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
N••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Aug 15, 2013 · 36 filings
SEC status approved since Aug 30, 2013
RAUM
$408M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$402M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$204M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$408M as of Aug 5, 2026
Mar 4, 2014$208M then
HNW client RAUM$371M as of Aug 5, 2026
Mar 9, 2018$227M then
State-registered IARs (5.B.3)2 as of Aug 5, 2026
Mar 4, 20142 then
Employees (5.A)3 as of Aug 5, 2026
Mar 4, 20142 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $204MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $694,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$371M91%
- Individuals$31.0M7.6%
- Pension and profit-sharing plans$5.5M1.4%
- Individual clients
- 60reported
- HNW clients
- 95reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 587reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• S•••• T•••Certified Financial Planner | Redondo Beach, Ca | Nov 4, 2025 | 29 y | 4 |
| S•••• A••• L••••••Certified Financial Planner | Redondo Beach, Ca | Aug 26, 2026 | 34 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••••••• B••••••• B••• to B••••• • B•••••• L••Oct 22, 2018 · Other
- T•••• R••• S•••• to M••••• G••••• A••••••• I•••Sep 17, 2018 · RIA to RIA
- D••••• W•••••• H•••• to G••••••• F••••••••• I••• L•••••••••Dec 20, 2017 · Other
Joined, latest
- S•••• A••• L•••••• from T••••••• L•••Aug 26, 2026 · Other
- E••• S•••• T••• from T••••••• L•••Nov 4, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• S••••• A••• · Presidentcontrolsince 08/2013 · owns less than 5%
- T•••• E•••• S•••• · Chief Compliance Officersince 08/2013 · owns less than 5%
Entity owners
- L•••••• F••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Redondo Beach, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 588 to 587Oct 13, 2025 to Mar 17, 2026
- HNW clients · 86 to 95Oct 13, 2025 to Mar 17, 2026
- Individual clients · 71 to 60Oct 13, 2025 to Mar 17, 2026
- Discretionary RAUM · $342M to $408MOct 13, 2025 to Mar 17, 2026
- HNW RAUM · $307M to $371MOct 13, 2025 to Mar 17, 2026
- Individual RAUM · $30.0M to $31.0MOct 13, 2025 to Mar 17, 2026
- Pension RAUM · $4.5M to $5.5MOct 13, 2025 to Mar 17, 2026
- RAUM · $342M to $408MOct 13, 2025 to Mar 17, 2026
- Assets in custody · 2145379.0 to unsetJun 25, 2025 to Oct 13, 2025
- Custody of client assets · true to falseJun 25, 2025 to Oct 13, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2025 to Jun 25, 2025
- Accounts · 572 to 588Mar 28, 2024 to Mar 21, 2025
- HNW clients · 87 to 86Mar 28, 2024 to Mar 21, 2025
- Individual clients · 57 to 71Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $315M to $342MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $286M to $307MMar 28, 2024 to Mar 21, 2025
- Individual RAUM · $26.0M to $30.0MMar 28, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $1.9M to $0Mar 28, 2024 to Mar 21, 2025
- Pension RAUM · $4.2M to $4.5MMar 28, 2024 to Mar 21, 2025
- RAUM · $317M to $342MMar 28, 2024 to Mar 21, 2025
- Accounts · 546 to 572Mar 30, 2023 to Mar 28, 2024
- HNW clients · 72 to 87Mar 30, 2023 to Mar 28, 2024
- Individual clients · 75 to 57Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $7.1M to $2.1MMar 30, 2023 to Mar 28, 2024
- Employees · 4 to 3Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $282M to $315MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $243M to $286MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $37.1M to $26.0MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.6M to $1.9MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $3.5M to $4.2MMar 30, 2023 to Mar 28, 2024
- RAUM · $283M to $317MMar 30, 2023 to Mar 28, 2024
- Accounts · 536 to 546Aug 12, 2022 to Mar 30, 2023
- HNW clients · 83 to 72Aug 12, 2022 to Mar 30, 2023
- Individual clients · 60 to 75Aug 12, 2022 to Mar 30, 2023
- Assets in custody · $8.9M to $7.1MAug 12, 2022 to Mar 30, 2023
- Discretionary RAUM · $305M to $282MAug 12, 2022 to Mar 30, 2023
- HNW RAUM · $277M to $243MAug 12, 2022 to Mar 30, 2023
- Individual RAUM · $26.2M to $37.1MAug 12, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.7M to $1.6MAug 12, 2022 to Mar 30, 2023
- Pension RAUM · $3.9M to $3.5MAug 12, 2022 to Mar 30, 2023
Signals
1 dated events
- N••••••• I••• filed its initial SEC registration (Form ADV)Aug 15, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@navigoe.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-697-0400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-861-1755reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/N••••••-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- N••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-596-4636reportedpublic record, Form ADV, Aug 5, 2026
- Team page
- navigoe.com/team-member/scott-leonardreportedpublished 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
- $204Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026