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
M•••• • A••••••••• I•••
Latest filing Jan 29, 2026
First filing on the tape Jan 17, 2012 · 43 filings
SEC status approved since Aug 3, 2006
RAUM
$829M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
84%
$695M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$829M as of Jan 29, 2026
Jan 17, 2012$104M then
HNW client RAUM$567M as of Jan 29, 2026
Jan 29, 2018$189M then
State-registered IARs (5.B.3)8 as of Jan 29, 2026
Jan 17, 20120 then
Employees (5.A)8 as of Jan 29, 2026
Jan 15, 20136 then
Private funds: no history
RAUM +31% over the last fiscal year+20% a year over threeIARs 7 to 8offices 0 to 1
Practice profile
derived from the filing of Jan 29, 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $386,717derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Financial planning clients
- 700reportedItem 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
- 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$567M68%
- Individuals$127M15%
- Pension and profit-sharing plans$80.5M9.7%
- Charitable organizations$26.9M3.2%
- Corporations and businesses$26.8M3.2%
- Individual clients
- 423reported
- HNW clients
- 214reported
- Pension plan clients
- 44reported
- Charitable clients
- 10reported
- Accounts
- 2,143reported
- Financial planning clients
- 700reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•• M• S•••Certified Financial Planner | Los Angeles, Ca | Nov 2, 2006 | 29 y | 1 |
| K••• L•• D•••••••• | Washington, Ia | Jul 30, 2015 | 45 y | 2 |
| L•••••• V••••••• | Los Angeles, Ca | Jun 27, 2016 | 23 y | 0 |
| A••• A•••••••• S••••••••• | Los Angeles, Ca | Sep 5, 2018 | 15 y | 0 |
| C•••••• W•••••• M••••Certified Financial Planner | Los Angeles, Ca | Jan 14, 2022 | 57 y | 2 |
| M••••••• C•••••• | Los Angeles, Ca | Jun 1, 2023 | 10 y | 0 |
| A•••• W•••••• M••••••••Certified Financial Planner | Berkeley, Ca | Sep 19, 2025 | 35 y | 3 |
| B•••• M••••• M•••• | Los Angeles, Ca | Dec 23, 2025 | 26 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E••••• E••••••• K•• to M••••• G••••• A••••••• I•••Jul 29, 2020 · RIA to RIA
- Z••••••• X• to O•••• F•• I•••Mar 5, 2020 · RIA to affiliated broker-dealer or bank
- P••• M••••• K••••••••• to I••••••••• A•••• M••••••••• L••Feb 5, 2013 · Other
- L•••• E•••• C•••••• to C••••• I••••••••• A••••••• L••Mar 15, 2010 · Other
Joined, latest
- A•••• W•••••• M•••••••• from T••••••••• W••••• M••••••••• L••Sep 19, 2025 · Other
- Z••••••• X• from S•••• P••••••• W••••• M••••••••• L••Apr 16, 2019 · RIA to RIA
- K••• L•• D•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 30, 2015 · Other
- S•• M• S••• from T••••••••• F•••••••• A•••••••• I•••Nov 2, 2006 · Other
- C•••••• W•••••• M•••• from T••••••••• F•••••••• A•••••••• I•••Nov 2, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• B••••• M••••• · Presidentcontrolsince 01/2007 · owns less than 5%
- M••••• C••••••• W•••••• · Ceocontrolsince 01/2007 · owns less than 5%
- M••••• T•••••• D••• · Ccocontrolsince 07/2021 · owns less than 5%
- S•••• S••• M• · Vice Presidentcontrolsince 01/2007 · owns less than 5%
- M••••• B••••• M••••• · Ownercontrolsince 01/2014 · owns 50% to 75% of M•••• • A••••••••• I•••
Entity owners
- M•••• • A••••••••• I••• · Corporationdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,822 to 2,143Nov 21, 2025 to Jan 29, 2026
