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
S•••••••• I••••••••• A•••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Apr 18, 2012 · 36 filings
SEC status approved since May 2, 2012
RAUM
$6.8B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
98%
$6.6B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$520M
derived; firm RAUM over IAPD count
Employees
21
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$6.8B as of Aug 17, 2026
Mar 27, 2013$224M then
HNW client RAUM$2.7B as of Aug 17, 2026
Jan 16, 2018$1.4B then
State-registered IARs (5.B.3)7 as of Aug 17, 2026
Mar 27, 20138 then
Employees (5.A)21 as of Aug 17, 2026
Mar 27, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 12 to 7
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
- RAUM per advisor
- $520MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 573derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $896,888derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 6.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -42%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $3.2B, 5,338 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.9B58%
- High-net-worth individuals$2.7B40%
- Corporations and businesses$93.6M1.4%
- Pension and profit-sharing plans$37.8M0.6%
- Charitable organizations$14.6M0.2%
- Individual clients
- 5,707reported
- HNW clients
- 1,747reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 7,533reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2B for 5,338 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••• M••••••• B••••• | Los Angeles, Ca | Jan 13, 2021 | 10 y | 2 |
| A••••• L•• | Los Angeles, Ca | Mar 30, 2021 | 16 y | 1 |
| J•• Y• | Los Angeles, Ca | May 12, 2021 | 29 y | 4 |
| D•••• A•••••••• L••••• | Los Angeles, Ca | Jun 22, 2023 | 13 y | 2 |
| A•••••••• H••••• M•••• | Los Angeles, Ca | Dec 18, 2024 | 11 y | 3 |
| M•••••• Y• K•• | Los Angeles, Ca | Jan 1, 2025 | 25 y | 1 |
| J•••• R•••••• L••• | Los Angeles, Ca | Aug 25, 2025 | 10 y | 1 |
| D••••• C••••••• | Los Angeles, Ca | Nov 26, 2025 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- D•••• T• M•••• to S•••••••• I••••••••• P••••••••• L••Apr 17, 2024 · Other
- R•••• K•••••••• W•••••• to C•• A•••••••• L••Feb 10, 2023 · RIA to RIA
- M••• E• Y•••• to C••••••• • C••• I•••Jul 17, 2019 · RIA to affiliated broker-dealer or bank
- M•••••• L••••••• to E•••• S••••••••• L••Jul 17, 2019 · RIA to affiliated broker-dealer or bank
- R••••• L•• P••••• to S•••••••• I••••••••• P••••••••• L••Feb 23, 2018 · Other
- H••••• A• B•••• to S•••Feb 6, 2017 · Other
- R•••••• C••••••• J••••••• N••• to A••••••••• L••Jun 1, 2015 · Other
- M•••••• A•••• W••• to S••••• F•••••••• A•••••••• I•••Jun 1, 2015 · Other
- C••••••• R••• C••••• to A••••••••• L••Nov 17, 2014 · Other
Joined, latest
- B•••• D•••• H••••• from S•••••••• I••••••••• P••••••••• L••Jan 2, 2026 · RIA to RIA
- J•••• R•••••• L••• from S•••••••• A•••••••• L••Aug 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• Y• K•• from C•••••• S••••• • C••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• H••••• M•••• from F••••••• P••••••• A•• W•••••••• A•••••••Dec 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- D•••• A•••••••• L••••• from O•••• W•••••• I•••Jun 22, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•• Y• from S•••May 12, 2021 · RIA to RIA
- A••••• L•• from S•••Mar 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- B••••• M••••••• B••••• from O•••• W•••••• I•••Jan 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- R•••• K•••••••• W•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 26, 2020 · Wirehouse to independent RIA
- M••• E• Y•••• from O•••• W•••••• I•••Jun 7, 2019 · Affiliated broker-dealer or bank to independent RIA
- H••••• A• B•••• from F•• G••••Jul 16, 2015 · Other
- C••••••• R••• C••••• from S•••Mar 4, 2013 · Other
- R•••••• C••••••• J••••••• N••• from S•••May 11, 2012 · Other
