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.
Former SEC-registered adviser
Precept Advisory Group LLC
Latest filing Mar 31, 2025
First filing on the tape Jan 31, 2012 · 55 filings
SEC status approved since Feb 8, 2010
RAUM
$5.0B
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$5.0B as of Mar 31, 2025
Mar 12, 2012$1.5B then
HNW client RAUM$0 as of Mar 31, 2025
Mar 27, 2019$0 then
State-registered IARs (5.B.3)7 as of Mar 31, 2025
Mar 12, 20120 then
Employees (5.A)8 as of Mar 31, 2025
Mar 27, 20136 then
Private funds: no history
RAUM +17% over the last fiscal year-2.8% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $716MderivedRAUM 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
- $79.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%derivedof RAUM
- Institutional
- 96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$4.8B96%
- Corporations and businesses$192M3.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 56reported
- Charitable clients
- 0reported
- Accounts
- 63reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
- Vincent Timothy Ko to Mma Securities LLCJan 30, 2026 · Other
- Linda Kyu-Young Bright to Mma Securities LLCJan 30, 2026 · Other
- Kevin Jenpin Chen to Mma Securities LLCJan 14, 2026 · Other
- Matija Fistrovic to Mma Securities LLCJan 8, 2026 · Other
- Johnathan Ma to Mma Securities LLCJan 8, 2026 · Other
- Bernson Gin Won Wong to Mma Securities LLCJan 8, 2026 · Other
- Corey Alan Coleman to Mma Securities LLCJan 8, 2026 · Other
- Ann Felkner Cheu to Creative Planning Institutional Advisors, LLCMay 13, 2016 · Other
- Douglas Igel to Beacon Pointe Advisors, LLCMar 4, 2016 · Other
- David Allen Ramirez to New York Life Investment Management LLCMay 13, 2013 · Other
Joined, latest
- Johnathan Ma from Empower Advisory Group, LLCAug 3, 2023 · Other
- Corey Alan Coleman from Hub International Investment Services Inc.Dec 18, 2020 · Other
- Vincent Timothy Ko from Cuna Brokerage Services, Inc.Apr 18, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Mma Securities LLCJan 30, 2026 · Irvine, Ca
- 4 left for Mma Securities LLCJan 8, 2026 · Irvine, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jon Boone · Treasurer And Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- Read Robert Davis · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- Kyu-Young Linda Bright · Presidentsince 06/2012 · owns less than 5%
- Timothy Vincent Ko · Chief Compliance Officersince 04/2017 · owns less than 5%
Entity owners
- Marsh & Mclennan Agency LLC · Shareholderdirect · owns 75% or more
- Marsh & Mclennan Companies, Inc. · Parent Companyindirect · owns 75% or more of Marsh LLC · public reporting company
- Marsh LLC · Ownerindirect · owns 75% or more of Marsh USA LLC
- Marsh USA LLC · Ownerindirect · owns 75% or more of Marsh & Mclennan Agency LLC
Related persons
Schedule D 7.A
- Guy Carpenter & Company, LLCreal estatey
- Marsh & Mclennan Agency, LLCreal estatey
- Marsh Insurance & Investments LLCreal estatey
- Marsh USA LLCreal estatey
- Mcgriff Insurance Services, LLCreal estatey
- Mercer (US) Inc.LP sponsorn
- Mercer Global Investments Canada Limitedinvestment adviserbankpooled vehicle sponsorn
- Mercer Investments LLCinvestment adviserbankpooled vehicle sponsorLP sponsornRAUM $226B
- Mma Asset Management LLCinvestment advisernRAUM $788M
- Mma Securities LLCbroker-dealerinvestment adviserLP sponsorreal estaten
- Mmc Securities Limitedbroker-dealerinvestment advisern
- Mmc Securities LLCbroker-dealern
- Mmc Securities(Ireland)broker-dealerinvestment advisern
Advisers that list Precept Advisory Group LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 0 | 0 | 6 | 1 | |
| Portland, Or | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 62 to 63Dec 13, 2024 to Mar 31, 2025
- Pension plan clients · 55 to 56Dec 13, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Dec 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $288M to $542MDec 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.0B to $4.5BDec 13, 2024 to Mar 31, 2025
- Pension RAUM · $4.1B to $4.8BDec 13, 2024 to Mar 31, 2025
- RAUM · $4.3B to $5.0BDec 13, 2024 to Mar 31, 2025
- Advisory employees · 8 to 7Nov 14, 2024 to Dec 13, 2024
- BD registered reps · 1 to 0Nov 14, 2024 to Dec 13, 2024
- Employees · 9 to 8Nov 14, 2024 to Dec 13, 2024
- State-registered IARs · 8 to 7Nov 14, 2024 to Dec 13, 2024
- Accounts · 67 to 62Jan 10, 2024 to Mar 14, 2024
- Corporate clients · 1 to 7Jan 10, 2024 to Mar 14, 2024
- Pension plan clients · 58 to 55Jan 10, 2024 to Mar 14, 2024
- Discretionary RAUM · $27.0M to $288MJan 10, 2024 to Mar 14, 2024
- Non-discretionary RAUM · $4.9B to $4.0BJan 10, 2024 to Mar 14, 2024
- Pension RAUM · $4.8B to $4.1BJan 10, 2024 to Mar 14, 2024
- RAUM · $4.9B to $4.3BJan 10, 2024 to Mar 14, 2024
- Advisory employees · 7 to 8Aug 30, 2023 to Jan 10, 2024
- BD registered reps · 0 to 1Aug 30, 2023 to Jan 10, 2024
- Employees · 8 to 9Aug 30, 2023 to Jan 10, 2024
- State-registered IARs · 7 to 8Aug 30, 2023 to Jan 10, 2024
- Advisory employees · 6 to 7May 17, 2023 to Aug 30, 2023
- Employees · 7 to 8May 17, 2023 to Aug 30, 2023
