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
V••••• C•••••• W•••••
Legal name V••••• C•••••• W•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 9, 2011 · 33 filings
SEC status approved since Nov 5, 2010
RAUM
$280M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$277M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$70.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$280M as of Mar 30, 2026
Mar 30, 2012$106M then
HNW client RAUM$272M as of Mar 30, 2026
Mar 23, 2018$145M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Jan 31, 20133 then
Employees (5.A)4 as of Mar 30, 2026
Jan 31, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $70.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $506,449derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $57.8M, 32 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$272M97%
- Individuals$5.5M2.0%
- Pension and profit-sharing plans$2.8M1.0%
- Individual clients
- 25reported
- HNW clients
- 162reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 553reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.8M for 32 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• A•••••• M••• M• C••••• | Los Angeles, Ca | Nov 5, 2010 | 26 y | 4 |
| L•••• C•••• F•••••••• | Los Angeles, Ca | Nov 5, 2010 | 29 y | 2 |
| R••••• H•••• J•••• | Santa Monica, Ca | Sep 12, 2014 | 21 y | 4 |
| M••• C•••••••• K••••• | Santa Monica, Ca | Jul 28, 2016 | 26 y | 5 |
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••••• J••••• C••••••••• to W•• S••••••••• L••May 30, 2018 · RIA to a state-registered adviser
- R•••••• H••••• V•• H•••• to W•• S••••••••• L••Mar 4, 2014 · Other
Joined, latest
- M••• C•••••••• K••••• from B•••••• H•••• W••••• M••••••••• L••Jul 28, 2016 · Other
- R••••• H•••• J•••• from B•••••• H•••• W••••• M••••••••• L••Sep 12, 2014 · Other
- D•••••• A•••••• M••• M• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 5, 2010 · Other
- T••••• J••••• C••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 5, 2010 · Other
- R•••••• H••••• V•• H•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 5, 2010 · Other
- L•••• C•••• F•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• L••••• C•••• · Managing Member & Chief Compliance Officercontrolsince 11/2010 · owns 25% to 50%
- M• C•••••• D••••••• A•••••• M••• · Managing Membercontrolsince 11/2010 · owns 25% to 50%
Related persons
Schedule D 7.A
- D•••••• M•••••••pooled vehicle sponsory
- L•••• F••••••••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca | 2 | 0 | 0 | ||
| Santa Monica, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 561 to 553Mar 18, 2025 to Mar 30, 2026
- Individual clients · 27 to 25Mar 18, 2025 to Mar 30, 2026
- Assets in custody · $23.0M to $57.8MMar 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $249M to $277MMar 18, 2025 to Mar 30, 2026
- HNW RAUM · $243M to $272MMar 18, 2025 to Mar 30, 2026
- Individual RAUM · $5.9M to $5.5MMar 18, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.1M to $2.8MMar 18, 2025 to Mar 30, 2026
- Pension RAUM · $2.1M to $2.8MMar 18, 2025 to Mar 30, 2026
- RAUM · $251M to $280MMar 18, 2025 to Mar 30, 2026
- Accounts · 530 to 561Mar 19, 2024 to Mar 18, 2025
- HNW clients · 116 to 162Mar 19, 2024 to Mar 18, 2025
- Individual clients · 58 to 27Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $215M to $249MMar 19, 2024 to Mar 18, 2025
- HNW RAUM · $200M to $243MMar 19, 2024 to Mar 18, 2025
- Individual RAUM · $15.7M to $5.9MMar 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $1.6M to $2.1MMar 19, 2024 to Mar 18, 2025
- Pension RAUM · $1.6M to $2.1MMar 19, 2024 to Mar 18, 2025
- RAUM · $217M to $251MMar 19, 2024 to Mar 18, 2025
- Wrap assets (manager) · 0.0 to unsetMar 19, 2024 to Mar 18, 2025
- Wrap assets (sponsor) · 6043268.0 to unsetMar 19, 2024 to Mar 18, 2025
- Accounts · 522 to 530Mar 28, 2023 to Mar 19, 2024
- HNW clients · 107 to 116Mar 28, 2023 to Mar 19, 2024
- Individual clients · 82 to 58Mar 28, 2023 to Mar 19, 2024
- Pension plan clients · 2 to 1Mar 28, 2023 to Mar 19, 2024
- Discretionary RAUM · $197M to $215MMar 28, 2023 to Mar 19, 2024
- HNW RAUM · $175M to $200MMar 28, 2023 to Mar 19, 2024
- Individual RAUM · $22.1M to $15.7MMar 28, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $1.2M to $1.6MMar 28, 2023 to Mar 19, 2024
- Pension RAUM · $1.2M to $1.6MMar 28, 2023 to Mar 19, 2024
- RAUM · $198M to $217MMar 28, 2023 to Mar 19, 2024
- Wrap assets (sponsor) · $4.8M to $6.0MMar 28, 2023 to Mar 19, 2024
- Assets in custody · unset to 23000000.0Mar 24, 2023 to Mar 28, 2023
- Custody of client assets · false to trueMar 24, 2023 to Mar 28, 2023
- Accounts · 530 to 522Oct 6, 2022 to Mar 24, 2023
- HNW clients · 95 to 107Oct 6, 2022 to Mar 24, 2023
- Individual clients · 86 to 82Oct 6, 2022 to Mar 24, 2023
- Pension plan clients · 3 to 2Oct 6, 2022 to Mar 24, 2023
- Assets in custody · 19000000.0 to unsetOct 6, 2022 to Mar 24, 2023
- Custody of client assets · true to falseOct 6, 2022 to Mar 24, 2023
Signals
No event on the tape.
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-622-1280reportedpublic record, Form ADV, Mar 30, 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
- $70.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026