DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•••••• C•••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 31, 2017 · 15 filings
SEC status approved since Apr 7, 2017
RAUM
$154M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
94%
$145M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$154M as of Mar 12, 2026
Mar 15, 2018$122M then
HNW client RAUM$122M as of Mar 12, 2026
Mar 15, 2018$82.8M then
State-registered IARs (5.B.3)4 as of Mar 12, 2026
Mar 15, 20182 then
Employees (5.A)5 as of Mar 12, 2026
Mar 15, 20185 then
Private funds: no history
RAUM +6.8% over the last fiscal year+3.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 12, 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
- RAUM per advisor
- $38.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $352,744derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$122M79%
- Individuals$23.1M15%
- Pension and profit-sharing plans$6.2M4.0%
- Charitable organizations$2.9M1.9%
- Individual clients
- 343reported
- HNW clients
- 87reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 437reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• C••••••••• L•• | South Pasadena, Ca | Jul 1, 2009 | 38 y | 3 |
| K•••• D•••••• W••••••• | Roseville, Ca | Nov 20, 2024 | 25 y | 3 |
| S••••• M•••••• S••••••Chartered Financial Analyst | South Pasadena, Ca | Jan 1, 2025 | 29 y | 1 |
| E••••• B•••••• | South Pasadena, Ca | Nov 10, 2025 | 22 y | 2 |
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
- E••••• B•••••• from H•••••• S••••••••• I•••Nov 10, 2025 · Other
- S••••• M•••••• S•••••• from T•••• A•••• M••••••••• L••Jan 1, 2025 · Other
- K•••• D•••••• W••••••• from M••••••••• A•••• M••••••••• L••Nov 20, 2024 · Other
- J•• C••••••••• L•• from H•••••• S••••••••• I•••Jul 1, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••• C••••••••• · Managing Member & Chief Compliance Officercontrolsince 07/2009 · owns 25% to 50%
- S••••••• S•••••• M•••••• · Managing Membercontrolsince 07/2009 · owns 25% to 50%
- B••••••• E••••• · Owner/Membersince 12/2015 · owns 5% to 10%
- P••••••••• A•••• · Owner/Membersince 07/2009 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| South Pasadena, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 406 to 437Mar 12, 2025 to Mar 12, 2026
- HNW clients · 77 to 87Mar 12, 2025 to Mar 12, 2026
- Individual clients · 322 to 343Mar 12, 2025 to Mar 12, 2026
- Employees · 4 to 5Mar 12, 2025 to Mar 12, 2026
- Discretionary RAUM · $134M to $143MMar 12, 2025 to Mar 12, 2026
- HNW RAUM · $115M to $122MMar 12, 2025 to Mar 12, 2026
- Individual RAUM · $21.3M to $23.1MMar 12, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $10.3M to $11.0MMar 12, 2025 to Mar 12, 2026
- Pension RAUM · $5.8M to $6.2MMar 12, 2025 to Mar 12, 2026
- RAUM · $144M to $154MMar 12, 2025 to Mar 12, 2026
- Accounts · 438 to 406Apr 10, 2024 to Mar 12, 2025
- Advisory activities · 2 to 3Apr 10, 2024 to Mar 12, 2025
- BD registered reps · 1 to 0Apr 10, 2024 to Mar 12, 2025
- Charity clients · 2 to 4Apr 10, 2024 to Mar 12, 2025
- HNW clients · 76 to 77Apr 10, 2024 to Mar 12, 2025
- Individual clients · 357 to 322Apr 10, 2024 to Mar 12, 2025
- Employees · 5 to 4Apr 10, 2024 to Mar 12, 2025
- Financial planning clients · unset to Apr 10, 2024 to Mar 12, 2025
- State-registered IARs · 3 to 4Apr 10, 2024 to Mar 12, 2025
- Discretionary RAUM · $133M to $134MApr 10, 2024 to Mar 12, 2025
- HNW RAUM · $113M to $115MApr 10, 2024 to Mar 12, 2025
- Individual RAUM · $21.9M to $21.3MApr 10, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $9.7M to $10.3MApr 10, 2024 to Mar 12, 2025
- Pension RAUM · $5.4M to $5.8MApr 10, 2024 to Mar 12, 2025
- RAUM · $143M to $144MApr 10, 2024 to Mar 12, 2025
- Accounts · 392 to 438Mar 6, 2023 to Mar 27, 2024
- HNW clients · 64 to 76Mar 6, 2023 to Mar 27, 2024
- Individual clients · 323 to 357Mar 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $131M to $133MMar 6, 2023 to Mar 27, 2024
- HNW RAUM · $111M to $113MMar 6, 2023 to Mar 27, 2024
- Individual RAUM · $19.8M to $21.9MMar 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.4M to $9.7MMar 6, 2023 to Mar 27, 2024
- Pension RAUM · $5.1M to $5.4MMar 6, 2023 to Mar 27, 2024
- RAUM · $139M to $143MMar 6, 2023 to Mar 27, 2024
- Related broker-dealer · false to trueMar 6, 2023 to Mar 27, 2024
- Accounts · 376 to 392Mar 21, 2022 to Mar 6, 2023
- Charity clients · unset to 2.0Mar 21, 2022 to Mar 6, 2023
- HNW clients · 60 to 64Mar 21, 2022 to Mar 6, 2023
- Individual clients · 312 to 323Mar 21, 2022 to Mar 6, 2023
- Pension plan clients · unset to 3.0Mar 21, 2022 to Mar 6, 2023
Signals
1 dated events
- N•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2017 · 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
- Business phone
- 626-208-1463reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 626-796-8898reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- N••••••LLC.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 626-796-8898reportedpublic record, Form ADV, Mar 12, 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
- $38.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026