- State-registered IARs · 6 to 7May 17, 2023 to Aug 30, 2023
- Accounts · 58 to 67Sep 7, 2022 to Mar 21, 2023
- Pension plan clients · 57 to 58Sep 7, 2022 to Mar 21, 2023
- Financial planning clients · unset to 0Sep 7, 2022 to Mar 21, 2023
- Discretionary RAUM · $24.2M to $27.0MSep 7, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $5.4B to $4.9BSep 7, 2022 to Mar 21, 2023
- Pension RAUM · $5.4B to $4.8BSep 7, 2022 to Mar 21, 2023
- RAUM · $5.4B to $4.9BSep 7, 2022 to Mar 21, 2023
- Accounts · 53 to 58Aug 6, 2021 to Mar 14, 2022
- Corporate clients · 2 to 1Aug 6, 2021 to Mar 14, 2022
- Pension plan clients · 51 to 57Aug 6, 2021 to Mar 14, 2022
- Discretionary RAUM · $0 to $24.2MAug 6, 2021 to Mar 14, 2022
- Non-discretionary RAUM · $4.8B to $5.4BAug 6, 2021 to Mar 14, 2022
- Pension RAUM · $4.8B to $5.4BAug 6, 2021 to Mar 14, 2022
- RAUM · $4.8B to $5.4BAug 6, 2021 to Mar 14, 2022
- Accounts · 46 to 53Jan 25, 2021 to Mar 5, 2021
Signals
28 dated events
- Precept Advisory Group Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $5.0B)Feb 2, 2026 · Left the SEC roster · derived
- Vincent Timothy Ko left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-05)Jan 30, 2026 · Advisor changed firm · fact
- Linda Kyu-Young Bright left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-05)Jan 30, 2026 · Advisor changed firm · fact
- 2 advisors left Precept Advisory Group LLC (Irvine, CA) for Mma Securities LLC on the same dayJan 30, 2026 · Team lift-out · derived
- Kevin Jenpin Chen left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-08)Jan 14, 2026 · Advisor changed firm · fact
- Corey Alan Coleman left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-05)Jan 8, 2026 · Advisor changed firm · fact
- Johnathan Ma left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-05)Jan 8, 2026 · Advisor changed firm · fact
- Matija Fistrovic left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-05)Jan 8, 2026 · Advisor changed firm · fact
- Bernson Gin Won Wong left Precept Advisory Group Llc for Mma Securities Llc (registered 2026-01-05)Jan 8, 2026 · Advisor changed firm · fact
- Precept Advisory Group LLC's advisors moved to Mma Securities LLC (Irvine, CA): 4 of 7 registered, within 6 daysJan 8, 2026 · Firm absorbed (people side) · derived
- Michael John Howard (Chairman) no longer on Schedule A of Precept Advisory Group Llc (listed 2024-11-14, absent 2024-12-13)Dec 13, 2024 · Control person left · inference
- J. Tammy Stringer (Secretary) no longer on Schedule A of Precept Advisory Group Llc (listed 2024-09-09, absent 2024-11-14)Nov 14, 2024 · Control person left · inference
- M Mary Martin (Treasurer) no longer on Schedule A of Precept Advisory Group Llc (listed 2024-07-16, absent 2024-09-09)Sep 9, 2024 · Control person left · inference
- Jon Boone (Treasurer And Chief Financial Officer) appeared on Schedule A of Precept Advisory Group LlcSep 9, 2024 · Control person joined · fact
- L Andrea Holder (Chief Financial Officer) no longer on Schedule A of Precept Advisory Group Llc (listed 2024-07-05, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- M Mary Martin (Treasurer) appeared on Schedule A of Precept Advisory Group LlcApr 2, 2024 · Control person joined · fact
- Alan David Gottwals (President) no longer on Schedule A of Precept Advisory Group Llc (listed 2024-03-14, absent 2024-04-02)Apr 2, 2024 · Control person left · inference
- Read Robert Davis (Chief Executive Officer) appeared on Schedule A of Precept Advisory Group LlcMar 14, 2022 · Control person joined · fact
- Alan David Gottwals (President) appeared on Schedule A of Precept Advisory Group LlcMar 14, 2022 · Control person joined · fact
- W. Frederick Iii Ulmer (Chief Executive Officer) no longer on Schedule A of Precept Advisory Group Llc (listed 2021-08-06, absent 2022-03-14)Mar 14, 2022 · Control person left · inference
- Joseph Michael Martini (President) no longer on Schedule A of Precept Advisory Group Llc (listed 2021-08-06, absent 2022-03-14)Mar 14, 2022 · Control person left · inference
- Precept Advisory Group Llc reported RAUM $4.8B, up 29% from $3.8B (2021-01-25 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- W. Frederick Iii Ulmer (Chief Executive Officer) appeared on Schedule A of Precept Advisory Group LlcMar 27, 2019 · Control person joined · fact
- Joseph Michael Martini (President) appeared on Schedule A of Precept Advisory Group LlcMar 27, 2019 · Control person joined · fact
- J. Tammy Stringer (Secretary) appeared on Schedule A of Precept Advisory Group LlcMar 27, 2019 · Control person joined · fact
- M David Pruett (Manager, Vice Chairman And Secretary) no longer on Schedule A of Precept Advisory Group Llc (listed 2018-12-19, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Martin Loth (President) no longer on Schedule A of Precept Advisory Group Llc (listed 2018-12-19, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Precept Advisory Group Llc reported RAUM $3.3B, up 52% from $2.1B (2017-07-11 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
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