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
S•••••• A••••••• G••••• L••
Latest filing May 20, 2026
First filing on the tape Nov 10, 2015 · 44 filings
SEC status approved since Nov 19, 2015
RAUM
$10B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
5.7%
$593M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$2.1B
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$10B as of May 20, 2026
Mar 24, 2016$307M then
HNW client RAUM$588M as of May 20, 2026
Mar 29, 2019$27.0M then
State-registered IARs (5.B.3)4 as of May 20, 2026
Mar 24, 20163 then
Employees (5.A)15 as of May 20, 2026
Mar 24, 20165 then
Private funds: no history
RAUM +30% over the last fiscal year+33% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $2.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $10.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 92%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$8.5B83%
- Pension and profit-sharing plans$977M9.6%
- High-net-worth individuals$588M5.8%
- Corporations and businesses$115M1.1%
- Individuals$5.1M0.1%
- Charitable organizations$244,6070.0%
- Individual clients
- 39reported
- HNW clients
- 153reported
- Pension plan clients
- 71reported
- Charitable clients
- 1reported
- Accounts
- 1,026reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.06 fund_share=0.0 institutional_share=0.92 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• S•••••• | Pasadena, Ca | Jan 29, 2015 | 38 y | 2 |
| C••• S••••••••• | Pasadena, Ca | Jul 18, 2022 | 15 y | 1 |
| J••••••• T••••• Y•••• | Pasadena, Ca | Sep 3, 2025 | 13 y | 0 |
| M•••••• D•••• C••••• G•••••••Chartered Financial Analyst | Pasadena, Ca | May 18, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- B•••• T••• to A••••• T••••• P•••••• W•••••Sep 2, 2025 · Other
- C••••••••• J•• B••••• to K••• R••••••••• S•••••••••Sep 2, 2025 · Other
- S•••••• G•••••• K••••• to E• W••••• A•••••••Sep 29, 2023 · Other
- M••• T••••••• C••••• to M••••••Apr 20, 2023 · Other
- A•••••• H••••• W•••• to S•••••••• W•••••• L••Nov 22, 2021 · Other
- N••••• E•••• G••••• to K••• R••••••••• S•••••••••Aug 17, 2020 · Other
Joined, latest
- M•••••• D•••• C••••• G••••••• from E•••••••• A•••••••• L••May 18, 2026 · Other
- B•••• T••• from K••• W••••• C•••••••••Mar 25, 2022 · Other
- C••••••••• J•• B••••• from D••••• I••••••••• A••••••••• L••Apr 4, 2016 · Other
- N••••• E•••• G••••• from E•••••••• A•••••••• L••Oct 28, 2015 · Other
- M••• S•••••• from T•• S••••••• G••••Jan 29, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••••• J•• · Chief Investment Officercontrolsince 04/2016 · owns less than 5%
- S••••••• M•••• A•••• · Managing Membercontrolsince 02/2014 · owns 75% or more
- P••••••• J•••• · Member/Chief Compliance Officersince 10/2016 · owns less than 5%
Related persons
Schedule D 7.A
- K••• R••••••••• S•••••••••investment advisery
- K••• W••••• C•••••••••investment advisernRAUM $155M
- S•••••• F•••••••• • I•••••••• S•••••••• I•••real estaten
Advisers that list S•••••• A••••••• G••••• L•• as a related person
- 283743 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Mar 31, 2026 to May 20, 2026
- Employees · 14 to 15Mar 31, 2026 to May 20, 2026
- State-registered IARs · 3 to 4Mar 31, 2026 to May 20, 2026
- Accounts · 884 to 1,026Nov 18, 2025 to Mar 31, 2026
- Advisory employees · 9 to 10Nov 18, 2025 to Mar 31, 2026
- Corporate clients · 34 to 32Nov 18, 2025 to Mar 31, 2026
- HNW clients · 122 to 153Nov 18, 2025 to Mar 31, 2026
- Individual clients · 41 to 39Nov 18, 2025 to Mar 31, 2026
- Pension plan clients · 52 to 71Nov 18, 2025 to Mar 31, 2026
- Insurance-licensed employees · 4 to 3Nov 18, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 3Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.8B to $10BNov 18, 2025 to Mar 31, 2026
- HNW RAUM · $883M to $588MNov 18, 2025 to Mar 31, 2026
- Individual RAUM · $14.8M to $5.1MNov 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $90.0M to $127MNov 18, 2025 to Mar 31, 2026
