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

Align Investment Management, LLC

Former SEC-registered adviserCRD 153768SEC 801-71405IAPD
Latest filing Mar 31, 2023
First filing on the tape Apr 2, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2016
Apr 2, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Apr 2, 20120 then
Employees (5.A)2 as of Mar 31, 2023
Apr 3, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Anthony Blueford · Chief Compliance Officercontrol
        since 01/2020 · owns less than 5%
      • Howard Robert Lipp · Foundercontrol
        since 04/2010 · owns less than 5%
      • Howard Robert Lipp · Managing Prinicpalcontrol
        since 03/2000 · owns 75% or more of Georgina Asset Management LLC
      Entity owners
      • Georgina Asset Management LLC · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 0.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · 0.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · 0.0 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 2 to 1
        Mar 31, 2015 to Mar 30, 2016
      • HQ city · SANTA MONICA to unset
        Mar 31, 2015 to Mar 30, 2016
      • HQ state · CA to unset
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · unset to 2.0
        Apr 3, 2012 to Apr 3, 2013
      • Employees · unset to 2.0
        Apr 3, 2012 to Apr 3, 2013
      • State-registered IARs · 0 to 1
        Apr 3, 2012 to Apr 3, 2013
      Signals
      3 dated events
      • S (Mi Only) Diane Lipp (Owner) no longer on Schedule A of Align Investment Management, Llc (listed 2021-10-14, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Linda Kristina Nava (Chief Compliance Officer) no longer on Schedule A of Align Investment Management, Llc (listed 2019-03-29, absent 2020-05-27)
        May 27, 2020 · Control person left · inference
      • Lee Anthony Blueford (Chief Compliance Officer) appeared on Schedule A of Align Investment Management, Llc
        May 27, 2020 · Control person joined · 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