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
S•••••••• I••••••••• A••••••• G••••• L••
Latest filing Mar 26, 2026
First filing on the tape May 17, 2017 · 30 filings
SEC status approved since May 31, 2017
RAUM
$702M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$686M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$78.0M
derived; firm RAUM over IAPD count
Employees
25
9 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$702M as of Mar 26, 2026
Mar 14, 2018$174M then
HNW client RAUM$309M as of Mar 26, 2026
Mar 14, 2018$43.4M then
State-registered IARs (5.B.3)9 as of Mar 26, 2026
Mar 14, 20187 then
Employees (5.A)25 as of Mar 26, 2026
Mar 14, 201813 then
Private funds: no history
RAUM +16% over the last fiscal year+26% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $78.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 192derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $781,213derivedHNW RAUM over HNW clients
- Average account
- $157,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 1.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$377M54%
- High-net-worth individuals$309M44%
- Pension and profit-sharing plans$12.2M1.7%
- Corporations and businesses$3.6M0.5%
- Charitable organizations$764,0950.1%
- Individual clients
- 1,331reported
- HNW clients
- 395reported
- Pension plan clients
- 56reported
- Charitable clients
- 4reported
- Accounts
- 4,458reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L••••••• H••• | Irvine, Ca | Apr 4, 2013 | 16 y | 3 |
| A••••• J••• A••••• | Santa Barbara, Ca | Sep 27, 2016 | 18 y | 1 |
| E••••• A•••••• S••• | Roseville, Ca | Jun 22, 2017 | 30 y | 1 |
| R••• N•• A•••••• | Corona, Ca | May 18, 2020 | 21 y | 1 |
| J•••• P• M••••• | Corona, Ca | Apr 9, 2021 | 16 y | 0 |
| D•••• C•••••••• | Corona, Ca | Mar 18, 2024 | 15 y | 2 |
| C••••••••• E••••• M••••• | Corona, Ca | Mar 5, 2025 | 25 y | 6 |
| R•••• N•• R••••• | Corona, Ca | Jan 14, 2026 | 28 y | 1 |
| A••• S•••••• C•••• | Scottsdale, Az | Mar 16, 2026 | 12 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount3 left over 36 months
Left, latest
- J••••• O•••• D•••• to C••••••••• W•••••• L••Dec 2, 2025 · RIA to RIA
- D••••• M••• C••••• to C••••••••• W•••••• L••Jun 3, 2025 · RIA to RIA
- P•••••• B• M•••• to B••••••••• W••••• A•••••••• L••Jan 2, 2024 · Other
- D••••• P•••• N••••••• to M••••••Jan 16, 2019 · RIA to RIA
Joined, latest
- A••• S•••••• C•••• from V••••••• A•••••••• I•••Mar 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• O•••• D•••• from S•••••••• F•••• F•••••••• G••••Mar 26, 2025 · Other
- C••••••••• E••••• M••••• from M•••••• A••••• S••••••••• L••Mar 5, 2025 · Other
- D•••• C•••••••• from L•• F•••••••• L••Mar 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••• L••••••• H••• from L•••••• A•••• M•••••••••Jul 10, 2020 · RIA to RIA
- A••••• J••• A••••• from C•• I••••••••• A••••••• G••••• I•••Sep 27, 2016 · Other
- D••••• P•••• N••••••• from G••••• F•••••••• P•••••• C••••••• I•••Jul 13, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• R•••• N•• · Membercontrolsince 01/2008 · owns 25% to 50%
- M•••••• J••••• P• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- R•••••• R••••• N•• · Membercontrolsince 01/2008 · owns 25% to 50%
- S•••• E•••••• A•••••• · Membercontrolsince 07/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•• I•••••••• S••••••• I•••real estaten
- C•••• M••••• F•••••••• S••••••• I••real estaten
- I••••••• W••••• M••••••••• I•••••••• S••••••• C•••••••••real estaten
- R••••••• F•••••••• • I•••••••• S•••••••• I•••real estaten
- S•••••••• F•••••••• S••••••• I•••real estaten
- W••••••• F•••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Corona, Ca · principal | 7 | 2 | 0 | ||
| Scottsdale, Az | 1 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Roseville, CA2 employees
- San Diego, CA2 employees
- Escondido, CA1 employees
- Oxnard, CA1 employees
- Santa Barbara, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 3,452 to 4,458Mar 26, 2025 to Mar 26, 2026
