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
D• G••••• F•••••••• G••••• L••
Latest filing May 27, 2026
First filing on the tape Jul 15, 2013 · 42 filings
SEC status approved since Jul 25, 2013
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$884M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$608M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.2B as of May 27, 2026
Mar 20, 2014$183M then
HNW client RAUM$731M as of May 27, 2026
Mar 27, 2018$150M then
State-registered IARs (5.B.3)3 as of May 27, 2026
Mar 20, 20141 then
Employees (5.A)9 as of May 27, 2026
Mar 20, 20144 then
Private funds: no history
RAUM +62% over the last fiscal year+28% a year over threeIARs 2 to 3
Practice profile
derived from the filing of May 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $608MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 174derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $518,305derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +62%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $2.4BreportedItem 5.I
- Custody
- $511M, 233 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$731M60%
- Corporations and businesses$314M26%
- Individuals$153M13%
- Pension and profit-sharing plans$17.8M1.5%
- Individual clients
- 200reported
- HNW clients
- 147reported
- Pension plan clients
- 18reported
- Charitable clients
- n/areported
- Accounts
- 2,346reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $1.2B sponsored, $0 managedreported
- Custody of client assets
- $511M for 233 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• C•••• D• G•••••Certified Financial Planner | Thousand Oaks, Ca | Sep 5, 2013 | 29 y | 3 |
| B•••• J••• L•••• | Thousand Oaks, Ca | Oct 3, 2023 | 29 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- W•••••• H• L•••• to J••• M••••• S••••••••• L••May 20, 2026 · RIA to wirehouse
- A••••• P••• K•••• to P••••• C•••••• A•••••••• L••Sep 27, 2023 · RIA to RIA
Joined, latest
- B•••• J••• L•••• from U••••• C•••••• F•••••••• A•••••••Oct 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- A••••• P••• K•••• from K•••• F•••••••• S••••••• L••Jul 24, 2019 · RIA to RIA
- D•••••• C•••• D• G••••• from G••••• S••••••••• I•••Sep 5, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• F•••• M•••••• · Chief Compliance Officer & Chief Operations Officercontrolsince 03/2019 · owns less than 5%
- D•••••••• D••••••• C•••• · Managing Membercontrolsince 08/2013 · 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 |
|---|---|---|---|---|---|
| Thousand Oaks, Ca · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 13, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $750,623,008 to $1,215,942,608, advisors 2 to 3, private clients 400 to 347, offices 1 to 1 (2025-03-18 to 2026-03-13)peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Mar 13, 2026institutional share of RAUM moved from 12.0% to 27.0% between the annual amendments of 2025-03-18 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,362)
- RAUM up 50 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $750,623,008 to $1,215,942,608 (+62.0%) between the annual amendments of 2025-03-18 and 2026-03-13; the peer median change was +17.0% (1298 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 95% percentile
- client mix shiftChange between filings · filing Mar 13, 2026private-client share of RAUM moved from 88.0% to 73.0% between the annual amendments of 2025-03-18 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 84.0% to 60.0% between the annual amendments of 2025-03-18 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,093 to 2,346Oct 23, 2025 to Mar 13, 2026
- Advisory employees · 2 to 3Oct 23, 2025 to Mar 13, 2026
- Advisory activities · 4 to 2Oct 23, 2025 to Mar 13, 2026
- Corporate clients · 7 to 12Oct 23, 2025 to Mar 13, 2026
- HNW clients · 184 to 147Oct 23, 2025 to Mar 13, 2026
- Individual clients · 216 to 200Oct 23, 2025 to Mar 13, 2026
