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
A••••• C•••••• P•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jun 29, 2021 · 12 filings
SEC status approved since Jul 30, 2021
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$212M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.2M
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
12 filings and snapshots on the tape
RAUM$214M as of Mar 11, 2026
Jan 21, 2022$142M then
HNW client RAUM$173M as of Mar 11, 2026
Jan 21, 2022$116M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Jan 21, 20223 then
Employees (5.A)3 as of Mar 11, 2026
Jan 21, 20223 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 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
- $71.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $475,637derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%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
- +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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $4.7M, 12 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$173M81%
- Individuals$39.5M18%
- Pension and profit-sharing plans$1.4M0.6%
- Corporations and businesses$7,6360.0%
- Individual clients
- 131reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 449reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.7M for 12 clientsreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• G•••••• R•••• | Los Angeles, Ca | Jul 27, 2012 | 22 y | 4 |
| S•••••• T••••• M•••••••• | Santa Barbara, Ca | Mar 17, 2020 | 11 y | 1 |
| A••• B••••••• S•••• | Los Angeles, Ca | Nov 24, 2025 | 21 y | 5 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••• B••••••• S•••• from G•••• D••••••• P••••••• I••Nov 24, 2025 · Other
- S•••••• T••••• M•••••••• from D••• D••••••• • C••Mar 17, 2020 · RIA to RIA
- J••••• G•••••• R•••• from M••••• S••••••Jul 27, 2012 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• J•••••• G•••••• · Managing Membercontrolsince 07/2012 · owns 50% to 75%
- S••••• A•••• B••••••• · Managing Member / Chief Compliance Officercontrolsince 06/2012 · owns 50% to 75%
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
- Santa Barbara, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 423 to 449Aug 28, 2025 to Mar 11, 2026
- HNW clients · 45 to 48Aug 28, 2025 to Mar 11, 2026
- Individual clients · 132 to 131Aug 28, 2025 to Mar 11, 2026
- Assets in custody · $4.4M to $4.7MAug 28, 2025 to Mar 11, 2026
- Discretionary RAUM · $190M to $214MAug 28, 2025 to Mar 11, 2026
- HNW RAUM · $159M to $173MAug 28, 2025 to Mar 11, 2026
- Individual RAUM · $30.6M to $39.5MAug 28, 2025 to Mar 11, 2026
- Pension RAUM · $1.2M to $1.4MAug 28, 2025 to Mar 11, 2026
- RAUM · $190M to $214MAug 28, 2025 to Mar 11, 2026
- Accounts · 422 to 423Mar 7, 2024 to Mar 27, 2025
- Individual clients · 134 to 132Mar 7, 2024 to Mar 27, 2025
- Assets in custody · $8.2M to $4.4MMar 7, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 7, 2024 to Mar 27, 2025
- Discretionary RAUM · $164M to $190MMar 7, 2024 to Mar 27, 2025
- HNW RAUM · $137M to $159MMar 7, 2024 to Mar 27, 2025
- Individual RAUM · $24.8M to $30.6MMar 7, 2024 to Mar 27, 2025
- Pension RAUM · $1.1M to $1.2MMar 7, 2024 to Mar 27, 2025
- RAUM · $164M to $190MMar 7, 2024 to Mar 27, 2025
- Accounts · 418 to 422Jun 15, 2023 to Mar 7, 2024
- Advisory activities · 2 to 3Jun 15, 2023 to Mar 7, 2024
- HNW clients · 35 to 45Jun 15, 2023 to Mar 7, 2024
- Individual clients · 144 to 134Jun 15, 2023 to Mar 7, 2024
- Assets in custody · $7.4M to $8.2MJun 15, 2023 to Mar 7, 2024
- Discretionary RAUM · $149M to $164MJun 15, 2023 to Mar 7, 2024
- HNW RAUM · $102M to $137MJun 15, 2023 to Mar 7, 2024
- Individual RAUM · $46.1M to $24.8MJun 15, 2023 to Mar 7, 2024
- Pension RAUM · unset to 1076641.0Jun 15, 2023 to Mar 7, 2024
- RAUM · $149M to $164MJun 15, 2023 to Mar 7, 2024
- Accounts · 376 to 418Jul 26, 2022 to Mar 7, 2023
- Corporate clients · 5.0 to unsetJul 26, 2022 to Mar 7, 2023
- HNW clients · 39 to 35Jul 26, 2022 to Mar 7, 2023
- Assets in custody · $14.6M to $7.4MJul 26, 2022 to Mar 7, 2023
- Discretionary RAUM · $142M to $149MJul 26, 2022 to Mar 7, 2023
- HNW RAUM · $116M to $102MJul 26, 2022 to Mar 7, 2023
- Individual RAUM · $24.2M to $46.1MJul 26, 2022 to Mar 7, 2023
- RAUM · $142M to $149MJul 26, 2022 to Mar 7, 2023
- Accounts · 429 to 376Jun 29, 2021 to Jan 21, 2022
- Advisory activities · 3 to 2Jun 29, 2021 to Jan 21, 2022
- Corporate clients · unset to 5.0Jun 29, 2021 to Jan 21, 2022
- HNW clients · 32 to 39Jun 29, 2021 to Jan 21, 2022
Signals
1 dated events
- A••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2021 · 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 phone
- 310-496-2822reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-750-9557reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-772-2201reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (310) 750-9557reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- ARGYLECAPITALPARTNERS.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ARGYLECAPITALPARTNERS.COM/about-us/team.phpreportedpublished by the firm, firm site, Sep 16, 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
- $71.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026