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
N•••• P••• F•••••••• M••••••••• L••
Latest filing Apr 29, 2026
First filing on the tape Apr 3, 2012 · 27 filings
SEC status approved since Sep 8, 2008
RAUM
$1.3B
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
6.3%
$80.4M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$182M
derived; firm RAUM over IAPD count
Employees
15
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.3B as of Apr 29, 2026
Apr 3, 2012$645M then
HNW client RAUM$66.9M as of Apr 29, 2026
Mar 30, 2018$33.0M then
State-registered IARs (5.B.3)5 as of Apr 29, 2026
Mar 27, 20132 then
Employees (5.A)15 as of Apr 29, 2026
Mar 27, 20139 then
Private funds: no history
RAUM +15% over the last fiscal year-5.7% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 29, 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
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 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
- $182MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $11.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 94%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $8.6M, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pension and profit-sharing plans$1.2B94%
- High-net-worth individuals$66.9M5.2%
- Individuals$13.5M1.1%
- Individual clients
- 9reported
- HNW clients
- 15reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 116reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.6M for 13 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• D••••• S•••••••Certified Financial Planner | Marina Del Rey, Ca | Feb 22, 2022 | 26 y | 2 |
| C••• A•••••••• M••••• | Marina Del Rey, Ca | Apr 6, 2026 | 11 y | 0 |
| V•••••• J•••••••• E••••••••• | Marina Del Rey, Ca | Apr 6, 2026 | 12 y | 0 |
| M•••• H••••Certified Financial Planner | Syracuse, Ut | Apr 9, 2026 | 11 y | 1 |
| B•••• J•••••• G•••••• | Marina Del Rey, Ca | Apr 9, 2026 | 30 y | 4 |
| J•••• I•• S••••••••• | Marina Del Rey, Ca | Apr 13, 2026 | 35 y | 6 |
| G•••••• D••• M•••••• | Marina Del Rey, Ca | Apr 13, 2026 | 12 y | 2 |
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
- J•••• L••• T•••• to T••••••• S••••••• A•••••••Mar 17, 2014 · Other
Joined, latest
- F•••• D••••• S••••••• from N••••••• T•••• I••••••••• I•••••••••Feb 22, 2022 · Other
- J•••• L••• T•••• from L•••••• I••••••••• A•••••••• L••May 13, 2013 · Other
- B•••• J•••••• G•••••• from O••••••••• • C•• I•••Oct 14, 2008 · Other
- J•••• I•• S••••••••• from O••••••••• A•••• M•••••••••Oct 10, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• B••••• J•••••• · Member And Chief Compliance Officercontrolsince 10/2008 · owns 50% to 75%
- S••••••••• J••••• I•• · Membercontrolsince 10/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Marina Del Rey, Ca · principal | 6 | 5 | 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 Apr 29, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-31, yes on the filing of 2026-04-29peers: institutional managers, $1B to $5B (121)
What changed
consecutive filings, newest first
- Assets in custody · unset to 8557583.0Mar 31, 2026 to Apr 29, 2026
- Custody of client assets · false to trueMar 31, 2026 to Apr 29, 2026
- Advisory employees · 10 to 5Sep 16, 2025 to Mar 31, 2026
- Pension plan clients · 14 to 15Sep 16, 2025 to Mar 31, 2026
- Employees · 12 to 15Sep 16, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 0Sep 16, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 5Sep 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $752M to $893MSep 16, 2025 to Mar 31, 2026
- HNW RAUM · $58.8M to $66.9MSep 16, 2025 to Mar 31, 2026
- Individual RAUM · $5.0M to $13.5MSep 16, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $355M to $384MSep 16, 2025 to Mar 31, 2026
- Pension RAUM · $1.0B to $1.2BSep 16, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BSep 16, 2025 to Mar 31, 2026
- Accounts · 142 to 116Mar 29, 2024 to Mar 30, 2025
- HNW clients · 17 to 15Mar 29, 2024 to Mar 30, 2025
- Individual clients · 12 to 9Mar 29, 2024 to Mar 30, 2025
- Pension plan clients · 15 to 14Mar 29, 2024 to Mar 30, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $464M to $752MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $57.5M to $58.8MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $4.3M to $5.0MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $567M to $355MMar 29, 2024 to Mar 30, 2025
- Pension RAUM · $969M to $1.0BMar 29, 2024 to Mar 30, 2025
- RAUM · $1.0B to $1.1BMar 29, 2024 to Mar 30, 2025
- Advisory employees · 4 to 10Mar 30, 2023 to Mar 29, 2024
- Accounts · 180 to 142Mar 30, 2023 to Mar 29, 2024
- HNW clients · 18 to 17Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · 19 to 15Mar 30, 2023 to Mar 29, 2024
- Employees · 9 to 12Mar 30, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 11-25Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $478M to $464MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $246M to $57.5MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $3.8M to $4.3MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.0B to $567MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $1.2B to $969MMar 30, 2023 to Mar 29, 2024
- RAUM · $1.5B to $1.0BMar 30, 2023 to Mar 29, 2024
- Accounts · 179 to 180Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 9 to 4Nov 4, 2022 to Mar 30, 2023
- HNW clients · 14 to 18Nov 4, 2022 to Mar 30, 2023
- Individual clients · 15 to 12Nov 4, 2022 to Mar 30, 2023
Signals
2 dated events
- N•••• P••• F•••••••• M••••••••• L•• reported RAUM $1.0B, down 32% from $1.5B (2023-03-30 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- N•••• P••• F•••••••• M••••••••• L•• reported RAUM $2.1B, up 85% from $1.1B (2020-06-12 to 2021-03-26)Mar 26, 2021 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/N••••-P•••-F••••••••-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/north-pier-search-consultingreportedpublic record, Form ADV, Sep 18, 2026
- Website
- northpiersearch.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-403-7065reportedpublic record, Form ADV, Apr 29, 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
- $182Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026