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
A•••• W••••• A••••••• L••
Latest filing Jul 10, 2026
First filing on the tape Jan 30, 2012 · 43 filings
SEC status approved since Jul 12, 2007
RAUM
$1.0B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$990M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.0B as of Jul 10, 2026
Jan 30, 2012$715M then
HNW client RAUM$766M as of Jul 10, 2026
Feb 9, 2018$589M then
State-registered IARs (5.B.3)8 as of Jul 10, 2026
Jan 30, 20120 then
Employees (5.A)11 as of Jul 10, 2026
Mar 4, 20138 then
Private funds1 as of Jul 10, 2026
Jan 30, 20121 then
RAUM +16% over the last fiscal year+9.9% a year over threeIARs 8 to 8offices 3 to 2
Practice profile
derived from the filing of Jul 10, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.0MderivedHNW RAUM over HNW clients
- Average account
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $72.3M, 69 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$766M74%
- Individuals$223M21%
- Pooled investment vehicles$32.1M3.1%
- Charitable organizations$15.0M1.4%
- Pension and profit-sharing plans$2.4M0.2%
- Individual clients
- 189reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 246reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $72.3M for 69 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.03 institutional_share=0.02 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 |
|---|---|---|---|---|
| Y•••• S•••••• | Las Vegas, Nv | Feb 15, 2018 | 22 y | 1 |
| M•••••• H••••• R•••• | San Francisco, Ca | Feb 16, 2018 | 41 y | 2 |
| D••••• J••••••• H•••• | Las Vegas, Nv | Mar 25, 2024 | 31 y | 1 |
| P••• E••••• H••••• | Newport Beach, Ca | Feb 23, 2025 | 17 y | 1 |
| T•••••• E• M••••• | Jersey City, Nj | Jun 16, 2025 | 27 y | 0 |
| R••• W•••••• M•••• | Sacramento, Ca | Aug 4, 2025 | 19 y | 0 |
| C••••••••• C•••••• L••••Certified Financial Planner | Saint Helena, Ca | Oct 3, 2025 | 11 y | 2 |
| B••••••• J•••••• Y•••••Chartered Financial Analyst | Las Vegas, Nv | Oct 21, 2025 | 19 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
none on the tape
Joined, latest
- C••••••••• C•••••• L•••• from B••••••• W••••• A•••••••Oct 3, 2025 · RIA to RIA
- P••• E••••• H••••• from H•• P••••••••• L••Feb 23, 2025 · Other
- M•••••• H••••• R•••• from P••••••• C•••••• A•••••••• L••Feb 16, 2018 · Other
- Y•••• S•••••• from P••••••• C•••••• A••••••• L••Feb 15, 2018 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• S•••• C•• A••••• F•••• L••• | Other Private Fund | $32.1M | 79 | Jan 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• P•••• E••••• · Ccocontrolsince 03/2026 · owns less than 5%
- M••••• R•••• W•••••• · Partner & Coocontrolsince 12/2008 · owns less than 5%
- R••••• M••••••• H••••• · Managing Member / Chief Executive Officercontrolsince 06/2007 · owns less than 5%
- Y•••••• B•••••••• J•••••• · Partner & Head Of Researchcontrolsince 12/2008 · owns less than 5%
Entity owners
- A•••• W••••• H••••••• · Part Ownerdirect · owns 75% or more
- M••••••• W••••• P•••••••• L•• · Part Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Las Vegas, Nv | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- ,
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 10, 2026HOLTHE, PAUL, EIVIND (CCO) appeared on Schedule A between the filings of 2022-03-30 and 2026-07-10peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 235 to 246Mar 13, 2025 to Mar 24, 2026
