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
N••••••• A••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Jan 31, 2012 · 35 filings
SEC status approved since Sep 1, 2010
RAUM
$304M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$304M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$304M as of Feb 25, 2026
Jan 31, 2012$116M then
HNW client RAUM$260M as of Feb 25, 2026
Feb 23, 2018$94.2M then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Jan 31, 20120 then
Employees (5.A)3 as of Feb 25, 2026
Jan 22, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $501,304derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- High-net-worth individuals$260M85%
- Individuals$43.9M14%
- Charitable organizations$365,1740.1%
- Individual clients
- 37reported
- HNW clients
- 151reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 607reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• J•••• M••••••Certified Financial Planner | La Jolla, Ca | Apr 26, 2018 | 14 y | 2 |
| D••••• S••••• C••••• | La Jolla, Ca | May 21, 2018 | 26 y | 3 |
| M•••••• S••• B•••••Certified Financial Planner | La Jolla, Ca | Jan 1, 2025 | 26 y | 3 |
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
- T••••• S•••• B•••••• to D•• I••••••••• M•••••••••Apr 2, 2019 · RIA to RIA
- M••• A•••••• H•••• to D•• I••••••••• M•••••••••Apr 2, 2019 · RIA to RIA
- T••• E••••• O•••• to L•• F•••••••• L••Feb 19, 2019 · RIA to RIA
- M•••••• A•••••• C•••••• to C••••• W•••••Feb 22, 2018 · Other
- B•••••• W••• K•••• to M•••••• T••••• F••••••••Feb 1, 2016 · Other
- L•••• K••••••••• to M•••••• T••••• F••••••••Jul 20, 2015 · Other
- S••••• F••••• B•••• to M•••••• T••••• F••••••••Sep 23, 2011 · Other
Joined, latest
- M•••••• S••• B••••• from N•• E•••••• S••••••••• C•••••••••Jan 1, 2025 · Other
- D••••• S••••• C••••• from J••• M••••• S••••••••• L••May 21, 2018 · Wirehouse to independent RIA
- K••• J•••• M•••••• from J••• M••••• S••••••••• L••Apr 26, 2018 · Wirehouse to independent RIA
- M•••••• A•••••• C•••••• from A••••••••• F•••••••• S•••••••• L••Dec 21, 2017 · Other
- L•••• K••••••••• from M••••• S••••••Nov 5, 2013 · Other
- M••• A•••••• H•••• from N•• E•••••• S••••••••• C•••••••••Jun 18, 2013 · Other
- T••••• S•••• B•••••• from N•• E•••••• S••••••••• C•••••••••Sep 1, 2010 · Other
- B•••••• W••• K•••• from N•• E•••••• S••••••••• C•••••••••Sep 1, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for D•• I••••••••• M•••••••••Apr 2, 2019 · San Diego, Ca
- 2 joined from J••• M••••• S••••••••• L••Apr 11, 2018 · Aliso Viejo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• S••• · Chief Compliance Officer & Principalcontrolsince 09/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 3 | 0 | 0 | ||
| Ladera Ranch, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ladera Ranch, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 25, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $267,576,480 to $304,291,789, advisors 3 to 3, private clients 247 to 188, offices 1 to 1 (2025-03-27 to 2026-02-25)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 526 to 607Mar 27, 2025 to Feb 25, 2026
- HNW clients · 221 to 151Mar 27, 2025 to Feb 25, 2026
- Individual clients · 26 to 37Mar 27, 2025 to Feb 25, 2026
- Discretionary RAUM · $240M to $277MMar 27, 2025 to Feb 25, 2026
- HNW RAUM · $246M to $260MMar 27, 2025 to Feb 25, 2026
- Individual RAUM · $21.6M to $43.9MMar 27, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $27.5M to $27.2MMar 27, 2025 to Feb 25, 2026
- RAUM · $268M to $304MMar 27, 2025 to Feb 25, 2026
- Accounts · 468 to 526Mar 27, 2024 to Mar 27, 2025
- HNW clients · 214 to 221Mar 27, 2024 to Mar 27, 2025
- Individual clients · 22 to 26Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 27, 2025
- HQ city · SAN DIEGO to LA JOLLAMar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $205M to $240MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $215M to $246MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $17.7M to $21.6MMar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $30.4M to $27.5MMar 27, 2024 to Mar 27, 2025
- RAUM · $235M to $268MMar 27, 2024 to Mar 27, 2025
- Accounts · 458 to 468Mar 23, 2023 to Mar 27, 2024
- HNW clients · 139 to 214Mar 23, 2023 to Mar 27, 2024
- Individual clients · 35 to 22Mar 23, 2023 to Mar 27, 2024
- Assets in custody · 16638284.0 to unsetMar 23, 2023 to Mar 27, 2024
- Custody of client assets · true to falseMar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $195M to $205MMar 23, 2023 to Mar 27, 2024
- HNW RAUM · $184M to $215MMar 23, 2023 to Mar 27, 2024
- Individual RAUM · $30.5M to $17.7MMar 23, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $31.4M to $30.4MMar 23, 2023 to Mar 27, 2024
- Pension RAUM · 9198545.0 to unsetMar 23, 2023 to Mar 27, 2024
- RAUM · $226M to $235MMar 23, 2023 to Mar 27, 2024
- Accounts · 379 to 458Mar 29, 2022 to Mar 23, 2023
- HNW clients · 133 to 139Mar 29, 2022 to Mar 23, 2023
- Individual clients · 32 to 35Mar 29, 2022 to Mar 23, 2023
- Assets in custody · $27.4M to $16.6MMar 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $195M to $195MMar 29, 2022 to Mar 23, 2023
- HNW RAUM · $173M to $184MMar 29, 2022 to Mar 23, 2023
- Individual RAUM · $23.1M to $30.5MMar 29, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $14.3M to $31.4MMar 29, 2022 to Mar 23, 2023
- Pension RAUM · $13.0M to $9.2MMar 29, 2022 to Mar 23, 2023
- RAUM · $209M to $226MMar 29, 2022 to Mar 23, 2023
- Accounts · 305 to 379Mar 17, 2021 to Mar 29, 2022
Signals
2 dated events
- Wade Brigand Kline (Owner) no longer on Schedule A of N••••••• A••••••• L•• (listed 2019-11-19, absent 2019-11-26)Nov 26, 2019 · Control person left · inference
- Scott Thomas Brenner (Owner) no longer on Schedule A of N••••••• A••••••• L•• (listed 2019-11-19, absent 2019-11-26)Nov 26, 2019 · Control person left · inference
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 phone
- 619-573-4590reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 619-255-4273reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 619-573-4600reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- N•••••••ADV.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-573-4590reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- nautilusadv.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026