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••• I•••••• I••
Latest filing Mar 27, 2026
First filing on the tape Jun 14, 2014 · 43 filings
SEC status approved since Jun 25, 2014
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$10.8M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$151M as of Mar 27, 2026
Mar 14, 2015$21.1M then
HNW client RAUM$3.3M as of Mar 27, 2026
Feb 26, 2018$9.9M then
State-registered IARs (5.B.3)13 as of Mar 27, 2026
Mar 14, 20151 then
Employees (5.A)13 as of Mar 27, 2026
Mar 14, 201512 then
Private funds: no history
RAUM +2.6% over the last fiscal year-0.8% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $10.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $22,191derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $147MreportedItem 5.I
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$147M98%
- High-net-worth individuals$3.3M2.2%
- Individual clients
- 6,792reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6,794reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• G••••• H•••••• | Omaha, Ne | Jan 23, 2020 | 29 y | 1 |
| D•••• M•••••• T••••••• | Las Vegas, Nv | Feb 4, 2021 | 11 y | 0 |
| J•••• S•••••••• | Omaha, Ne | Oct 12, 2021 | 28 y | 1 |
| J•••• G•••••••• | Las Vegas, Nv | Oct 7, 2022 | 26 y | 0 |
| T•••• L•• G•••••• | Las Vegas, Nv | Feb 6, 2023 | 29 y | 4 |
| K••• F••••• | Las Vegas, Nv | Mar 24, 2023 | 11 y | 0 |
| H••••• J•••• B••••• | Centennial, Co | Jun 5, 2023 | 17 y | 2 |
| B••••• N••••• D••• M••••• | Las Vegas, Nv | Jul 7, 2023 | 11 y | 2 |
| M•••• G••• M•••••• | Las Vegas, Nv | Apr 8, 2024 | 11 y | 2 |
| J•••• H••••• T•••••Chartered Financial Analyst | Las Vegas, Nv | Jan 1, 2025 | 18 y | 0 |
| D•••• N••••• K•••• | Las Vegas, Nv | Jan 29, 2025 | 10 y | 1 |
| M•••••• J•••••• R•••••••Certified Financial Planner | Los Angeles, Ca | Apr 8, 2025 | 16 y | 1 |
| P••• W•• Y•• | Las Vegas, Nv | Dec 11, 2025 | 18 y | 2 |
| C••• E••• H••••••• B•••••• | San Diego, Ca | Aug 21, 2026 | 11 y | 1 |
Advisor movement
4 left, 2 joined in 12 months
net -2 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 29% of current headcount6 left over 36 months
Left, latest
- E•••• L••• Y• to A••••• A•• P••••••• S•••••••Aug 3, 2026 · RIA to affiliated broker-dealer or bank
- J•••• K•••••• B•••••• to C••••• I••••••••• A••••••• L••Apr 14, 2026 · RIA to affiliated broker-dealer or bank
- J•••• A•••••• G••••• to V••••••• A•••••••• I•••Mar 25, 2026 · RIA to affiliated broker-dealer or bank
- N••• C••••••••• to J••• M••••• S••••••••• L••Jan 6, 2026 · RIA to wirehouse
- R••• A• M••••••• to A••••••• A••••••• S•••••••• L••Jan 2, 2025 · RIA to affiliated broker-dealer or bank
- H••••• M••••••• K••••••••• to U•• F•••••••• S••••••• I•••Jan 2, 2024 · RIA to wirehouse
- R•• G••• to S•• I••••••••• A•••••••• I•••Dec 7, 2020 · RIA to affiliated broker-dealer or bank
- H•••••• W••••• M•••• to O•••• T••• R•••• I••••••••• A•••••••Jul 23, 2019 · RIA to a state-registered adviser
- D••• P••• S•••••••• to W•••• F•••• A•••••••Mar 30, 2017 · Other
Joined, latest
- C••• E••• H••••••• B•••••• from C••••• I••••••••• A••••••• L••Aug 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- P••• W•• Y•• from C••••• A•••••• N••••••• L••Dec 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J•••••• R••••••• from R•• S••••••••• I•••Apr 8, 2025 · RIA to RIA
- D•••• N••••• K•••• from M••••• S••••••Jan 29, 2025 · Wirehouse to independent RIA
- R••• A• M••••••• from W•••• F•••• A•••••••Aug 23, 2024 · Wirehouse to independent RIA
