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
T•••••• A••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Apr 2, 2012 · 22 filings
SEC status approved since Nov 18, 2005
RAUM
$564M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$528M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$564M as of Apr 30, 2026
Apr 2, 2012$318M then
HNW client RAUM$528M as of Apr 30, 2026
Jun 29, 2018$338M then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Apr 2, 20120 then
Employees (5.A)1 as of Apr 30, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +6.9% over the last fiscal year+6.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.5MderivedHNW RAUM over HNW clients
- Average account
- $14.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$528M94%
- Charitable organizations$35.4M6.3%
- Individual clients
- 0reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M••••••• F•••• · Managing Membercontrolsince 10/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Apr 30, 2026HNW RAUM per HNW client of $13,542,905 against a peer median of $3,134,900 (1404 comparable advisers, 98.0th percentile, 6.9 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 98% percentile
- discretionary share shiftChange between filings · filing Apr 30, 2026discretionary share of RAUM moved from 8.0% to 100.0% between the annual amendments of 2025-03-31 and 2026-04-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Corporate clients · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Individual clients · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Pension plan clients · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Pooled vehicle clients · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Assets in custody · $13.3M to $12.7MMar 31, 2025 to Apr 30, 2026
- Discretionary RAUM · $42.6M to $564MMar 31, 2025 to Apr 30, 2026
- HNW RAUM · $493M to $528MMar 31, 2025 to Apr 30, 2026
- Individual RAUM · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Non-discretionary RAUM · $484M to $0Mar 31, 2025 to Apr 30, 2026
- Pension RAUM · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 31, 2025 to Apr 30, 2026
- RAUM · $527M to $564MMar 31, 2025 to Apr 30, 2026
- Assets in custody · $11.3M to $13.3MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $41.5M to $42.6MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $450M to $493MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $440M to $484MMar 29, 2024 to Mar 31, 2025
- RAUM · $482M to $527MMar 29, 2024 to Mar 31, 2025
- Accounts · 35 to 40Mar 31, 2023 to Mar 29, 2024
- Charity clients · unset to 1.0Mar 31, 2023 to Mar 29, 2024
- HNW clients · 35 to 39Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $11.0M to $11.3MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $70.6M to $41.5MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $469M to $450MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $398M to $440MMar 31, 2023 to Mar 29, 2024
- RAUM · $469M to $482MMar 31, 2023 to Mar 29, 2024
- Accounts · 38 to 35Mar 30, 2022 to Mar 31, 2023
- HNW clients · unset to 35.0Mar 30, 2022 to Mar 31, 2023
- Individual clients · 35.0 to unsetMar 30, 2022 to Mar 31, 2023
- Assets in custody · $11.6M to $11.0MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $41.3M to $70.6MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $218M to $469MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · 247895660.0 to unsetMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $424M to $398MMar 30, 2022 to Mar 31, 2023
- RAUM · $465M to $469MMar 30, 2022 to Mar 31, 2023
- Accounts · 38 to 36Feb 15, 2022 to Mar 30, 2022
- Individual clients · 38 to 35Feb 15, 2022 to Mar 30, 2022
- Assets in custody · $9.6M to $11.6MFeb 15, 2022 to Mar 30, 2022
- Discretionary RAUM · $38.3M to $41.3MFeb 15, 2022 to Mar 30, 2022
- HNW RAUM · unset to 217501992.0Feb 15, 2022 to Mar 30, 2022
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
- 626-683-2200reportedpublic record, Form ADV, Apr 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026