- Charity clients · 5 to 9Mar 13, 2025 to Mar 24, 2026
- HNW clients · 40 to 45Mar 13, 2025 to Mar 24, 2026
- Individual clients · 187 to 189Mar 13, 2025 to Mar 24, 2026
- Assets in custody · $222M to $72.3MMar 13, 2025 to Mar 24, 2026
- Other offices · 3 to 2Mar 13, 2025 to Mar 24, 2026
- Discretionary RAUM · $853M to $997MMar 13, 2025 to Mar 24, 2026
- HNW RAUM · $623M to $766MMar 13, 2025 to Mar 24, 2026
- Individual RAUM · $234M to $223MMar 13, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $43.9M to $41.5MMar 13, 2025 to Mar 24, 2026
- Pension RAUM · $2.2M to $2.4MMar 13, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $34.6M to $32.1MMar 13, 2025 to Mar 24, 2026
- RAUM · $897M to $1.0BMar 13, 2025 to Mar 24, 2026
- Accounts · 222 to 235Dec 6, 2024 to Mar 13, 2025
- Advisory employees · 7 to 10Dec 6, 2024 to Mar 13, 2025
- Charity clients · 2 to 5Dec 6, 2024 to Mar 13, 2025
- HNW clients · 43 to 40Dec 6, 2024 to Mar 13, 2025
- Individual clients · 174 to 187Dec 6, 2024 to Mar 13, 2025
- Assets in custody · $196M to $222MDec 6, 2024 to Mar 13, 2025
- Employees · 9 to 11Dec 6, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Dec 6, 2024 to Mar 13, 2025
- HQ city · unset to Dec 6, 2024 to Mar 13, 2025
- HQ state · unset to Dec 6, 2024 to Mar 13, 2025
- State-registered IARs · 6 to 8Dec 6, 2024 to Mar 13, 2025
- Other offices · 4 to 3Dec 6, 2024 to Mar 13, 2025
- Discretionary RAUM · $779M to $853MDec 6, 2024 to Mar 13, 2025
- HNW RAUM · $589M to $623MDec 6, 2024 to Mar 13, 2025
- Individual RAUM · $206M to $234MDec 6, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $51.2M to $43.9MDec 6, 2024 to Mar 13, 2025
- Pension RAUM · $2.2M to $2.2MDec 6, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $29.8M to $34.6MDec 6, 2024 to Mar 13, 2025
- RAUM · $830M to $897MDec 6, 2024 to Mar 13, 2025
- Accounts · 220 to 222Oct 19, 2023 to Mar 21, 2024
- Charity clients · 6 to 2Oct 19, 2023 to Mar 21, 2024
- HNW clients · 40 to 43Oct 19, 2023 to Mar 21, 2024
- Individual clients · 171 to 174Oct 19, 2023 to Mar 21, 2024
- Assets in custody · $173M to $196MOct 19, 2023 to Mar 21, 2024
- Other offices · 3 to 4Oct 19, 2023 to Mar 21, 2024
- Discretionary RAUM · $733M to $779MOct 19, 2023 to Mar 21, 2024
- HNW RAUM · $542M to $589MOct 19, 2023 to Mar 21, 2024
Signals
4 dated events
- Niel Jeremy Armstrong (Chief Compliance Officer) no longer on Schedule A of Argos Wealth Advisors Llc (listed 2024-04-02, absent 2024-12-04)Dec 4, 2024 · Control person left · inference
- William Jeffrey Nutting (Member / Chief Financial Officer) no longer on Schedule A of Argos Wealth Advisors Llc (listed 2021-06-04, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Michael Patrick Dominguez (Chief Compliance Officer) no longer on Schedule A of Argos Wealth Advisors Llc (listed 2020-07-30, absent 2020-12-22)Dec 22, 2020 · Control person left · inference
- Niel Jeremy Armstrong (Chief Compliance Officer) appeared on Schedule A of Argos Wealth Advisors LlcDec 22, 2020 · 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
- 707-633-9063reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/argos-wealth-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ARGOSWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-633-9063reportedpublic record, Form ADV, Jul 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026