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
C•••••••• I••••••••• P•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Apr 23, 2009
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$105M as of Mar 26, 2026
Mar 29, 2012$177M then
HNW client RAUM$53.9M as of Mar 26, 2026
Mar 31, 2018$90.2M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Apr 1, 20134 then
Employees (5.A)3 as of Mar 26, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +4.9% over the last fiscal year+7.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $979,430derivedHNW RAUM over HNW clients
- Average account
- $281,662derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$53.9M51%
- Individuals$51.4M49%
- Corporations and businesses$46,5680.0%
- Individual clients
- 78reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 374reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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 |
|---|---|---|---|---|
| K•••••• G••••• H•••• | Costa Mesa, Ca | May 22, 2009 | 30 y | 1 |
| R•• M•••••• L••••••• | Costa Mesa, Ca | Sep 18, 2025 | 38 y | 1 |
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
- A••• A•••••• F••••• to D•••••••• A••••••Jun 3, 2020 · RIA to a state-registered adviser
- G•••••• B•••• G••••••• to P•••• S••••••••• L••Oct 18, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•• M•••••• L••••••• from U•• F•••••••• S••••••• I•••Sep 18, 2025 · Wirehouse to independent RIA
- G•••••• B•••• G••••••• from S•••••• N••••••• • C••••••• I•••••••••Jan 10, 2014 · Other
- A••• A•••••• F••••• from U•• F•••••••• S••••••• I•••May 22, 2009 · Other
- K•••••• G••••• H•••• from U•• F•••••••• S••••••• I•••May 22, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• K••••••• G••••• · Member/Chief Compliance Officercontrolsince 05/2009 · owns 25% to 50%
- L•••••••• R••• M•••••• · Membercontrolsince 05/2009 · owns 50% to 75%
- S•••••••• R•••••• E•••••• · Membersince 03/2021 · 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 |
|---|---|---|---|---|---|
| Costa Mesa, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 78.0% to 51.0% between the annual amendments of 2025-03-31 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 352 to 374Mar 31, 2025 to Mar 26, 2026
- HNW clients · 51 to 55Mar 31, 2025 to Mar 26, 2026
- Individual clients · 80 to 78Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $100M to $105MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $78.4M to $53.9MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $21.8M to $51.4MMar 31, 2025 to Mar 26, 2026
- RAUM · $100M to $105MMar 31, 2025 to Mar 26, 2026
- Accounts · 377 to 352Mar 27, 2024 to Mar 31, 2025
- Corporate clients · 4 to 1Mar 27, 2024 to Mar 31, 2025
- HNW clients · 52 to 51Mar 27, 2024 to Mar 31, 2025
- Individual clients · 86 to 80Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $94.1M to $100MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $74.7M to $78.4MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $19.4M to $21.8MMar 27, 2024 to Mar 31, 2025
- RAUM · $94.1M to $100MMar 27, 2024 to Mar 31, 2025
- Accounts · 437 to 377Mar 22, 2023 to Mar 27, 2024
- Corporate clients · 5 to 4Mar 22, 2023 to Mar 27, 2024
- HNW clients · 45 to 52Mar 22, 2023 to Mar 27, 2024
- Individual clients · 79 to 86Mar 22, 2023 to Mar 27, 2024
- Financial planning clients · 11-25 to 0Mar 22, 2023 to Mar 27, 2024
- Discretionary RAUM · $84.0M to $94.1MMar 22, 2023 to Mar 27, 2024
- HNW RAUM · $61.3M to $74.7MMar 22, 2023 to Mar 27, 2024
- Individual RAUM · $22.7M to $19.4MMar 22, 2023 to Mar 27, 2024
- RAUM · $84.0M to $94.1MMar 22, 2023 to Mar 27, 2024
- Accounts · 379 to 437Mar 25, 2022 to Mar 22, 2023
- HNW clients · 47 to 45Mar 25, 2022 to Mar 22, 2023
- Individual clients · 86 to 79Mar 25, 2022 to Mar 22, 2023
- Discretionary RAUM · $115M to $84.0MMar 25, 2022 to Mar 22, 2023
- HNW RAUM · $89.5M to $61.3MMar 25, 2022 to Mar 22, 2023
- Individual RAUM · $23.5M to $22.7MMar 25, 2022 to Mar 22, 2023
- RAUM · $115M to $84.0MMar 25, 2022 to Mar 22, 2023
- Accounts · 466 to 379May 3, 2021 to Mar 25, 2022
- Individual clients · 88 to 86May 3, 2021 to Mar 25, 2022
- Assets in custody · 61544387.0 to unsetMay 3, 2021 to Mar 25, 2022
- Custody of client assets · true to falseMay 3, 2021 to Mar 25, 2022
- Discretionary RAUM · $96.0M to $115MMay 3, 2021 to Mar 25, 2022
- HNW RAUM · $73.3M to $89.5MMay 3, 2021 to Mar 25, 2022
- Individual RAUM · $22.0M to $23.5MMay 3, 2021 to Mar 25, 2022
- RAUM · $96.0M to $115MMay 3, 2021 to Mar 25, 2022
Signals
2 dated events
- Alfredo Alan Flores (Member) no longer on Schedule A of C•••••••• I••••••••• P•••••••• L•• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Brian Kevin Arnold (Member) no longer on Schedule A of C•••••••• I••••••••• P•••••••• L•• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
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 email
- k••@c••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r•••••@c••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r••@c••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-200-1560reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- c••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026