- M•••• G••• M•••••• from C•••••• S••••• • C••• I•••Apr 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- B••••• N••••• D••• M••••• from E••••• J••••Jul 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- H••••• J•••• B••••• from T• A••••••••• I•••Jun 5, 2023 · Other
- T•••• L•• G•••••• from P•••••••• A•••••••Feb 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• S•••••••• from T• A••••••••• I••••••••• M••••••••• L••Oct 12, 2021 · Other
- R•• G••• from K•••••••• W••••• A•••••••• L••Mar 16, 2020 · RIA to RIA
- C••• G••••• H•••••• from M••••• O• O•••• I••••••• S•••••••• I•••Jan 23, 2020 · Other
- D••• P••• S•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 25, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• T••••• L•• · Managing Director And Chief I•••••Ment Officercontrolsince 02/2023 · owns less than 5%
- P••••••• J••••••• K••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- W••••• D•••••• · Chief Financial Officercontrolsince 06/2019 · owns less than 5%
Entity owners
- A••• S••••••••• L•• · Shareholderdirect · owns 75% or more
- A••• F••••••••• I•• · Shareholderindirect · owns 75% or more of A••• N••••• H••••••• L•• · public reporting company
- A••• N••••• H••••••• L•• · Shareholderindirect · owns 75% or more of A••• S••••••••• L••
Related persons
Schedule D 7.A
- A••• C••••••• L••broker-dealercustodiann
- A••• F••••••••• I••y
- A••• I••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 13 | 1 | 2 | ||
| O••••, Ne | 4 | 0 | 0 | ||
| San Diego, Ca | 3 | 2 | 2 | ||
| Centennial, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA3 employees
What changed
consecutive filings, newest first
- Accounts · 9,625 to 6,794Nov 5, 2025 to Mar 27, 2026
- Individual clients · 8,764 to 6,792Nov 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $147M to $151MNov 5, 2025 to Mar 27, 2026
- HNW RAUM · unset to 3263290.0Nov 5, 2025 to Mar 27, 2026
- Individual RAUM · $147M to $147MNov 5, 2025 to Mar 27, 2026
- RAUM · $147M to $151MNov 5, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 18, 2025
- Wrap assets (manager) · unset to 0.0Mar 28, 2025 to Jun 18, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 28, 2025 to Jun 18, 2025
- Accounts · 18,834 to 9,625Jan 17, 2025 to Mar 28, 2025
- Individual clients · 17,074 to 8,764Jan 17, 2025 to Mar 28, 2025
- Discretionary RAUM · $143M to $147MJan 17, 2025 to Mar 28, 2025
- Individual RAUM · $143M to $147MJan 17, 2025 to Mar 28, 2025
- RAUM · $143M to $147MJan 17, 2025 to Mar 28, 2025
- Accounts · 22,991 to 18,834Jun 8, 2023 to Mar 27, 2024
- Advisory employees · 9 to 10Jun 8, 2023 to Mar 27, 2024
- BD registered reps · 5 to 13Jun 8, 2023 to Mar 27, 2024
- Individual clients · 20,459 to 17,074Jun 8, 2023 to Mar 27, 2024
- Assets in custody · $155M to $143MJun 8, 2023 to Mar 27, 2024
- Employees · 11 to 13Jun 8, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 13Jun 8, 2023 to Mar 27, 2024
- Discretionary RAUM · $155M to $143MJun 8, 2023 to Mar 27, 2024
- Individual RAUM · $155M to $143MJun 8, 2023 to Mar 27, 2024
- RAUM · $155M to $143MJun 8, 2023 to Mar 27, 2024
- Accounts · 19,858 to 22,991Feb 15, 2023 to Mar 15, 2023
- Advisory employees · 7 to 9Feb 15, 2023 to Mar 15, 2023
- BD registered reps · 12 to 5Feb 15, 2023 to Mar 15, 2023
- Individual clients · 17,442 to 20,459Feb 15, 2023 to Mar 15, 2023
- Assets in custody · $209M to $155MFeb 15, 2023 to Mar 15, 2023
- Employees · 15 to 11Feb 15, 2023 to Mar 15, 2023
- State-registered IARs · 12 to 3Feb 15, 2023 to Mar 15, 2023
- Discretionary RAUM · $209M to $155MFeb 15, 2023 to Mar 15, 2023
- Individual RAUM · $209M to $155MFeb 15, 2023 to Mar 15, 2023
- RAUM · $209M to $155MFeb 15, 2023 to Mar 15, 2023
- Accounts · 25,577 to 19,858Mar 30, 2021 to Mar 25, 2022