- Assets in custody · $224M to $511MOct 23, 2025 to Mar 13, 2026
- Employees · 8 to 9Oct 23, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 3Oct 23, 2025 to Mar 13, 2026
- Discretionary RAUM · $751M to $1.2BOct 23, 2025 to Mar 13, 2026
- HNW RAUM · $628M to $731MOct 23, 2025 to Mar 13, 2026
- Individual RAUM · $30.7M to $153MOct 23, 2025 to Mar 13, 2026
- Pension RAUM · $16.7M to $17.8MOct 23, 2025 to Mar 13, 2026
- RAUM · $751M to $1.2BOct 23, 2025 to Mar 13, 2026
- Wrap assets (sponsor) · $47.8M to $1.2BOct 23, 2025 to Mar 13, 2026
- Financial planning clients · 1-10 to 1-10Mar 18, 2025 to Jun 23, 2025
- Accounts · 1,981 to 2,093Feb 29, 2024 to Mar 18, 2025
- Advisory employees · 3 to 2Feb 29, 2024 to Mar 18, 2025
- Corporate clients · 19 to 7Feb 29, 2024 to Mar 18, 2025
- HNW clients · 153 to 184Feb 29, 2024 to Mar 18, 2025
- Individual clients · 189 to 216Feb 29, 2024 to Mar 18, 2025
- Pension plan clients · 19 to 18Feb 29, 2024 to Mar 18, 2025
- Assets in custody · $174M to $224MFeb 29, 2024 to Mar 18, 2025
- Employees · 7 to 8Feb 29, 2024 to Mar 18, 2025
- State-registered IARs · 3 to 2Feb 29, 2024 to Mar 18, 2025
- Discretionary RAUM · $648M to $751MFeb 29, 2024 to Mar 18, 2025
- HNW RAUM · $485M to $628MFeb 29, 2024 to Mar 18, 2025
- Individual RAUM · $84.9M to $30.7MFeb 29, 2024 to Mar 18, 2025
- Pension RAUM · $15.9M to $16.7MFeb 29, 2024 to Mar 18, 2025
- RAUM · $648M to $751MFeb 29, 2024 to Mar 18, 2025
- Wrap assets (sponsor) · $13.3M to $47.8MFeb 29, 2024 to Mar 18, 2025
- Advisory employees · 2 to 3Oct 3, 2023 to Feb 29, 2024
- HNW clients · 150 to 153Oct 3, 2023 to Feb 29, 2024
- Individual clients · 157 to 189Oct 3, 2023 to Feb 29, 2024
- Pension plan clients · 28 to 19Oct 3, 2023 to Feb 29, 2024
- Assets in custody · $128M to $174MOct 3, 2023 to Feb 29, 2024
- State-registered IARs · 2 to 3Oct 3, 2023 to Feb 29, 2024
- Other offices · 2 to 1Oct 3, 2023 to Feb 29, 2024
- Discretionary RAUM · $583M to $648MOct 3, 2023 to Feb 29, 2024
- HNW RAUM · $396M to $485MOct 3, 2023 to Feb 29, 2024
Signals
8 dated events
- W•••••• H• L•••• left D• G••••• F•••••••• G••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-07-13)May 20, 2026 · Advisor changed firm · fact
- D• G••••• F•••••••• G••••• L•• reported RAUM $1.2B, up 62% from $750.6M (2025-10-23 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- Paul Andrew Krout (Chief Investment Officer) no longer on Schedule A of D• G••••• F•••••••• G••••• L•• (listed 2023-10-03, absent 2024-02-29)Feb 29, 2024 · Control person left · inference
- A••••• P••• K•••• left D• G••••• F•••••••• G••••• L•• for P••••• C•••••• A•••••••• L•• (registered 2023-09-25)Sep 27, 2023 · Advisor changed firm · fact
- D• G••••• F•••••••• G••••• L•• reported RAUM $562.7M, up 34% from $420.6M (2022-01-13 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- D• G••••• F•••••••• G••••• L•• reported RAUM $420.6M, up 32% from $319.0M (2020-10-01 to 2021-03-02)Mar 2, 2021 · RAUM change · derived
- Paul Andrew Krout (Chief Investment Officer) appeared on Schedule A of D• G••••• F•••••••• G••••• L••Jul 25, 2019 · Control person joined · fact
- A••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D• G••••• F•••••••• G••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@degrootefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-984-3302reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-230-0061reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-230-0111reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/7583618/ADMIN/UPDATESreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.D•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (805) 230-0111reportedpublic record, Form ADV, May 27, 2026
- Contact form
- degrootefinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- degrootefinancial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $608Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026