- D•••• T• M•••• from S•••May 11, 2012 · Other
- M•••••• A•••• W••• from S•••May 11, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• A•••• · Chief Financial Officercontrolsince 03/2023 · owns less than 5%
- H•••••• B••••• D•••• · President/Managing Membercontrolsince 11/2011 · owns 10% to 25%
- K••• A••• · Deputy Compliance Officercontrolsince 01/2026 · owns less than 5%
- L••• A••••• · Chief Financial Officercontrolsince 12/2014 · owns 5% to 10%
- M••••••••• C••••••••• · Chief Operating Officercontrolsince 07/2019 · owns less than 5%
- M••••••••• S••••••• V• · Chief Financial Officercontrolsince 06/2025 · owns less than 5%
- M••••••••• M••••••• J•••• · Presidentcontrolsince 04/2025 · owns less than 5%
- R••••• E•••• Z•••••• · Chief Operating Officercontrolsince 12/2025 · owns less than 5%
- B••••••••• M•••••• R•••• · Managing Membercontrolsince 06/2021 · owns F of R•••••••• C•••••• P••••••• O••••••••• F••• V• •• F••• I••• G•• L••
Entity owners
- S••• · Ownerdirect · owns 75% or more
- S••• H•••••••• L•• · Shareholderdirect · owns 75% or more
- S•••••••• F•••••••• S••••••• G•••• · Shareholderdirect · owns 75% or more
- R•••••••• C•••••• P••••••• O••••••••• F••• V• •• F••• I••• G•• L••• · General Partnerindirect · owns F of R•••••••• C•••••• P••••••• O••••••••• F••• V• •• F••• I•••• L•••
- R•••••••• C•••••• P••••••• O••••••••• F••• V• •• F••• I••• G•• L•• · General Partnerindirect · owns F of R•••••••• C•••••• P••••••• O••••••••• F••• V• •• F••• I••• G•• L•••
- R•••••••• C•••••• P••••••• O••••••••• F••• V• •• F••• I•••• L••• · Limited Partnerindirect · owns 25% to 50% of S••• H•••••••• L••
- S••• H•••••••• L•• · Shareholderindirect · owns 50% to 75% of S•••••••• F•••••••• S••••••• G••••
Related persons
Schedule D 7.A
- S•••••••• C••••••••• I•••••••• S•••••••• L••real estaten
- S•••••••• E••••• • I•••••••• S•••••••• L••real estaten
- S•••investment adviseryRAUM $23B
- S•••••••• E••••• S••••••••• L••broker-dealery
- S•••••••• I••••••••• P••••••••• L••investment advisernRAUM $10.5M
Advisers that list S•••••••• I••••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 13 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA2 employees
ADV anomalies
10 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 17, 2026L••• A••••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026H••••••••• A•••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026M••••••••• C••••••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026M••••••••• M••••••• J•••• (PRESIDENT) appeared on Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026M••••••••• S••••••• V• (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026K••• A••• (DEPUTY COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026H•••••• B••••• D•••• (PRESIDENT/MANAGING MEMBER) left Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 17, 2026B••••••••• M•••••• R•••• (MANAGING MEMBER) left Schedule A between the filings of 2024-06-14 and 2026-08-17peers: independent wealth managers, $5B to $20B (289)
- advisor count dropChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 12.0 to 7.0 (-42.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $5B to $20B (220) · 4.1% percentile
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 14,455.0 to 7,533.0 (-48.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +8.0% (253 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $5B to $20B (253) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 14,455 to 7,533Jun 23, 2025 to Mar 31, 2026
- BD registered reps · 13 to 10Jun 23, 2025 to Mar 31, 2026
- Corporate clients · 43 to 52Jun 23, 2025 to Mar 31, 2026
- HNW clients · 1,813 to 1,747Jun 23, 2025 to Mar 31, 2026
- Individual clients · 5,233 to 5,707Jun 23, 2025 to Mar 31, 2026
- Pension plan clients · 18 to 24Jun 23, 2025 to Mar 31, 2026
- Assets in custody · $2.5B to $3.2BJun 23, 2025 to Mar 31, 2026
- Employees · 15 to 21Jun 23, 2025 to Mar 31, 2026
