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
D••• I•••••••••
Legal name D••• A••••••••• I•••
Latest filing Sep 10, 2026
First filing on the tape May 2, 2018 · 28 filings
SEC status approved since Jun 1, 2018
RAUM
$682M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$681M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$682M as of Mar 25, 2026
Mar 28, 2019$149M then
HNW client RAUM$650M as of Mar 25, 2026
Mar 28, 2019$138M then
State-registered IARs (5.B.3)7 as of Mar 25, 2026
Mar 28, 20193 then
Employees (5.A)9 as of Mar 25, 2026
Mar 28, 20196 then
Private funds: no history
RAUM +9.9% over the last fiscal year+40% a year over threeIARs 4 to 7offices 1 to 0
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $526,361derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assetsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$650M95%
- Individuals$30.5M4.5%
- Charitable organizations$744,5050.1%
- Individual clients
- 92reported
- HNW clients
- 340reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,295reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• D••• | Woodland Hills, Ca | Jan 28, 2009 | 22 y | 2 |
| Z••• L• G••••••• | Miami, Fl | Jan 1, 2010 | 16 y | 0 |
| J•••••• M•••••• B••••• | Plano, Tx | Sep 22, 2023 | 12 y | 5 |
| R••••• J••••••• B••••• | Plano, Tx | May 27, 2025 | 10 y | 2 |
| S•••••••• O•••• L••••••••• | Plano, Tx | May 27, 2025 | 12 y | 1 |
| R•••••• W•••• B••• | Plano, Tx | Aug 19, 2025 | 14 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- B•••• D••••• F••••••• to C•••• A••••••• I•••Apr 10, 2026 · RIA to RIA
- J•••• M•••••• F••••••• to P•• E•••••• L••May 6, 2025 · RIA to RIA
- M•••••• M•••• to J••• M••••• S••••••••• L••Mar 7, 2022 · RIA to wirehouse
- C••• G••••• to E•••••• A••••••• G••••• L••May 18, 2021 · Other
- M••••• M• A•••• to S••••• M•••••••••Apr 3, 2019 · RIA to RIA
Joined, latest
- B•••• D••••• F••••••• from E•••••• A••••••• G••••• L••Aug 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- R•••••• W•••• B••• from E•••••• A••••••• G••••• L••Aug 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• J••••••• B••••• from F••••• I•••••••••May 27, 2025 · RIA to RIA
- S•••••••• O•••• L••••••••• from F••••• I•••••••••May 27, 2025 · RIA to RIA
- J•••••• M•••••• B••••• from F••••• I•••••••••Sep 22, 2023 · RIA to RIA
- J•••• M•••••• F••••••• from F••••• I•••••••••Jul 19, 2023 · RIA to RIA
- M•••••• M•••• from B•• F•••••••• A•••••••Jun 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- M••••• M• A•••• from R•• C•••••• M••••••• L••Feb 8, 2010 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•••••• A••••••• G••••• L••Jul 16, 2025 · Greenwood Village, Co
- 2 joined from F••••• I•••••••••May 19, 2025 · Plano, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• J••••••• · Presidentcontrolsince 01/2004 · owns 75% or more
- G•••••••• Z•••• L• · Chief Compliance Officercontrolsince 10/2009 · 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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 5 | 0 | 1 | ||
| Dallas, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 25, 2026 to Sep 10, 2026
- HQ city · WOODLAND HILLS to PLANOMar 25, 2026 to Sep 10, 2026
- HQ state · CA to TXMar 25, 2026 to Sep 10, 2026
- Other offices · 1 to 0Mar 25, 2026 to Sep 10, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 10, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 10, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 10, 2026
- Succession · false to unsetMar 25, 2026 to Sep 10, 2026
- Accounts · 1,214 to 1,295Jun 10, 2025 to Mar 25, 2026
- Advisory employees · 4 to 7Jun 10, 2025 to Mar 25, 2026
- Charity clients · unset to 1.0Jun 10, 2025 to Mar 25, 2026
- HNW clients · 334 to 340Jun 10, 2025 to Mar 25, 2026
- Individual clients · 95 to 92Jun 10, 2025 to Mar 25, 2026
- State-registered IARs · 4 to 7Jun 10, 2025 to Mar 25, 2026
- Discretionary RAUM · $620M to $682MJun 10, 2025 to Mar 25, 2026
- HNW RAUM · $591M to $650MJun 10, 2025 to Mar 25, 2026
- Individual RAUM · $28.3M to $30.5MJun 10, 2025 to Mar 25, 2026
- RAUM · $620M to $682MJun 10, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jun 10, 2025
- Accounts · 1,149 to 1,214Jan 7, 2025 to Mar 28, 2025
- Advisory employees · 5 to 4Jan 7, 2025 to Mar 28, 2025
- HNW clients · 317 to 334Jan 7, 2025 to Mar 28, 2025
- Individual clients · 93 to 95Jan 7, 2025 to Mar 28, 2025
- Financial planning clients · 251-500 to 0Jan 7, 2025 to Mar 28, 2025
- State-registered IARs · 5 to 4Jan 7, 2025 to Mar 28, 2025
- Discretionary RAUM · $554M to $620MJan 7, 2025 to Mar 28, 2025
- HNW RAUM · $528M to $591MJan 7, 2025 to Mar 28, 2025
- Individual RAUM · $26.4M to $28.3MJan 7, 2025 to Mar 28, 2025
- RAUM · $554M to $620MJan 7, 2025 to Mar 28, 2025
- Accounts · 1,074 to 1,149Jul 3, 2024 to Oct 4, 2024
- HNW clients · 297 to 317Jul 3, 2024 to Oct 4, 2024
- Individual clients · 94 to 93Jul 3, 2024 to Oct 4, 2024
- Discretionary RAUM · $501M to $554MJul 3, 2024 to Oct 4, 2024
- HNW RAUM · $476M to $528MJul 3, 2024 to Oct 4, 2024
- Individual RAUM · $25.5M to $26.4MJul 3, 2024 to Oct 4, 2024
- RAUM · $501M to $554MJul 3, 2024 to Oct 4, 2024
- Accounts · 963 to 1,074Mar 4, 2024 to Jul 3, 2024
- HNW clients · 269 to 297Mar 4, 2024 to Jul 3, 2024
- Individual clients · 96 to 94Mar 4, 2024 to Jul 3, 2024
Signals
7 dated events
- B•••• D••••• F••••••• left D••• I••••••••• for C•••• A••••••• I••• (registered 2026-06-11)Apr 10, 2026 · Advisor changed firm · fact
- 2 advisors left E•••••• A••••••• G••••• L•• (Greenwood Village, CO) for D••• I••••••••• within 14 daysJul 16, 2025 · Team lift-out · derived
- 2 advisors left F••••• I••••••••• (Plano, TX) for D••• I••••••••• within 2 daysMay 19, 2025 · Team lift-out · derived
- J•••• M•••••• F••••••• left D••• I••••••••• for P•• E•••••• L•• (registered 2025-05-07)May 6, 2025 · Advisor changed firm · fact
- M•••••• M•••• left D••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-02-18)Mar 7, 2022 · Advisor changed firm · fact
- M. Morris Amiri (Vice President) no longer on Schedule A of D••• I••••••••• (listed 2018-05-02, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- D••• I••••••••• filed its initial SEC registration (Form ADV)May 2, 2018 · First SEC registration · 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 email
- info@dashinvestments.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-549-3227reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/D•••-INVESTMENTSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.D•••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-549-3227reportedpublic record, Form ADV, Sep 10, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026