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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Former SEC-registered adviser
A•••• C•••• I••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Feb 21, 2012 · 173 filings
SEC status approved since Nov 15, 2012
RAUM
$3.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
22 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
173 filings and snapshots on the tape
RAUM$3.8B as of Mar 23, 2026
Feb 29, 2012$500,000 then
HNW client RAUM$3.5B as of Mar 23, 2026
Mar 28, 2018$702M then
State-registered IARs (5.B.3)22 as of Mar 23, 2026
Feb 29, 20120 then
Employees (5.A)29 as of Mar 23, 2026
Jan 17, 20135 then
Private funds: no history
RAUM +25% over the last fiscal year+25% a year over threeIARs 24 to 22offices 6 to 5
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $736,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.5B, 1,016 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$3.5B93%
- Individuals$264M7.0%
- Individual clients
- 749reported
- HNW clients
- 1,309reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5,128reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 1,016 clientsreported
- 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
20 left, 0 joined in 12 months
net -20 in 12 months0 left in 90 days0 joined in 90 days26 left over 36 months
Left, latest
- M••••• A•••••• J••••••••• to C•••••••Apr 30, 2026 · Other
- T••• R•••••• W•••• to L••••• M••••••••• C• I••Apr 30, 2026 · Other
- G•••••• A• K•••••••• to C•••••••Apr 30, 2026 · Other
- S••••• P•••••• F••• to C•••••••Apr 30, 2026 · Other
- D••• L•• L••••••• to C•••••••Apr 30, 2026 · Other
- H••• P•••• E•••• to C•••••••Apr 30, 2026 · Other
- S•••• Y• C•••• to C•••••••Apr 30, 2026 · Other
- J•••• R•••••• O••• to C•••••••Apr 30, 2026 · Other
- J••••• M••••• R•••• to C•••••••Apr 30, 2026 · Other
- S•••• D• L• W••••• to C•••••••Apr 30, 2026 · Other
- G•••••• C•••••• T••••••••• to C•••••••Apr 30, 2026 · Other
- J••• R•••••• W•••• to C•••••••Apr 30, 2026 · Other
- M••••• E•••••••• E•••• to C•••••••Apr 30, 2026 · Other
- N••••••• J••••• T••••••• to C•••••••Apr 30, 2026 · Other
- J•••• W•••••• B•••••••• to C•••••••Apr 30, 2026 · Other
Joined, latest
- G••••••• S•••• J•••••• from S••••• I••••••••• A•••••••• L••Apr 25, 2025 · RIA to RIA
- J••••• M••••• R•••• from S••••••• W••••• M••••••••• L••Jan 6, 2025 · RIA to RIA
- B•••• W••••• K••••• from A••••• W••••• M••••••••• L••Jun 11, 2024 · RIA to RIA
- A••••• L•••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 8, 2024 · WIREH•••• TO RIA
- G••••••• T••••• W••••• from F••••••• P••••••• A•• W•••••••• A•••••••Aug 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• M•••••• B••••••••• from A•••• • A••••••• G••••• P•••••••Nov 3, 2022 · RIA to RIA
- J•••• W•••••• B•••••••• from W•••• F•••• A•••••••Apr 27, 2022 · WIREH•••• TO RIA
- D••• L•• L••••••• from E••••••••• F•••••••• G••••Apr 6, 2022 · RIA to RIA
- S•••• Y• C•••• from O•••• W•••••• I•••Mar 23, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••• D• L• W••••• from W••••• A•••• M••••••••• L••Dec 14, 2020 · Other
- T•••• N••••• L•• from R••••••••• W••••••• G••••Dec 26, 2019 · Other
- E•••• G• M••••• from M•• I•••••••• S•••••••• L••Nov 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• M•••••• from W•••• F•••• A•••••••Jun 3, 2019 · WIREH•••• TO RIA
- P•••••• J••• C••••• from L•••••• C•••••• C•••••••••Mar 8, 2019 · RIA to RIA
- C••• B•••• B••• from M••••• S••••••Jan 15, 2019 · WIREH•••• TO RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••• I••••••••• A••••••• L••May 25, 2016 · Kentwood, Mi
