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•••••• M••••••••• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 165211SEC 801-77714websiteIAPD
Latest filing Mar 17, 2026
First filing on the tape Feb 28, 2013 · 29 filings
SEC status approved since Mar 15, 2013
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.2B as of Mar 17, 2026
Apr 1, 2014$1.3M then
HNW client RAUM$613,219 as of Mar 18, 2020
Mar 29, 2019$827,148 then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Apr 1, 20145 then
Employees (5.A)10 as of Mar 17, 2026
Apr 1, 20149 then
Private funds: 1
RAUM +22% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
RAUM per advisor
$2.2BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$1.4B67%
  • Investment companies$708M33%
  • Corporations and businesses$13.8M0.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
884reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••• J••• M• · Chief Compliance Officercontrol
        since 02/2019 · owns less than 5%
      • Y••••• D••••• N•• · Manager, Chief Executive Officercontrol
        since 08/2009 · owns 50% to 75%
      • G••••• S•••••• G•••• · Trusteecontrol
        since 12/1999 · owns F of D•••• Y•••• A•• S••••• G• G•••• F••••• T••••
      • Y••••• D••••• N•• · Trusteecontrol
        since 12/1999 · owns F of D•••• Y•••• A•• S••••• G• G•••• F••••• T••••
      Entity owners
      • A•••••• G••••• L•• · Member
        direct · owns 50% to 75%
      • D•••• Y•••• A•• S••••• G• G•••• F••••• T•••• · Managing Member
        indirect · owns 75% or more of A•••••• G••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list A•••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 710 to 884
        Mar 20, 2025 to Mar 17, 2026
      • Discretionary RAUM · $1.8B to $2.2B
        Mar 20, 2025 to Mar 17, 2026
      • RAUM · $1.8B to $2.2B
        Mar 20, 2025 to Mar 17, 2026
      • Accounts · 763 to 710
        May 1, 2024 to Mar 20, 2025
      • Employees · 11 to 10
        May 1, 2024 to Mar 20, 2025
      • Financial planning clients · unset to
        May 1, 2024 to Mar 20, 2025
      • State-registered IARs · 5 to 1
        May 1, 2024 to Mar 20, 2025
      • Discretionary RAUM · $1.4B to $1.8B
        May 1, 2024 to Mar 20, 2025
      • RAUM · $1.4B to $1.8B
        May 1, 2024 to Mar 20, 2025
      • HQ city · NEWPORT BEACH to IRVINE
        Mar 18, 2024 to May 1, 2024
      • Accounts · 780 to 763
        Dec 7, 2023 to Mar 18, 2024
      • Discretionary RAUM · $1.4B to $1.4B
        Dec 7, 2023 to Mar 18, 2024
      • RAUM · $1.4B to $1.4B
        Dec 7, 2023 to Mar 18, 2024
      • Accounts · 824 to 780
        Sep 7, 2022 to Mar 8, 2023
      • Discretionary RAUM · $1.2B to $1.4B
        Sep 7, 2022 to Mar 8, 2023
      • Non-discretionary RAUM · $236M to $0
        Sep 7, 2022 to Mar 8, 2023
      • RAUM · $1.5B to $1.4B
        Sep 7, 2022 to Mar 8, 2023
      • Accounts · 716 to 824
        Jun 4, 2021 to Mar 23, 2022
      • Advisory activities · 5 to 4
        Jun 4, 2021 to Mar 23, 2022
      • Employees · 12 to 11
        Jun 4, 2021 to Mar 23, 2022
      • Insurance-licensed employees · 2 to 0
        Jun 4, 2021 to Mar 23, 2022
      • Discretionary RAUM · $1.2B to $1.2B
        Jun 4, 2021 to Mar 23, 2022
      • Non-discretionary RAUM · $241M to $236M
        Jun 4, 2021 to Mar 23, 2022
      • RAUM · $1.4B to $1.5B
        Jun 4, 2021 to Mar 23, 2022
      • Accounts · 3,265 to 716
        Jul 1, 2020 to Feb 24, 2021
      • Advisory activities · 6 to 5
        Jul 1, 2020 to Feb 24, 2021
      • Employees · 15 to 12
        Jul 1, 2020 to Feb 24, 2021
      • Discretionary RAUM · $1.1B to $1.2B
        Jul 1, 2020 to Feb 24, 2021
      • Non-discretionary RAUM · $182M to $241M
        Jul 1, 2020 to Feb 24, 2021
      • RAUM · $1.3B to $1.4B
        Jul 1, 2020 to Feb 24, 2021
      • Advisory activities · 5 to 6
        May 7, 2020 to Jul 1, 2020
      • State-registered IARs · 6 to 5
        May 7, 2020 to Jul 1, 2020
      • HNW RAUM · 613219.0 to unset
        Mar 18, 2020 to May 7, 2020
      • Accounts · 23 to 3,265
        Sep 3, 2019 to Mar 18, 2020
      • Discretionary RAUM · $861M to $1.1B
        Sep 3, 2019 to Mar 18, 2020
      • HNW RAUM · $827,148 to $613,219
        Sep 3, 2019 to Mar 18, 2020
      • Non-discretionary RAUM · $161M to $182M
        Sep 3, 2019 to Mar 18, 2020
      • RAUM · $1.0B to $1.3B
        Sep 3, 2019 to Mar 18, 2020
      • Accounts · 13 to 23
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 5 to 7
        Mar 30, 2018 to Mar 29, 2019
      Signals
      8 dated events
      • A•••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $2.2B)
        Sep 1, 2026 · Left the SEC roster · derived
      • A•••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 28% from $1.0B (2019-09-03 to 2020-03-18)
        Mar 18, 2020 · RAUM change · derived
      • Mitchell Kevin Starkey (Chief Operating Officer) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2019-09-03)
        Sep 3, 2019 · Control person left · inference
      • A•••••• C•••••• M••••••••• L•• reported RAUM $1.0B, up 89% from $540.0M (2018-03-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • M Jon Wieman (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Mitchell Kevin Starkey (Chief Operating Officer) appeared on Schedule A of A•••••• C•••••• M••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Nmn Jean Simpson (Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• M••••••••• L•• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • A•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 28, 2013 · 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.
      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