- Pension RAUM · $853M to $977MNov 18, 2025 to Mar 31, 2026
- RAUM · $7.9B to $10BNov 18, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueNov 18, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 11-25Mar 31, 2025 to Jul 18, 2025
- Accounts · 730 to 884Nov 27, 2024 to Mar 31, 2025
- Advisory employees · 8 to 9Nov 27, 2024 to Mar 31, 2025
- Advisory activities · 4 to 6Nov 27, 2024 to Mar 31, 2025
- Corporate clients · 33 to 34Nov 27, 2024 to Mar 31, 2025
- HNW clients · 92 to 122Nov 27, 2024 to Mar 31, 2025
- Pension plan clients · 53 to 52Nov 27, 2024 to Mar 31, 2025
- Employees · 12 to 14Nov 27, 2024 to Mar 31, 2025
- Insurance-licensed employees · 3 to 4Nov 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 11-25Nov 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.2B to $7.8BNov 27, 2024 to Mar 31, 2025
- HNW RAUM · $538M to $883MNov 27, 2024 to Mar 31, 2025
- Individual RAUM · $17.9M to $14.8MNov 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $70.1M to $90.0MNov 27, 2024 to Mar 31, 2025
- Pension RAUM · $711M to $853MNov 27, 2024 to Mar 31, 2025
- RAUM · $6.3B to $7.9BNov 27, 2024 to Mar 31, 2025
- Related adviser · true to falseNov 27, 2024 to Mar 31, 2025
- Related broker-dealer · true to falseNov 27, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Oct 16, 2024 to Nov 27, 2024
- Employees · 11 to 12Oct 16, 2024 to Nov 27, 2024
- State-registered IARs · 3 to 4Oct 16, 2024 to Nov 27, 2024
- HQ city · HONOLULU to PASADENAMay 2, 2024 to Oct 16, 2024
Signals
15 dated events
- S•••••• A••••••• G••••• L•• reported RAUM $10.3B, up 30% from $7.9B (2025-11-18 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- B•••• T••• left S•••••• A••••••• G••••• L•• for A••••• T••••• P•••••• W••••• (registered 2025-08-04)Sep 2, 2025 · Advisor changed firm · fact
- C••••••••• J•• B••••• left S•••••• A••••••• G••••• L•• for K••• R••••••••• S••••••••• (registered 2017-03-14)Sep 2, 2025 · Advisor changed firm · fact
- S•••••• A••••••• G••••• L•• reported RAUM $7.9B, up 26% from $6.3B (2024-11-27 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S•••••• A••••••• G••••• L•• reported RAUM $6.3B, up 43% from $4.4B (2023-12-07 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•••••• G•••••• K••••• left S•••••• A••••••• G••••• L•• for E• W••••• A••••••• (registered 2026-08-13)Sep 29, 2023 · Advisor changed firm · fact
- M••• T••••••• C••••• left S•••••• A••••••• G••••• L•• for Mariner (registered 2023-06-21)Apr 20, 2023 · Advisor changed firm · fact
- Patrick C••• S••••••••• (Chief Operations Officer) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2023-02-10, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- S•••••• A••••••• G••••• L•• reported RAUM $3.6B, up 57% from $2.3B (2020-12-23 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Isaac Kim (Chief Compliance Officer) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2020-06-29, absent 2020-09-25)Sep 25, 2020 · Control person left · inference
- Isaac Kim (Chief Compliance Officer) appeared on Schedule A of S•••••• A••••••• G••••• L••Mar 28, 2020 · Control person joined · fact
- E•••• N••••• G••••• (Chief Compliance Officer) no longer on Schedule A of S•••••• A••••••• G••••• L•• (listed 2019-03-29, absent 2020-03-28)Mar 28, 2020 · Control person left · inference
- Patrick C••• S••••••••• (Chief Operations Officer) appeared on Schedule A of S•••••• A••••••• G••••• L••Mar 29, 2019 · Control person joined · fact
- Jon Cristopher Borden (Chief Investment Officer) appeared on Schedule A of S•••••• A••••••• G••••• L••Mar 29, 2019 · Control person joined · fact
- S•• R••••••••• P••• C••••••••• L•• filed its initial SEC registration (Form ADV)Nov 10, 2015 · 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
- Website
- s•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (626) 578-0816reportedpublic record, Form ADV, May 20, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026