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•••••• S••••••• G••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since Feb 5, 2008
RAUM
$527M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
74%
$388M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$263M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$527M as of Mar 19, 2026
Mar 28, 2012$166M then
HNW client RAUM$375M as of Mar 19, 2026
Mar 28, 2018$419M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Mar 19, 2026
Feb 27, 20132 then
Private funds1 as of Mar 19, 2026
Mar 30, 20201 then
RAUM +7.4% over the last fiscal year+5.0% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 19, 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
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $263MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.9MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $21.8M, 13 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$375M71%
- Pooled investment vehicles$138M26%
- Individuals$14.0M2.7%
- Individual clients
- 40reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 220reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.8M for 13 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.26 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• E••••••• S•••••Certified Financial Planner | San Diego, Ca | Mar 14, 2008 | 35 y | 1 |
| E•••••• D•• N•••• C•••••Chartered Financial Analyst | San Diego, Ca | Oct 26, 2025 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- P•••• E••••••• S••••• from C•••••••• G••••• M•••••• I•••Mar 14, 2008 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• P••••••• F•••• L• | Other Private Fund | $125M | 9 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• P••••• E••••••• · Managing Member / Chief Compliance Officer & Trusteecontrolsince 03/2008 · owns 75% or more
Entity owners
- S••••• F••••• 2••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- I•••••• P••••••• F•••• G•• L••pooled vehicle sponsorcustodiany
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-04, yes on the filing of 2026-03-19peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 223 to 220Apr 4, 2025 to Mar 19, 2026
- HNW clients · 31 to 29Apr 4, 2025 to Mar 19, 2026
- Individual clients · 39 to 40Apr 4, 2025 to Mar 19, 2026
- Assets in custody · $248M to $21.8MApr 4, 2025 to Mar 19, 2026
- Custody of client assets · false to trueApr 4, 2025 to Mar 19, 2026
- State-registered IARs · 1 to 2Apr 4, 2025 to Mar 19, 2026
- Discretionary RAUM · $341M to $371MApr 4, 2025 to Mar 19, 2026
- HNW RAUM · $342M to $375MApr 4, 2025 to Mar 19, 2026
- Individual RAUM · $11.3M to $14.0MApr 4, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $150M to $156MApr 4, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $137M to $138MApr 4, 2025 to Mar 19, 2026
- RAUM · $491M to $527MApr 4, 2025 to Mar 19, 2026
- Accounts · 229 to 223Jul 24, 2024 to Apr 4, 2025
- HNW clients · 30 to 31Jul 24, 2024 to Apr 4, 2025
- Individual clients · 38 to 39Jul 24, 2024 to Apr 4, 2025
- Assets in custody · $222M to $248MJul 24, 2024 to Apr 4, 2025
- Custody of client assets · true to falseJul 24, 2024 to Apr 4, 2025
- Financial planning clients · 11-25 to 11-25Jul 24, 2024 to Apr 4, 2025
- Discretionary RAUM · $331M to $341MJul 24, 2024 to Apr 4, 2025
- HNW RAUM · $330M to $342MJul 24, 2024 to Apr 4, 2025
- Individual RAUM · $12.3M to $11.3MJul 24, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $136M to $150MJul 24, 2024 to Apr 4, 2025
- Pooled vehicle RAUM · $125M to $137MJul 24, 2024 to Apr 4, 2025
- RAUM · $467M to $491MJul 24, 2024 to Apr 4, 2025
- Advisory employees · 2 to 3Mar 17, 2023 to Mar 21, 2024
- HNW clients · 29 to 30Mar 17, 2023 to Mar 21, 2024
- Assets in custody · $221M to $222MMar 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $312M to $331MMar 17, 2023 to Mar 21, 2024
- HNW RAUM · $320M to $330MMar 17, 2023 to Mar 21, 2024
- Individual RAUM · $11.1M to $12.3MMar 17, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $144M to $136MMar 17, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $125M to $125MMar 17, 2023 to Mar 21, 2024
- RAUM · $456M to $467MMar 17, 2023 to Mar 21, 2024
- Accounts · 231 to 229Jul 6, 2022 to Mar 17, 2023
- HNW clients · 31 to 29Jul 6, 2022 to Mar 17, 2023
- Individual clients · 37 to 38Jul 6, 2022 to Mar 17, 2023
- Assets in custody · $254M to $221MJul 6, 2022 to Mar 17, 2023
- Discretionary RAUM · $351M to $312MJul 6, 2022 to Mar 17, 2023
- HNW RAUM · $369M to $320MJul 6, 2022 to Mar 17, 2023
- Individual RAUM · $11.1M to $11.1MJul 6, 2022 to Mar 17, 2023
Signals
1 dated events
- A•••••• S••••••• G••••• L•• reported RAUM $430.5M, up 80% from $239.5M (2017-03-08 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••••• S••••••• G••••• L•• · Independent Sponsorsshared crd · capital_provider
- A•••••• S••••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- a••••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- c•••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 619-794-0127reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 619-241-2326reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A••••••SERVICESGROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-241-2326reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- a•••••••••.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
- $263Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026