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.
SEC-registered adviser
Laguna Wealth Advisors, LLC
Latest filing Jul 16, 2026
First filing on the tape Nov 30, 2023 · 7 filings
SEC status approved since Jan 2, 2024
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$155M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$40.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$161M as of Jul 16, 2026
Mar 14, 2024$117M then
HNW client RAUM$106M as of Jul 16, 2026
Mar 14, 2024$60.6M then
State-registered IARs (5.B.3)4 as of Jul 16, 2026
Mar 14, 20242 then
Employees (5.A)4 as of Jul 16, 2026
Mar 14, 20242 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Jul 16, 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
- $40.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $235,385derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $37.9M, 73 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$106M66%
- Individuals$49.0M30%
- Pension and profit-sharing plans$4.3M2.7%
- Corporations and businesses$2.1M1.3%
- Individual clients
- 242reported
- HNW clients
- 46reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 685reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.9M for 73 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Robert LabriolaCertified Financial Planner | Dana Point, Ca | Aug 1, 2013 | 33 y | 2 |
| Isaiah Alexander Real | Irvine, Ca | Dec 4, 2017 | 11 y | 2 |
| Mario Donato Zita | Shalimar, Fl | Apr 29, 2019 | 38 y | 3 |
| Ryan Joseph Labriola | Fountain Valley, Ca | Oct 2, 2025 | 18 y | 0 |
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
- Andrew Thomas Becket to RBC Capital Markets, LLCApr 13, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Andrew Thomas Becket from Aspiriant, LLCAug 21, 2022 · RIA to RIA
- Mario Donato Zita from Daniel Wealth AdvisorsApr 29, 2019 · Other
- Isaiah Alexander Real from Miramontes Capital, LLCDec 4, 2017 · Other
- John Robert Labriola from Sagent Wealth ManagementAug 1, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert John Labriola · Managing Member & Chief Compliance Officercontrolsince 04/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Dana Point, Ca | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 5, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $129,139,596 to $161,238,425, advisors 3 to 4, private clients 221 to 288, offices 1 to 1 (2025-03-13 to 2026-03-05)peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 5, 2026private-client share of RAUM moved from 81.0% to 96.0% between the annual amendments of 2025-03-13 and 2026-03-05peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 5, 2026institutional share of RAUM moved from 19.0% to 4.0% between the annual amendments of 2025-03-13 and 2026-03-05peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 595 to 685Mar 13, 2025 to Mar 5, 2026
- Advisory employees · 3 to 4Mar 13, 2025 to Mar 5, 2026
- Corporate clients · 10 to 8Mar 13, 2025 to Mar 5, 2026
- HNW clients · 38 to 46Mar 13, 2025 to Mar 5, 2026
- Individual clients · 183 to 242Mar 13, 2025 to Mar 5, 2026
- Pension plan clients · 5 to 3Mar 13, 2025 to Mar 5, 2026
- Assets in custody · $35.1M to $37.9MMar 13, 2025 to Mar 5, 2026
- Employees · 3 to 4Mar 13, 2025 to Mar 5, 2026
- State-registered IARs · 3 to 4Mar 13, 2025 to Mar 5, 2026
- Discretionary RAUM · $116M to $161MMar 13, 2025 to Mar 5, 2026
- HNW RAUM · $68.3M to $106MMar 13, 2025 to Mar 5, 2026
- Individual RAUM · $35.7M to $49.0MMar 13, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $13.4M to $193,116Mar 13, 2025 to Mar 5, 2026
- Pension RAUM · $23.4M to $4.3MMar 13, 2025 to Mar 5, 2026
- RAUM · $129M to $161MMar 13, 2025 to Mar 5, 2026
- Accounts · 567 to 595Oct 21, 2024 to Mar 13, 2025
- Advisory employees · 2 to 3Oct 21, 2024 to Mar 13, 2025
- Corporate clients · 12 to 10Oct 21, 2024 to Mar 13, 2025
- Individual clients · 179 to 183Oct 21, 2024 to Mar 13, 2025
- Pension plan clients · 11 to 5Oct 21, 2024 to Mar 13, 2025
- Assets in custody · $30.6M to $35.1MOct 21, 2024 to Mar 13, 2025
- Employees · 2 to 3Oct 21, 2024 to Mar 13, 2025
- Financial planning clients · 1-10 to 0Oct 21, 2024 to Mar 13, 2025
- HQ city · unset to Oct 21, 2024 to Mar 13, 2025
- HQ state · unset to Oct 21, 2024 to Mar 13, 2025
- State-registered IARs · 2 to 3Oct 21, 2024 to Mar 13, 2025
- Discretionary RAUM · $105M to $116MOct 21, 2024 to Mar 13, 2025
- HNW RAUM · $60.6M to $68.3MOct 21, 2024 to Mar 13, 2025
- Individual RAUM · $33.1M to $35.7MOct 21, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $12.3M to $13.4MOct 21, 2024 to Mar 13, 2025
- Pension RAUM · $22.1M to $23.4MOct 21, 2024 to Mar 13, 2025
- RAUM · $117M to $129MOct 21, 2024 to Mar 13, 2025
- Accounts · 570 to 567Dec 15, 2023 to Mar 14, 2024
- Advisory activities · 3 to 4Dec 15, 2023 to Mar 14, 2024
- Individual clients · 166 to 179Dec 15, 2023 to Mar 14, 2024
- Pension plan clients · 13 to 11Dec 15, 2023 to Mar 14, 2024
- Assets in custody · $27.6M to $30.6MDec 15, 2023 to Mar 14, 2024
- Discretionary RAUM · $97.0M to $105MDec 15, 2023 to Mar 14, 2024
- HNW RAUM · $56.9M to $60.6MDec 15, 2023 to Mar 14, 2024
- Individual RAUM · $31.7M to $33.1MDec 15, 2023 to Mar 14, 2024
Signals
2 dated events
- Laguna Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Nov 30, 2023 · First SEC registration · fact
- Andrew Thomas Becket left Laguna Wealth Advisors, Llc for Rbc Capital Markets, Llc (registered 2023-08-25)Apr 13, 2023 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@lagunawealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-227-2722reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-454-0640reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-464-4466reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- LAGUNAWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949 464-4466reportedpublic record, Form ADV, Jul 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
- $40.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026