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••• C•••••• A•••••••
Legal name A••• C•••••• A••••••• L••
Latest filing Apr 20, 2026
First filing on the tape Mar 21, 2012 · 8 filings
SEC status approved since Jul 12, 2024
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$144M as of Apr 20, 2026
Mar 21, 2012$35.6M then
HNW client RAUM$137M as of Apr 20, 2026
Mar 20, 2025$116M then
State-registered IARs (5.B.3)3 as of Apr 20, 2026
Mar 21, 20120 then
Employees (5.A)4 as of Apr 20, 2026
Mar 20, 20253 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $71.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $860,895derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $21.0M, 8 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$137M96%
- Individuals$6.4M4.5%
- Individual clients
- 20reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 167reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.0M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| J••• C•••••• F•••Certified Financial Planner | Los Angeles, Ca | Nov 13, 2009 | 24 y | 1 |
| J••• P•••••• D••••••Chartered Financial Analyst | Los Angeles, Ca | Jul 18, 2024 | 29 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
none on the tape
Joined, latest
- J••• P•••••• D•••••• from A••••••• P••••••• L••Jul 18, 2024 · Other
- J••• C•••••• F••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• J•••• C•••••• · Managing Member & Chief Compliance Officercontrolsince 11/2009 · owns less than 5%
- C••••• K••••• N•• · Trusteecontrolsince 09/2006 · owns 50% to 75% of F••• F••••• T••••
- F•••• J•••• C•••••• · Trusteecontrolsince 09/2006 · owns 50% to 75% of F••• F••••• T••••
Entity owners
- F••• F••••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• P••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 153 to 167Mar 20, 2025 to Mar 27, 2026
- HNW clients · 22 to 24Mar 20, 2025 to Mar 27, 2026
- Individual clients · 19 to 20Mar 20, 2025 to Mar 27, 2026
- Assets in custody · $13.5M to $21.0MMar 20, 2025 to Mar 27, 2026
- Employees · 3 to 4Mar 20, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 3Mar 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $122M to $144MMar 20, 2025 to Mar 27, 2026
- HNW RAUM · $116M to $137MMar 20, 2025 to Mar 27, 2026
- Individual RAUM · $6.8M to $6.4MMar 20, 2025 to Mar 27, 2026
- RAUM · $122M to $144MMar 20, 2025 to Mar 27, 2026
- Related adviser · true to falseMar 20, 2025 to Mar 27, 2026
- Accounts · 160 to 153Aug 21, 2024 to Mar 20, 2025
- HNW clients · 23 to 22Aug 21, 2024 to Mar 20, 2025
- Individual clients · 17 to 19Aug 21, 2024 to Mar 20, 2025
- Assets in custody · $27.9M to $13.5MAug 21, 2024 to Mar 20, 2025
- Financial planning clients · 26-50 to 26-50Aug 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $120M to $122MAug 21, 2024 to Mar 20, 2025
- HNW RAUM · $115M to $116MAug 21, 2024 to Mar 20, 2025
- Individual RAUM · $5.3M to $6.8MAug 21, 2024 to Mar 20, 2025
- RAUM · $120M to $122MAug 21, 2024 to Mar 20, 2025
- Accounts · 81 to 160Jul 17, 2012 to Jun 12, 2024
- Advisory employees · unset to 2.0Jul 17, 2012 to Jun 12, 2024
- HNW clients · unset to 23.0Jul 17, 2012 to Jun 12, 2024
- Individual clients · unset to 17.0Jul 17, 2012 to Jun 12, 2024
- Assets in custody · unset to 27921445.0Jul 17, 2012 to Jun 12, 2024
- Custody of client assets · false to trueJul 17, 2012 to Jun 12, 2024
- Employees · unset to 3.0Jul 17, 2012 to Jun 12, 2024
- Insurance-licensed employees · 0 to 1Jul 17, 2012 to Jun 12, 2024
- Financial planning clients · 1-10 to 26-50Jul 17, 2012 to Jun 12, 2024
- State-registered IARs · 0 to 2Jul 17, 2012 to Jun 12, 2024
- Other offices · unset to 0.0Jul 17, 2012 to Jun 12, 2024
- Discretionary RAUM · $36.8M to $120MJul 17, 2012 to Jun 12, 2024
- HNW RAUM · unset to 114812366.0Jul 17, 2012 to Jun 12, 2024
- Individual RAUM · unset to 5300611.0Jul 17, 2012 to Jun 12, 2024
- Non-discretionary RAUM · $2.1M to $0Jul 17, 2012 to Jun 12, 2024
- RAUM · $38.8M to $120MJul 17, 2012 to Jun 12, 2024
- Related adviser · false to trueJul 17, 2012 to Jun 12, 2024
- Advisory activities · 3 to 2May 31, 2012 to Jul 17, 2012
- Accounts · 75 to 81Mar 21, 2012 to May 31, 2012
- Discretionary RAUM · $33.8M to $36.8MMar 21, 2012 to May 31, 2012
Signals
1 dated events
- A••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Jun 12, 2024 · 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 email
- info@aquaca.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-492-9680reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/aqua-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- AQUACA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-492-9680reportedpublic record, Form ADV, Apr 20, 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
- $71.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026