- Advisory employees · 2 to 7Mar 30, 2021 to Mar 25, 2022
- BD registered reps · 2 to 12Mar 30, 2021 to Mar 25, 2022
- Individual clients · 19,649 to 17,442Mar 30, 2021 to Mar 25, 2022
- Assets in custody · $205M to $209MMar 30, 2021 to Mar 25, 2022
- Employees · 19 to 15Mar 30, 2021 to Mar 25, 2022
Signals
22 dated events
- E•••• L••• Y• left A••• I•••••• I•• for A••••• A•• P••••••• S••••••• (registered 2026-08-11)Aug 3, 2026 · a•••••• firm change · fact
- J•••• K•••••• B•••••• left A••• I•••••• I•• for C••••• I••••••••• A••••••• L•• (registered 2026-05-07)Apr 14, 2026 · a•••••• firm change · fact
- J•••• A•••••• G••••• left A••• I•••••• I•• for V••••••• A•••••••• I••• (registered 2026-05-20)Mar 25, 2026 · a•••••• firm change · fact
- N••• C••••••••• left A••• I•••••• I•• for J••• M••••• S••••••••• L•• (registered 2026-01-23)Jan 6, 2026 · a•••••• firm change · fact
- R••• A• M••••••• left A••• I•••••• I•• for A••••••• A••••••• S•••••••• L•• (registered 2025-01-13)Jan 2, 2025 · a•••••• firm change · fact
- A••• I•••••• I•• reported 13 state-registered advisory representatives, up from 3 (2023-06-08 to 2024-03-27)Mar 27, 2024 · ria a•••••• headcount change · derived
- H••••• M••••••• K••••••••• left A••• I•••••• I•• for U•• F•••••••• S••••••• I••• (registered 2024-01-23)Jan 2, 2024 · a•••••• firm change · fact
- K••• J•••••• P•••••• (Chief Compliance Officer) appeared on Schedule A of A••• I•••••• I••Jun 8, 2023 · Control person joined · fact
- Lyn T•••• G•••••• (Managing Director And Chief Investment Officer) appeared on Schedule A of A••• I•••••• I••Feb 6, 2023 · Control person joined · fact
- Asbury J•••• Rives (Cco) no longer on Schedule A of A••• I•••••• I•• (listed 2022-11-02, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- M•••••• Ron P•••••• (Ceo) no longer on Schedule A of A••• I•••••• I•• (listed 2022-11-02, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- A••• I•••••• I•• reported 12 state-registered advisory representatives, up from 0 (2021-03-30 to 2022-03-25)Mar 25, 2022 · ria a•••••• headcount change · derived
- Matthew Brian Ramirez (Ceo) no longer on Schedule A of A••• I•••••• I•• (listed 2019-10-17, absent 2019-12-03)Dec 3, 2019 · Control person left · inference
- M•••••• Ron P•••••• (Ceo) appeared on Schedule A of A••• I•••••• I••Dec 3, 2019 · Control person joined · fact
- Vicki Zhou (Chief Operating Officer / Secretary) no longer on Schedule A of A••• I•••••• I•• (listed 2019-06-28, absent 2019-08-06)Aug 6, 2019 · Control person left · inference
- Asbury J•••• Rives (Cco) appeared on Schedule A of A••• I•••••• I••Jun 28, 2019 · Control person joined · fact
- Derrick Walsh (Chief Financial Officer) appeared on Schedule A of A••• I•••••• I••Jun 28, 2019 · Control person joined · fact
- Matthew Brian Ramirez (Ceo) appeared on Schedule A of A••• I•••••• I••Jun 28, 2019 · Control person joined · fact
- Wilson Herbert Moore (Cco) no longer on Schedule A of A••• I•••••• I•• (listed 2019-03-29, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- M Ron P•••••• (Ceo) no longer on Schedule A of A••• I•••••• I•• (listed 2019-03-29, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- M Ron P•••••• (Ceo) appeared on Schedule A of A••• I•••••• I••Mar 29, 2019 · Control person joined · fact
- W••••••••• I••• filed its initial SEC registration (Form ADV)Jun 14, 2014 · 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
- axosinvest.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-376-6055reportedpublic record, Form ADV, Mar 27, 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
- $10.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026