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
L••• S••••••••• I•••
Latest filing Aug 21, 2026
First filing on the tape Dec 13, 2024 · 8 filings
SEC status approved since Jan 10, 2025
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$121M as of Aug 21, 2026
Nov 21, 2025$120M then
HNW client RAUM$64.3M as of Aug 21, 2026
Nov 21, 2025$65.1M then
State-registered IARs (5.B.3)1 as of Aug 21, 2026
Nov 21, 20251 then
Employees (5.A)2 as of Aug 21, 2026
Nov 21, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $450,728derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.3M53%
- Individuals$57.0M47%
- Individual clients
- 88reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 269reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• S•••• A•••••••Certified Financial Planner | Cardiff, Ca | Apr 11, 2025 | 23 y | 1 |
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
- J•••• E•••• K••• to C••• B•••••••• S•••••••• I•••Aug 29, 2016 · Other
Joined, latest
- D•••••• S•••• A••••••• from O••••••• F•••••••• G••••• L••Apr 11, 2025 · Other
- J•••• E•••• K••• from P••••••••• S••••••••• C•••••••••Oct 8, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• D••••••• S•••• · Owner, President, Ccocontrolsince 04/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · LA JOLLA to CARDIFFFeb 20, 2026 to Aug 21, 2026
- Accounts · 294 to 269Nov 21, 2025 to Jan 12, 2026
- HNW clients · 28 to 27Nov 21, 2025 to Jan 12, 2026
- Individual clients · 87 to 88Nov 21, 2025 to Jan 12, 2026
- Financial planning clients · 26-50 to 101-250Nov 21, 2025 to Jan 12, 2026
- Discretionary RAUM · $120M to $121MNov 21, 2025 to Jan 12, 2026
- HNW RAUM · $65.1M to $64.3MNov 21, 2025 to Jan 12, 2026
- Individual RAUM · $55.3M to $57.0MNov 21, 2025 to Jan 12, 2026
- RAUM · $120M to $121MNov 21, 2025 to Jan 12, 2026
- Accounts · 90 to 294Dec 24, 2024 to Nov 21, 2025
- HNW clients · 0 to 28Dec 24, 2024 to Nov 21, 2025
- Individual clients · 85 to 87Dec 24, 2024 to Nov 21, 2025
- Financial planning clients · 26-50 to 26-50Dec 24, 2024 to Nov 21, 2025
- Discretionary RAUM · $112M to $120MDec 24, 2024 to Nov 21, 2025
- HNW RAUM · $22.0M to $65.1MDec 24, 2024 to Nov 21, 2025
- Individual RAUM · $90.0M to $55.3MDec 24, 2024 to Nov 21, 2025
- RAUM · $112M to $120MDec 24, 2024 to Nov 21, 2025
- Related adviser · true to falseDec 24, 2024 to Nov 21, 2025
Signals
1 dated events
- L••• S••••••••• I••• filed its initial SEC registration (Form ADV)Dec 13, 2024 · 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
- Principal office phone
- 916-541-3846reportedpublic record, Form ADV, Aug 21, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026