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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Former SEC-registered adviser
I•••••• W••••• S••••••••• L•
Latest filing Mar 4, 2025
First filing on the tape Jan 7, 2016 · 9 filings
SEC status approved since May 19, 2022
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$88.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$109M as of Mar 4, 2025
Mar 10, 2023$97.2M then
HNW client RAUM$85.9M as of Mar 4, 2025
Mar 10, 2023$83.0M then
State-registered IARs (5.B.3)2 as of Mar 4, 2025
Mar 10, 20231 then
Employees (5.A)2 as of Mar 4, 2025
Mar 10, 20232 then
Private funds: no history
RAUM +3.3% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
- RAUM per advisor
- $54.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $464,609derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $23.9M, 14 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.9M79%
- Pension and profit-sharing plans$19.9M18%
- Individuals$2.4M2.2%
- Corporations and businesses$1.0M0.9%
- Individual clients
- 13reported
- HNW clients
- 40reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 235reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.9M for 14 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- A•••••• R••••• L•••• to C•••••• L••Mar 5, 2026 · RIA to RIA
- D••••• D••• M•••••••• to C•••••• L••Mar 5, 2026 · RIA to RIA
Joined, latest
- A•••••• R••••• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 4, 2023 · Wirehouse to independent RIA
- D••••• D••• M•••••••• from J• W• C••• A•••••••• I•••Oct 26, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••• L••Mar 5, 2026 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D•••••• D••• · Principal & Chief Compliance Officercontrolsince 08/2009 · owns less than 5%
- M••••••••• D•••••• D••• · Presidentcontrolsince 11/1994 · owns 75% or more of I•••••• A•••••••• I•••
Entity owners
- I•••••• A•••••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- D• D••• M••••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 222 to 235Mar 1, 2024 to Mar 4, 2025
- Corporate clients · unset to 5.0Mar 1, 2024 to Mar 4, 2025
- HNW clients · 39 to 40Mar 1, 2024 to Mar 4, 2025
- Individual clients · 10 to 13Mar 1, 2024 to Mar 4, 2025
- Pension plan clients · 13 to 8Mar 1, 2024 to Mar 4, 2025
- Assets in custody · $23.6M to $23.9MMar 1, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 1, 2024 to Mar 4, 2025
- Discretionary RAUM · $106M to $109MMar 1, 2024 to Mar 4, 2025
- HNW RAUM · $87.1M to $85.9MMar 1, 2024 to Mar 4, 2025
- Individual RAUM · $2.2M to $2.4MMar 1, 2024 to Mar 4, 2025
- Pension RAUM · $15.3M to $19.9MMar 1, 2024 to Mar 4, 2025
- RAUM · $106M to $109MMar 1, 2024 to Mar 4, 2025
- Accounts · 235 to 222Apr 17, 2023 to Mar 1, 2024
- Advisory employees · 1 to 2Apr 17, 2023 to Mar 1, 2024
- Advisory activities · 2 to 3Apr 17, 2023 to Mar 1, 2024
- HNW clients · 41 to 39Apr 17, 2023 to Mar 1, 2024
- Individual clients · 9 to 10Apr 17, 2023 to Mar 1, 2024
- Pension plan clients · 7 to 13Apr 17, 2023 to Mar 1, 2024
- Assets in custody · $14.4M to $23.6MApr 17, 2023 to Mar 1, 2024
- State-registered IARs · 1 to 2Apr 17, 2023 to Mar 1, 2024
- Discretionary RAUM · $97.2M to $106MApr 17, 2023 to Mar 1, 2024
- HNW RAUM · $83.0M to $87.1MApr 17, 2023 to Mar 1, 2024
- Individual RAUM · $1.5M to $2.2MApr 17, 2023 to Mar 1, 2024
- Pension RAUM · $12.8M to $15.3MApr 17, 2023 to Mar 1, 2024
- RAUM · $97.2M to $106MApr 17, 2023 to Mar 1, 2024
- Discretionary RAUM · $97.2M to $97.2MMar 10, 2023 to Apr 17, 2023
- HNW RAUM · $83.0M to $83.0MMar 10, 2023 to Apr 17, 2023
- Individual RAUM · $1.5M to $1.5MMar 10, 2023 to Apr 17, 2023
- Pension RAUM · $12.8M to $12.8MMar 10, 2023 to Apr 17, 2023
- RAUM · $97.2M to $97.2MMar 10, 2023 to Apr 17, 2023
- Accounts · 220 to 235Apr 18, 2022 to Mar 10, 2023
- HNW clients · 42 to 41Apr 18, 2022 to Mar 10, 2023
- Individual clients · 8 to 9Apr 18, 2022 to Mar 10, 2023
- Pension plan clients · 2 to 7Apr 18, 2022 to Mar 10, 2023
- Assets in custody · $10.3M to $14.4MApr 18, 2022 to Mar 10, 2023
- Employees · 1 to 2Apr 18, 2022 to Mar 10, 2023
- State-registered IARs · 0 to 1Apr 18, 2022 to Mar 10, 2023
- Discretionary RAUM · $120M to $97.2MApr 18, 2022 to Mar 10, 2023
- HNW RAUM · $108M to $83.0MApr 18, 2022 to Mar 10, 2023
- Individual RAUM · $1.0M to $1.5MApr 18, 2022 to Mar 10, 2023
Signals
5 dated events
- I•••••• W••••• S••••••••• L• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $109.2M)Apr 1, 2026 · Left the SEC roster · derived
- A•••••• R••••• L•••• left I•••••• W••••• S••••••••• L• for C•••••• L•• (registered 2026-03-05)Mar 5, 2026 · Advisor changed firm · fact
- D••••• D••• M•••••••• left I•••••• W••••• S••••••••• L• for C•••••• L•• (registered 2026-03-06)Mar 5, 2026 · Advisor changed firm · fact
- 2 advisors left I•••••• W••••• S••••••••• L• (Irvine, CA) for C•••••• L•• on the same dayMar 5, 2026 · Team lift-out · derived
- I•••••• W••••• S••••••••• L• filed its initial SEC registration (Form ADV)Jan 7, 2016 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026