- Advisory employees · 7 to 8Nov 21, 2025 to Jan 29, 2026
- Charity clients · 4 to 10Nov 21, 2025 to Jan 29, 2026
- Corporate clients · 14 to 7Nov 21, 2025 to Jan 29, 2026
- HNW clients · 165 to 214Nov 21, 2025 to Jan 29, 2026
- Individual clients · 339 to 423Nov 21, 2025 to Jan 29, 2026
- Pension plan clients · 43 to 44Nov 21, 2025 to Jan 29, 2026
- Employees · 7 to 8Nov 21, 2025 to Jan 29, 2026
- State-registered IARs · 7 to 8Nov 21, 2025 to Jan 29, 2026
- Discretionary RAUM · $555M to $708MNov 21, 2025 to Jan 29, 2026
- HNW RAUM · $416M to $567MNov 21, 2025 to Jan 29, 2026
- Individual RAUM · $96.9M to $127MNov 21, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $75.9M to $121MNov 21, 2025 to Jan 29, 2026
- Pension RAUM · $71.0M to $80.5MNov 21, 2025 to Jan 29, 2026
- RAUM · $631M to $829MNov 21, 2025 to Jan 29, 2026
- Other offices · 0 to 1Jun 5, 2025 to Nov 21, 2025
- Financial planning clients · More than 500 to More than 500Jan 25, 2025 to Jun 5, 2025
- Accounts · 1,717 to 1,822Jan 23, 2024 to Jan 25, 2025
- Advisory employees · 5 to 7Jan 23, 2024 to Jan 25, 2025
- Charity clients · 3 to 4Jan 23, 2024 to Jan 25, 2025
- Corporate clients · 7 to 14Jan 23, 2024 to Jan 25, 2025
- HNW clients · 122 to 165Jan 23, 2024 to Jan 25, 2025
- Individual clients · 301 to 339Jan 23, 2024 to Jan 25, 2025
- Pension plan clients · 69 to 43Jan 23, 2024 to Jan 25, 2025
- Pooled vehicle clients · 0.0 to unsetJan 23, 2024 to Jan 25, 2025
- State-registered IARs · 5 to 7Jan 23, 2024 to Jan 25, 2025
- Discretionary RAUM · $475M to $555MJan 23, 2024 to Jan 25, 2025
- HNW RAUM · $288M to $416MJan 23, 2024 to Jan 25, 2025
- Individual RAUM · $92.1M to $96.9MJan 23, 2024 to Jan 25, 2025
- Non-discretionary RAUM · $64.6M to $75.9MJan 23, 2024 to Jan 25, 2025
- Pension RAUM · $139M to $71.0MJan 23, 2024 to Jan 25, 2025
- Pooled vehicle RAUM · 0.0 to unsetJan 23, 2024 to Jan 25, 2025
- RAUM · $540M to $631MJan 23, 2024 to Jan 25, 2025
- Accounts · 1,521 to 1,717Jan 27, 2023 to Jan 23, 2024
- Charity clients · 5 to 3Jan 27, 2023 to Jan 23, 2024
- Corporate clients · 6 to 7Jan 27, 2023 to Jan 23, 2024
- HNW clients · 145 to 122Jan 27, 2023 to Jan 23, 2024
- Individual clients · 324 to 301Jan 27, 2023 to Jan 23, 2024
- Pension plan clients · 27 to 69Jan 27, 2023 to Jan 23, 2024
- Financial planning clients · 251-500 to More than 500Jan 27, 2023 to Jan 23, 2024
Signals
4 dated events
- M•••• • A••••••••• I••• reported RAUM $828.7M, up 31% from $631.3M (2025-11-21 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- Magdalena Elgonde Scheffy (Cco) no longer on Schedule A of M•••• • A••••••••• I••• (listed 2021-01-27, absent 2021-07-22)Jul 22, 2021 · Control person left · inference
- Dean Thomas Mason (Cco) appeared on Schedule A of M•••• • A••••••••• I•••Jul 22, 2021 · Control person joined · fact
- M•••• • A••••••••• I••• reported RAUM $329.6M, up 47% from $223.9M (2016-12-06 to 2018-01-29)Jan 29, 2018 · RAUM change · derived
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
- 323-254-3072reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 323-395-0714reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 510-524-5500reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M••••LIFEPLANNING.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 323-254-3072reportedpublic record, Form ADV, Jan 29, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026