- Advisory employees · 10 to 9Mar 26, 2025 to Mar 26, 2026
- Charity clients · 5 to 4Mar 26, 2025 to Mar 26, 2026
- Corporate clients · 15 to 18Mar 26, 2025 to Mar 26, 2026
- Individual clients · 1,413 to 1,331Mar 26, 2025 to Mar 26, 2026
- Pension plan clients · 21 to 56Mar 26, 2025 to Mar 26, 2026
- Employees · 27 to 25Mar 26, 2025 to Mar 26, 2026
- Insurance-licensed employees · 2 to 1Mar 26, 2025 to Mar 26, 2026
- State-registered IARs · 10 to 9Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $537M to $701MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $253M to $309MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $338M to $377MMar 26, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $66.1M to $1.6MMar 26, 2025 to Mar 26, 2026
- Pension RAUM · $6.9M to $12.2MMar 26, 2025 to Mar 26, 2026
- RAUM · $604M to $702MMar 26, 2025 to Mar 26, 2026
- Accounts · 2,388 to 3,452Nov 25, 2024 to Mar 26, 2025
- Advisory employees · 8 to 10Nov 25, 2024 to Mar 26, 2025
- Charity clients · unset to 5.0Nov 25, 2024 to Mar 26, 2025
- Corporate clients · 13 to 15Nov 25, 2024 to Mar 26, 2025
- HNW clients · 353 to 395Nov 25, 2024 to Mar 26, 2025
- Individual clients · 1,057 to 1,413Nov 25, 2024 to Mar 26, 2025
- Pension plan clients · 27 to 21Nov 25, 2024 to Mar 26, 2025
- Employees · 19 to 27Nov 25, 2024 to Mar 26, 2025
- Insurance-licensed employees · 1 to 2Nov 25, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Nov 25, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 10Nov 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $386M to $537MNov 25, 2024 to Mar 26, 2025
- HNW RAUM · $252M to $253MNov 25, 2024 to Mar 26, 2025
- Individual RAUM · $188M to $338MNov 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $68.4M to $66.1MNov 25, 2024 to Mar 26, 2025
- Pension RAUM · $6.7M to $6.9MNov 25, 2024 to Mar 26, 2025
- RAUM · $455M to $604MNov 25, 2024 to Mar 26, 2025
- Accounts · 2,095 to 2,388Mar 13, 2023 to Mar 1, 2024
- Advisory employees · 9 to 8Mar 13, 2023 to Mar 1, 2024
- Corporate clients · 12 to 13Mar 13, 2023 to Mar 1, 2024
- HNW clients · 308 to 353Mar 13, 2023 to Mar 1, 2024
- Individual clients · 928 to 1,057Mar 13, 2023 to Mar 1, 2024
- Pension plan clients · 12 to 27Mar 13, 2023 to Mar 1, 2024
- Employees · 18 to 19Mar 13, 2023 to Mar 1, 2024
- State-registered IARs · 9 to 8Mar 13, 2023 to Mar 1, 2024
Signals
7 dated events
- J••••• O•••• D•••• left S•••••••• I••••••••• A••••••• G••••• L•• for C••••••••• W•••••• L•• (registered 2025-12-11)Dec 2, 2025 · Advisor changed firm · fact
- D••••• M••• C••••• left S•••••••• I••••••••• A••••••• G••••• L•• for C••••••••• W•••••• L•• (registered 2025-06-06)Jun 3, 2025 · Advisor changed firm · fact
- S•••••••• I••••••••• A••••••• G••••• L•• reported RAUM $603.5M, up 33% from $454.6M (2024-11-25 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- S•••••••• I••••••••• A••••••• G••••• L•• reported RAUM $454.6M, up 29% from $352.7M (2023-03-13 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- P•••••• B• M•••• left S•••••••• I••••••••• A••••••• G••••• L•• for B••••••••• W••••• A•••••••• L•• (registered 2024-02-06)Jan 2, 2024 · Advisor changed firm · fact
- P. James Murray (Chief Compliance Officer) appeared on Schedule A of S•••••••• I••••••••• A••••••• G••••• L••May 17, 2022 · Control person joined · fact
- S•••••••• I••••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 17, 2017 · ria f•••• adv filing · 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
- 805-892-4515reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 602-428-2499reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 760-571-9005reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/safeguard-investment-advisory-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- safeguardinvestment.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-213-7233reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- safeguardinvestment.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $78.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026