Adams (Chief Compliance Officer) appeared on Schedule A of E•••••• A•••• M••••••••• L••Oct 20, 2023 · 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.
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
- Former SEC-registered adviserderiveda 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