- 2 joined from P•••••••• I•••••••• O• A••••••Oct 1, 2015 · San Francisco, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• C•••• I••••••••• H••••••• • F••• I• L•no longer reported | Hedge Fund | $5.0M | 5 | Oct 15, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C••••••••• M•••• · Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- W••••• T•••• R•••••• · Managing Membercontrolsince 06/2012 · owns 75% or more
- S•••••••• D••••• A••••• · Silent Ownersince 03/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Agoura Hills, Ca | 0 | 0 | 1 | ||
| Costa Mesa, Ca · principal | 0 | 0 | 16 | ||
| Irvine, Ca | 0 | 0 | 1 | ||
| Livermore, Ca | 0 | 0 | 0 | ||
| Mountain View, Ca | 0 | 0 | 1 | ||
| Scottsdale, Az | 0 | 0 | 1 | ||
| Thousand Oaks, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ2 employees
- Las Vegas, NV
- Mountain View, CA
- Denver, CO
- Seattle, WA
- The Woodlands, TX
- Salt Lake City, UT
What changed
consecutive filings, newest first
- Accounts · 4,786 to 5,128Feb 12, 2026 to Mar 23, 2026
- Advisory employees · 24 to 22Feb 12, 2026 to Mar 23, 2026
- HNW clients · 1,137 to 1,309Feb 12, 2026 to Mar 23, 2026
- Individual clients · 791 to 749Feb 12, 2026 to Mar 23, 2026
- Assets in custody · $1.0B to $1.5BFeb 12, 2026 to Mar 23, 2026
- Employees · 34 to 29Feb 12, 2026 to Mar 23, 2026
- Financial planning clients · 1-10 to 101-250Feb 12, 2026 to Mar 23, 2026
- State-registered IARs · 24 to 22Feb 12, 2026 to Mar 23, 2026
- Discretionary RAUM · $3.0B to $3.8BFeb 12, 2026 to Mar 23, 2026
- HNW RAUM · $2.8B to $3.5BFeb 12, 2026 to Mar 23, 2026
- Individual RAUM · $270M to $264MFeb 12, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $34.6M to $13.4MFeb 12, 2026 to Mar 23, 2026
- RAUM · $3.0B to $3.8BFeb 12, 2026 to Mar 23, 2026
- Related adviser · false to trueMay 20, 2025 to Feb 12, 2026
- Related broker-dealer · false to trueMay 20, 2025 to Feb 12, 2026
- Financial planning clients · 1-10 to 1-10Apr 1, 2025 to May 20, 2025
- Other offices · 6 to 5Apr 1, 2025 to May 20, 2025
- Accounts · 4,537 to 4,786Nov 15, 2024 to Apr 1, 2025
- Advisory employees · 25 to 24Nov 15, 2024 to Apr 1, 2025
- Advisory activities · 4 to 3Nov 15, 2024 to Apr 1, 2025
- HNW clients · 969 to 1,137Nov 15, 2024 to Apr 1, 2025
- Individual clients · 854 to 791Nov 15, 2024 to Apr 1, 2025
- Assets in custody · $860M to $1.0BNov 15, 2024 to Apr 1, 2025
- Employees · 35 to 34Nov 15, 2024 to Apr 1, 2025
- Insurance-licensed employees · 1 to 0Nov 15, 2024 to Apr 1, 2025
- HQ city · IRVINE to COSTA MESANov 15, 2024 to Apr 1, 2025
- State-registered IARs · 25 to 24Nov 15, 2024 to Apr 1, 2025
- Other offices · 7 to 6Nov 15, 2024 to Apr 1, 2025
- Discretionary RAUM · $2.5B to $3.0BNov 15, 2024 to Apr 1, 2025
- HNW RAUM · $2.2B to $2.8BNov 15, 2024 to Apr 1, 2025
- Individual RAUM · $295M to $270MNov 15, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $25.0M to $34.6MNov 15, 2024 to Apr 1, 2025
- RAUM · $2.5B to $3.0BNov 15, 2024 to Apr 1, 2025
- Accounts · 4,082 to 4,537Dec 20, 2023 to Jan 18, 2024
- Advisory employees · 22 to 25Dec 20, 2023 to Jan 18, 2024
- HNW clients · 878 to 969Dec 20, 2023 to Jan 18, 2024
- Individual clients · 802 to 854Dec 20, 2023 to Jan 18, 2024
- Assets in custody · $757M to $860MDec 20, 2023 to Jan 18, 2024
- State-registered IARs · 23 to 25Dec 20, 2023 to Jan 18, 2024
- Discretionary RAUM · $1.9B to $2.5BDec 20, 2023 to Jan 18, 2024
Signals
35 dated events
- A•••• C•••• I••••••••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $3.8B)May 1, 2026 · Left the SEC roster · derived
- J••• R•••••• W•••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-16)Apr 30, 2026 · Advisor changed firm · fact
