DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A• A•••• A•••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Dec 12, 2014 · 28 filings
SEC status approved since Jan 2, 2015
RAUM
$440M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$415M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$220M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$440M as of Mar 5, 2026
Mar 10, 2015$211M then
HNW client RAUM$410M as of Mar 5, 2026
Mar 3, 2018$212M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 10, 20152 then
Employees (5.A)3 as of Mar 5, 2026
Mar 10, 20154 then
Private funds: no history
RAUM +7.6% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $220MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.4MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$410M93%
- Charitable organizations$25.2M5.7%
- Individuals$4.8M1.1%
- Individual clients
- 2reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 196reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| A•••••• M•••••• G•••••• | Los Angeles, Ca | May 10, 2013 | 16 y | 0 |
| B•••• S•••• T••••• | Los Angeles, Ca | Sep 25, 2025 | 23 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• A••••••• M•••••• · Managing Membercontrolsince 06/2010 · owns 75% or more
- T•••••• B••••• S•••• · Chief Compliance Officersince 01/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 5, 2026HNW RAUM per HNW client of $12,438,418 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 6.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 188 to 196Feb 27, 2025 to Mar 5, 2026
- Individual clients · 3 to 2Feb 27, 2025 to Mar 5, 2026
- Discretionary RAUM · $409M to $440MFeb 27, 2025 to Mar 5, 2026
- HNW RAUM · $382M to $410MFeb 27, 2025 to Mar 5, 2026
- Individual RAUM · $4.1M to $4.8MFeb 27, 2025 to Mar 5, 2026
- RAUM · $409M to $440MFeb 27, 2025 to Mar 5, 2026
- Accounts · 185 to 188Mar 13, 2024 to Feb 27, 2025
- Charity clients · 1 to 2Mar 13, 2024 to Feb 27, 2025
- Corporate clients · unset to 0.0Mar 13, 2024 to Feb 27, 2025
- HNW clients · 36 to 33Mar 13, 2024 to Feb 27, 2025
- Pension plan clients · unset to 0.0Mar 13, 2024 to Feb 27, 2025
- Pooled vehicle clients · unset to 0.0Mar 13, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Feb 27, 2025
- Discretionary RAUM · $356M to $409MMar 13, 2024 to Feb 27, 2025
- HNW RAUM · $330M to $382MMar 13, 2024 to Feb 27, 2025
- Individual RAUM · $4.4M to $4.1MMar 13, 2024 to Feb 27, 2025
- Pension RAUM · unset to 0.0Mar 13, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 13, 2024 to Feb 27, 2025
- RAUM · $356M to $409MMar 13, 2024 to Feb 27, 2025
- Accounts · 166 to 185Jul 19, 2023 to Mar 13, 2024
- HNW clients · 33 to 36Jul 19, 2023 to Mar 13, 2024
- Individual clients · 4 to 3Jul 19, 2023 to Mar 13, 2024
- Pension plan clients · 3.0 to unsetJul 19, 2023 to Mar 13, 2024
- Discretionary RAUM · $313M to $356MJul 19, 2023 to Mar 13, 2024
- HNW RAUM · $284M to $330MJul 19, 2023 to Mar 13, 2024
- Individual RAUM · $5.6M to $4.4MJul 19, 2023 to Mar 13, 2024
- Pension RAUM · 0.0 to unsetJul 19, 2023 to Mar 13, 2024
- RAUM · $313M to $356MJul 19, 2023 to Mar 13, 2024
- Accounts · 150 to 166Oct 6, 2022 to Mar 21, 2023
- HNW clients · 26 to 33Oct 6, 2022 to Mar 21, 2023
- Individual clients · 5 to 4Oct 6, 2022 to Mar 21, 2023
- Pension plan clients · 5 to 3Oct 6, 2022 to Mar 21, 2023
- Other offices · 1 to 2Oct 6, 2022 to Mar 21, 2023
- Discretionary RAUM · $307M to $313MOct 6, 2022 to Mar 21, 2023
- HNW RAUM · $273M to $284MOct 6, 2022 to Mar 21, 2023
- Individual RAUM · $5.5M to $5.6MOct 6, 2022 to Mar 21, 2023
- RAUM · $307M to $313MOct 6, 2022 to Mar 21, 2023
- Accounts · 162 to 150Mar 4, 2021 to Mar 8, 2022
- HNW clients · 29 to 26Mar 4, 2021 to Mar 8, 2022
- Other offices · 2 to 1Mar 4, 2021 to Mar 8, 2022
Signals
1 dated events
- A• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 12, 2014 · 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
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-907-9220reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 310-907-8656reportedpublic record, Form ADV, Mar 5, 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
- $220Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026