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.
Latest filing May 19, 2026
First filing on the tape May 5, 2016 · 26 filings
SEC status approved since May 16, 2016
RAUM
$986M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
0.5%
$4.6M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$329M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$986M as of May 19, 2026
Mar 22, 2017$301M then
HNW client RAUM$0 as of May 19, 2026
Jan 6, 2018$865,266 then
State-registered IARs (5.B.3)3 as of May 19, 2026
Mar 22, 20171 then
Employees (5.A)3 as of May 19, 2026
Mar 22, 20173 then
Private funds: no history
RAUM +11% over the last fiscal year+18% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $329MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $11.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, educational seminarsreportedItem 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
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$724M73%
- Pension and profit-sharing plans$257M26%
- Individuals$4.6M0.5%
- Individual clients
- 46reported
- HNW clients
- 0reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 89reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Maribel Larios Thomas | Murrieta, Ca | Oct 23, 2018 | 26 y | 9 |
| Eddie Larios Gonzalez | Murrieta, Ca | Dec 22, 2021 | 18 y | 0 |
| Emmy Larios | Murrieta, Ca | Jan 1, 2025 | 12 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
- Maribel Larios Thomas to Independent Financial Group, LLCDec 31, 2010 · Other
- Maribel Larios Thomas to Chase Investment Services Corp.Jan 8, 2010 · Other
Joined, latest
- Maribel Larios Thomas from Independent Financial Group, LLCFeb 3, 2011 · Other
- Maribel Larios Thomas from Chase Investment Services Corp.Jul 19, 2010 · Other
- Maribel Larios Thomas from Benefit Financial Services GroupApr 8, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Maribel Larios · Ccocontrolsince 02/2008 · 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 |
|---|---|---|---|---|---|
| Murrieta, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 30, 2026 to May 19, 2026
- Accounts · 67 to 89Feb 4, 2025 to Mar 30, 2026
- Corporate clients · 8 to 0Feb 4, 2025 to Mar 30, 2026
- Individual clients · 36 to 46Feb 4, 2025 to Mar 30, 2026
- Pension plan clients · 0 to 6Feb 4, 2025 to Mar 30, 2026
- Assets in custody · 3507796.0 to unsetFeb 4, 2025 to Mar 30, 2026
- Custody of client assets · true to falseFeb 4, 2025 to Mar 30, 2026
- Financial planning clients · 51-100 to 1-10Feb 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $540M to $596MFeb 4, 2025 to Mar 30, 2026
- Individual RAUM · $3.5M to $4.6MFeb 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $351M to $390MFeb 4, 2025 to Mar 30, 2026
- Pension RAUM · $0 to $257MFeb 4, 2025 to Mar 30, 2026
- RAUM · $891M to $986MFeb 4, 2025 to Mar 30, 2026
- Accounts · 64 to 67Jan 2, 2025 to Feb 4, 2025
- Corporate clients · 0 to 8Jan 2, 2025 to Feb 4, 2025
- Individual clients · 34 to 36Jan 2, 2025 to Feb 4, 2025
- Pension plan clients · 8 to 0Jan 2, 2025 to Feb 4, 2025
- Assets in custody · $0 to $3.5MJan 2, 2025 to Feb 4, 2025
- Financial planning clients · 1-10 to 51-100Jan 2, 2025 to Feb 4, 2025
- Discretionary RAUM · $443M to $540MJan 2, 2025 to Feb 4, 2025
- Individual RAUM · $3.5M to $3.5MJan 2, 2025 to Feb 4, 2025
- Non-discretionary RAUM · $301M to $351MJan 2, 2025 to Feb 4, 2025
- Pension RAUM · $193M to $0Jan 2, 2025 to Feb 4, 2025
- RAUM · $744M to $891MJan 2, 2025 to Feb 4, 2025
- HQ city · unset to Mar 26, 2024 to Jan 2, 2025
- HQ state · unset to Mar 26, 2024 to Jan 2, 2025
- Accounts · 54 to 64Mar 20, 2024 to Mar 26, 2024
- HNW clients · 2 to 0Mar 20, 2024 to Mar 26, 2024
- Individual clients · 25 to 34Mar 20, 2024 to Mar 26, 2024
- Assets in custody · $45,000 to $0Mar 20, 2024 to Mar 26, 2024
- Discretionary RAUM · $311M to $443MMar 20, 2024 to Mar 26, 2024
- HNW RAUM · $1.2M to $0Mar 20, 2024 to Mar 26, 2024
- Individual RAUM · $700,000 to $3.5MMar 20, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $288M to $301MMar 20, 2024 to Mar 26, 2024
- Pension RAUM · $159M to $193MMar 20, 2024 to Mar 26, 2024
- RAUM · $598M to $744MMar 20, 2024 to Mar 26, 2024
- Accounts · 47 to 54Jan 23, 2023 to Mar 16, 2023
- HNW clients · 0 to 2Jan 23, 2023 to Mar 16, 2023
- Individual clients · 27 to 25Jan 23, 2023 to Mar 16, 2023
- Pension plan clients · 5 to 8Jan 23, 2023 to Mar 16, 2023
Signals
3 dated events
- Fiduciary Experts Llc reported RAUM $582.1M, up 29% from $452.1M (2020-11-18 to 2021-03-17)Mar 17, 2021 · RAUM change · derived
- Fiduciary Experts Llc reported RAUM $392.1M, up 46% from $268.3M (2019-01-29 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Fiduciary Experts Llc filed its initial SEC registration (Form ADV)May 5, 2016 · First SEC registration · 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
- Website
- 401KFE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 951-412-6283reportedpublic record, Form ADV, May 19, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $329Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026