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••• A•••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Jan 24, 2020 · 10 filings
SEC status approved since Feb 21, 2020
RAUM
$255M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
85%
$218M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$63.7M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$255M as of Mar 20, 2026
Mar 19, 2021$137M then
HNW client RAUM$188M as of Mar 20, 2026
Mar 19, 2021$71.9M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Mar 19, 20215 then
Employees (5.A)5 as of Mar 20, 2026
Mar 19, 20215 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 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
- 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
- RAUM per advisor
- $63.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $203,495derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 15%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$188M74%
- Pension and profit-sharing plans$37.2M15%
- Individuals$29.3M12%
- Individual clients
- 69reported
- HNW clients
- 81reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1,253reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false 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 |
|---|---|---|---|---|
| A•• O••••••••Certified Financial Planner, Chartered Financial Analyst | La Verne, Ca | May 15, 2009 | 17 y | 1 |
| M•••••• A•••••••• C•••••••••Certified Financial Planner | Studio City, Ca | Mar 18, 2015 | 12 y | 0 |
| A•••• H••••••••• | Studio City, Ca | Oct 13, 2024 | 12 y | 0 |
| L••••• S•••• | Studio City, Ca | Jan 1, 2025 | 10 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
- A•• O•••••••• from A•••• W•••••May 15, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• A•• · President And Chief Compliance Officercontrolsince 06/2009 · owns 75% or more
- O••••••••• C•••••• K•••••••• · Vice Presidentcontrolsince 02/2009 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Studio City, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,204 to 1,253Feb 20, 2025 to Mar 20, 2026
- HNW clients · 65 to 81Feb 20, 2025 to Mar 20, 2026
- Individual clients · 70 to 69Feb 20, 2025 to Mar 20, 2026
- Pension plan clients · 10 to 14Feb 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $188M to $223MFeb 20, 2025 to Mar 20, 2026
- HNW RAUM · $178M to $188MFeb 20, 2025 to Mar 20, 2026
- Individual RAUM · $7.7M to $29.3MFeb 20, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $29.7M to $32.1MFeb 20, 2025 to Mar 20, 2026
- Pension RAUM · $32.5M to $37.2MFeb 20, 2025 to Mar 20, 2026
- RAUM · $218M to $255MFeb 20, 2025 to Mar 20, 2026
- Accounts · 1,193 to 1,204Jul 19, 2024 to Feb 20, 2025
- HNW clients · 47 to 65Jul 19, 2024 to Feb 20, 2025
- Individual clients · 101 to 70Jul 19, 2024 to Feb 20, 2025
- Financial planning clients · 101-250 to 101-250Jul 19, 2024 to Feb 20, 2025
- Discretionary RAUM · $180M to $188MJul 19, 2024 to Feb 20, 2025
- HNW RAUM · $134M to $178MJul 19, 2024 to Feb 20, 2025
- Individual RAUM · $42.6M to $7.7MJul 19, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $26.7M to $29.7MJul 19, 2024 to Feb 20, 2025
- Pension RAUM · $30.0M to $32.5MJul 19, 2024 to Feb 20, 2025
- RAUM · $206M to $218MJul 19, 2024 to Feb 20, 2025
- Accounts · 961 to 1,193Mar 16, 2023 to Feb 9, 2024
- HNW clients · 33 to 47Mar 16, 2023 to Feb 9, 2024
- Individual clients · 116 to 101Mar 16, 2023 to Feb 9, 2024
- Pension plan clients · 8 to 10Mar 16, 2023 to Feb 9, 2024
- Financial planning clients · 11-25 to 101-250Mar 16, 2023 to Feb 9, 2024
- Discretionary RAUM · $145M to $180MMar 16, 2023 to Feb 9, 2024
- HNW RAUM · $73.5M to $134MMar 16, 2023 to Feb 9, 2024
- Individual RAUM · $71.0M to $42.6MMar 16, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $23.3M to $26.7MMar 16, 2023 to Feb 9, 2024
- Pension RAUM · $23.3M to $30.0MMar 16, 2023 to Feb 9, 2024
- RAUM · $168M to $206MMar 16, 2023 to Feb 9, 2024
- Accounts · 1,096 to 961Mar 2, 2022 to Mar 16, 2023
- HNW clients · 45 to 33Mar 2, 2022 to Mar 16, 2023
- Individual clients · 105 to 116Mar 2, 2022 to Mar 16, 2023
- Pension plan clients · 7 to 8Mar 2, 2022 to Mar 16, 2023
- Discretionary RAUM · $103M to $145MMar 2, 2022 to Mar 16, 2023
- HNW RAUM · $93.6M to $73.5MMar 2, 2022 to Mar 16, 2023
- Individual RAUM · $35.7M to $71.0MMar 2, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $55.9M to $23.3MMar 2, 2022 to Mar 16, 2023
- Pension RAUM · $29.5M to $23.3MMar 2, 2022 to Mar 16, 2023
Signals
1 dated events
- A••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jan 24, 2020 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/872073reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 8182728511reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- acapam.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- acapam.com/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
- $63.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026