- State-registered IARs · 12 to 7Jun 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.9B to $6.0BJun 23, 2025 to Mar 31, 2026
- HNW RAUM · $2.4B to $2.7BJun 23, 2025 to Mar 31, 2026
- Individual RAUM · $3.2B to $3.9BJun 23, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $826M to $707MJun 23, 2025 to Mar 31, 2026
- Pension RAUM · $33.5M to $37.8MJun 23, 2025 to Mar 31, 2026
- RAUM · $5.7B to $6.8BJun 23, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 23, 2025
- Accounts · 13,514 to 14,455Jun 14, 2024 to Mar 27, 2025
- Advisory employees · 10 to 8Jun 14, 2024 to Mar 27, 2025
- Corporate clients · 42 to 43Jun 14, 2024 to Mar 27, 2025
- HNW clients · 1,912 to 1,813Jun 14, 2024 to Mar 27, 2025
- Individual clients · 4,700 to 5,233Jun 14, 2024 to Mar 27, 2025
- Assets in custody · $2.1B to $2.5BJun 14, 2024 to Mar 27, 2025
- Employees · 13 to 15Jun 14, 2024 to Mar 27, 2025
- State-registered IARs · 13 to 12Jun 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $4.2B to $4.9BJun 14, 2024 to Mar 27, 2025
- HNW RAUM · $2.4B to $2.4BJun 14, 2024 to Mar 27, 2025
- Individual RAUM · $2.5B to $3.2BJun 14, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $769M to $826MJun 14, 2024 to Mar 27, 2025
- Pension RAUM · $32.4M to $33.5MJun 14, 2024 to Mar 27, 2025
- RAUM · $4.9B to $5.7BJun 14, 2024 to Mar 27, 2025
- Accounts · 12,471 to 13,514Jan 5, 2024 to Mar 26, 2024
- BD registered reps · 14 to 13Jan 5, 2024 to Mar 26, 2024
- HNW clients · 1,983 to 1,912Jan 5, 2024 to Mar 26, 2024
- Individual clients · 4,078 to 4,700Jan 5, 2024 to Mar 26, 2024
- Pension plan clients · 23 to 18Jan 5, 2024 to Mar 26, 2024
- Assets in custody · $1.5B to $2.1BJan 5, 2024 to Mar 26, 2024
- Employees · 14 to 13Jan 5, 2024 to Mar 26, 2024
- Discretionary RAUM · $3.4B to $4.2BJan 5, 2024 to Mar 26, 2024
- HNW RAUM · $2.1B to $2.4BJan 5, 2024 to Mar 26, 2024
- Individual RAUM · $1.8B to $2.5BJan 5, 2024 to Mar 26, 2024
Signals
10 dated events
- Ahmed Hassanein (Chief Financial Officer) appeared on Schedule A of S•••••••• I••••••••• A•••••••• L••Jun 14, 2024 · Control person joined · fact
- Talmadge Deron Mccoy (Chief Investment Officer) no longer on Schedule A of S•••••••• I••••••••• A•••••••• L•• (listed 2024-03-26, absent 2024-06-14)Jun 14, 2024 · Control person left · inference
- L••••••• Joseph Fusaro (Director Of Operations) no longer on Schedule A of S•••••••• I••••••••• A•••••••• L•• (listed 2024-03-26, absent 2024-06-14)Jun 14, 2024 · Control person left · inference
- D•••• T• M•••• left S•••••••• I••••••••• A•••••••• L•• for S•••••••• I••••••••• P••••••••• L•• (registered 2015-10-23)Apr 17, 2024 · Advisor changed firm · fact
- R•••• K•••••••• W•••••• left S•••••••• I••••••••• A•••••••• L•• for C•• A•••••••• L•• (registered 2023-03-01)Feb 10, 2023 · Advisor changed firm · fact
- Ralph Milton Berlinski (Managing Member) appeared on Schedule A of S•••••••• I••••••••• A•••••••• L••Nov 8, 2022 · Control person joined · fact
- S•••••••• I••••••••• A•••••••• L•• reported RAUM $4.3B, up 26% from $3.4B (2021-03-29 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- S•••••••• I••••••••• A•••••••• L•• reported RAUM $3.0B, up 36% from $2.2B (2019-03-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Christopher Maryanopolis (Chief Operating Officer) appeared on Schedule A of S•••••••• I••••••••• A•••••••• L••Mar 30, 2020 · Control person joined · fact
- S•••••••• I••••••••• A•••••••• L•• reported RAUM $2.0B, up 31% from $1.5B (2017-03-24 to 2018-01-16)Jan 16, 2018 · RAUM change · derived
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
- 310-712-2323reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-855-3955reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-723-5115reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-349-3241reportedpublic record, Form ADV, Aug 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
- $520Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026