- C••••• D••• K••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-23)Apr 30, 2026 · Advisor changed firm · fact
- A•••• C•••• I••••••••• L••'s advisors moved to C••••••• (Costa Mesa, CA): 17 of 19 registered, on the same dayApr 30, 2026 · Firm absorbed (people side) · derived
- M••••• E•••••••• E•••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-19)Apr 30, 2026 · Advisor changed firm · fact
- M••••• A•••••• J••••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-17)Apr 30, 2026 · Advisor changed firm · fact
- N••••••• J••••• T••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-17)Apr 30, 2026 · Advisor changed firm · fact
- D••• L•• L••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-03-12)Apr 30, 2026 · Advisor changed firm · fact
- H••• P•••• E•••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-17)Apr 30, 2026 · Advisor changed firm · fact
- G•••••• A• K•••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-16)Apr 30, 2026 · Advisor changed firm · fact
- B•••• W••••• K••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-24)Apr 30, 2026 · Advisor changed firm · fact
- C••••••••• M•••••• B••••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-13)Apr 30, 2026 · Advisor changed firm · fact
- J•••• R•••••• O••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-17)Apr 30, 2026 · Advisor changed firm · fact
- J••••• M••••• R•••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-14)Apr 30, 2026 · Advisor changed firm · fact
- S•••• D• L• W••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-17)Apr 30, 2026 · Advisor changed firm · fact
- G•••••• C•••••• T••••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-17)Apr 30, 2026 · Advisor changed firm · fact
- J•••• W•••••• B•••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-16)Apr 30, 2026 · Advisor changed firm · fact
- S•••• Y• C•••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-16)Apr 30, 2026 · Advisor changed firm · fact
- S••••• P•••••• F••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-18)Apr 30, 2026 · Advisor changed firm · fact
- M••• J••••• L•••••••• left A•••• C•••• I••••••••• L•• for C••••••• (registered 2026-02-19)Apr 30, 2026 · Advisor changed firm · fact
- T••• R•••••• W•••• left A•••• C•••• I••••••••• L•• for L••••• M••••••••• C• I•• (registered 2012-11-15)Apr 30, 2026 · Advisor changed firm · fact
- G••••••• T••••• W••••• left A•••• C•••• I••••••••• L•• for Mariner (registered 2025-10-07)Sep 26, 2025 · Advisor changed firm · fact
- M•••••• F•••••• M••••••••• left A•••• C•••• I••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-07-02)Jul 2, 2025 · Advisor changed firm · fact
- G••••••• S•••• J•••••• left A•••• C•••• I••••••••• L•• for U•• A••••••• (registered 2025-11-17)Jul 2, 2025 · Advisor changed firm · fact
- A••••• L•••• H•••••• left A•••• C•••• I••••••••• L•• for W•••• F•••• A••••••• (registered 2024-10-08)Jul 26, 2024 · Advisor changed firm · fact
- K•••••• J••• P••••••• left A•••• C•••• I••••••••• L•• for F•••••••• A••••••• G•••• L••••• (registered 2017-03-16)Mar 1, 2024 · Advisor changed firm · fact
- A•••• C•••• I••••••••• L•• reported RAUM $2.5B, up 27% from $2.0B (2023-12-20 to 2024-01-18)Jan 18, 2024 · RAUM change · derived
- T••••• L••••••• S••••••• left A•••• C•••• I••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-05-02)Jan 16, 2024 · Advisor changed firm · fact
- J•••••• J••••• left A•••• C•••• I••••••••• L•• for J•••••• J••••• M••••••••• (registered 2024-01-22)Dec 7, 2023 · Advisor changed firm · fact
- T•••• N••••• L•• left A•••• C•••• I••••••••• L•• for U••• C•••••• W••••• A•••••••• L•• (registered 2022-12-16)Dec 22, 2022 · Advisor changed firm · 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