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••••••••• C•••••• M•••••••••
Legal name N••••• C•••••• L••
Latest filing Mar 21, 2026
First filing on the tape Jun 20, 2024 · 4 filings
SEC status approved since Jul 19, 2024
RAUM
$202M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
33%
$66.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$202M as of Mar 21, 2026
Mar 31, 2025$159M then
HNW client RAUM$57.4M as of Mar 21, 2026
Mar 31, 2025$48.4M then
State-registered IARs (5.B.3)2 as of Mar 21, 2026
Mar 31, 20251 then
Employees (5.A)3 as of Mar 21, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 1 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan 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
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $582,435derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%derivedof RAUM
- Institutional
- 60%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$121M60%
- High-net-worth individuals$57.4M28%
- Corporations and businesses$14.6M7.2%
- Individuals$9.3M4.6%
- Individual clients
- 86reported
- HNW clients
- 57reported
- Pension plan clients
- 25reported
- Charitable clients
- n/areported
- Accounts
- 347reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.33 fund_share=0.0 institutional_share=0.6 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•••• R••••• N••••• | Westlake Village, Ca | Apr 28, 2014 | 37 y | 7 |
| G•••••• M• N••••• | New York, Ny | May 12, 2025 | 13 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
- J••• K••• A•••• to M•• I•••••••• S•••••••• L••Aug 14, 2017 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• K••• A•••• from J••• M••••• P•••••• W••••• A••••••• L••Apr 14, 2017 · Other
- D•••• R••••• N••••• from G••••••••• C•••••• M••••••••• L••Apr 28, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• D••••• R••••• · Managing Partner / Ccocontrolsince 02/2012 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 21, 2026institutional share of RAUM of 60% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 20.0 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 313 to 347Jul 10, 2025 to Mar 21, 2026
- Corporate clients · 1 to 2Jul 10, 2025 to Mar 21, 2026
- HNW clients · 51 to 57Jul 10, 2025 to Mar 21, 2026
- Individual clients · 84 to 86Jul 10, 2025 to Mar 21, 2026
- Pension plan clients · 21 to 25Jul 10, 2025 to Mar 21, 2026
- Discretionary RAUM · $70.8M to $81.4MJul 10, 2025 to Mar 21, 2026
- HNW RAUM · $48.4M to $57.4MJul 10, 2025 to Mar 21, 2026
- Individual RAUM · $8.7M to $9.3MJul 10, 2025 to Mar 21, 2026
- Non-discretionary RAUM · $88.6M to $121MJul 10, 2025 to Mar 21, 2026
- Pension RAUM · $88.6M to $121MJul 10, 2025 to Mar 21, 2026
- RAUM · $159M to $202MJul 10, 2025 to Mar 21, 2026
- Advisory employees · 1 to 2Mar 31, 2025 to Jul 10, 2025
- Employees · 2 to 3Mar 31, 2025 to Jul 10, 2025
- Insurance-licensed employees · 1 to 2Mar 31, 2025 to Jul 10, 2025
- Financial planning clients · 26-50 to 26-50Mar 31, 2025 to Jul 10, 2025
- State-registered IARs · 1 to 2Mar 31, 2025 to Jul 10, 2025
- Other offices · 0 to 2Mar 31, 2025 to Jul 10, 2025
- Accounts · 307 to 313Jun 20, 2024 to Mar 31, 2025
- HNW clients · 46 to 51Jun 20, 2024 to Mar 31, 2025
- Individual clients · 77 to 84Jun 20, 2024 to Mar 31, 2025
- Pension plan clients · 25 to 21Jun 20, 2024 to Mar 31, 2025
- Employees · 1 to 2Jun 20, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 26-50Jun 20, 2024 to Mar 31, 2025
- HQ city · unset to Jun 20, 2024 to Mar 31, 2025
- HQ state · unset to Jun 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $51.9M to $70.8MJun 20, 2024 to Mar 31, 2025
- HNW RAUM · $37.2M to $48.4MJun 20, 2024 to Mar 31, 2025
- Individual RAUM · $9.4M to $8.7MJun 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $68.5M to $88.6MJun 20, 2024 to Mar 31, 2025
- Pension RAUM · $68.5M to $88.6MJun 20, 2024 to Mar 31, 2025
- RAUM · $120M to $159MJun 20, 2024 to Mar 31, 2025
Signals
1 dated events
- S••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 20, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 818-292-1474reportedpublic record, Form ADV, Mar 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026