DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••••• W••••• M••••••••• L••
Legal name R•••••• H•••••••• L••
Latest filing Apr 9, 2026
First filing on the tape Nov 26, 2019 · 27 filings
SEC status approved since Jan 2, 2020
RAUM
$837M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$837M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$279M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$837M as of Apr 9, 2026
Mar 18, 2021$237M then
HNW client RAUM$424M as of Apr 9, 2026
Mar 18, 2021$199M then
State-registered IARs (5.B.3)3 as of Apr 9, 2026
Mar 18, 20213 then
Employees (5.A)3 as of Apr 9, 2026
Mar 18, 20213 then
Private funds: no history
RAUM +70% over the last fiscal year+49% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $279MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +70%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$424M51%
- Individuals$413M49%
- Individual clients
- 120reported
- HNW clients
- 123reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 679reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• A•••• L•••••• | Santa Monica, Ca | Nov 19, 2014 | 22 y | 2 |
| A•••••• E••••••• | Santa Monica, Ca | Oct 8, 2019 | 10 y | 0 |
| J•••• L•••• K••••••••• | West Bloomfield, Mi | Dec 16, 2024 | 11 y | 1 |
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 headcount1 left over 36 months
Left, latest
- D••••• R••••••• P•••••• to 1••• A••••••• L••May 1, 2024 · RIA to a state-registered adviser
Joined, latest
- J•••• L•••• K••••••••• from M••••• S••••••Dec 16, 2024 · Wirehouse to independent RIA
- D••••• R••••••• P•••••• from L•• F•••••••• L••Apr 20, 2015 · Other
- B••••••• A•••• L•••••• from L•• F•••••••• L••Nov 19, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• B•••••••• A•••• · Ceo, Ccocontrolsince 11/2014 · owns less than 5%
- L••••••• B•••••••• A•••• · Membercontrolsince 11/2014 · owns 75% or more of R•••••• H•••••••• L••
Entity owners
- R•••••• H•••••••• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 9, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $493,000,000 to $836,976,086, advisors 3 to 3, private clients 434 to 243, offices 0 to 0 (2025-03-25 to 2026-04-09)peers: independent wealth managers, $500M to $1B (1,482)
- very high RAUM per advisorStatic outlier · filing Apr 9, 2026RAUM per registered advisor of $278,992,029 against a peer median of $106,209,587 (1262 comparable advisers, 98.0th percentile, 3.0 robust deviations)peers: independent wealth managers, $500M to $1B (1,262) · 98% percentile
- account count surgeChange between filings · filing Apr 9, 2026accounts (Item 5.F.2.f) moved from 434.0 to 679.0 (+56.0%) between the annual amendments of 2025-03-25 and 2026-04-09; the peer median change was +6.0% (1256 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 95% percentile
- client count collapseChange between filings · filing Apr 9, 2026individual and HNW clients (Item 5.D) moved from 434.0 to 243.0 (-44.0%) between the annual amendments of 2025-03-25 and 2026-04-09; the peer median change was +5.0% (1216 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 2.1% percentile
- HNW share shiftChange between filings · filing Apr 9, 2026HNW share of RAUM moved from 92.0% to 51.0% between the annual amendments of 2025-03-25 and 2026-04-09peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Apr 9, 2026RAUM (Item 5.F) moved from $493,000,000 to $836,976,086 (+70.0%) between the annual amendments of 2025-03-25 and 2026-04-09; the peer median change was +16.0% (1385 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 434 to 679Jan 6, 2026 to Mar 16, 2026
- HNW clients · 280 to 123Jan 6, 2026 to Mar 16, 2026
- Individual clients · 154 to 120Jan 6, 2026 to Mar 16, 2026
- Discretionary RAUM · $493M to $837MJan 6, 2026 to Mar 16, 2026
- HNW RAUM · $454M to $424MJan 6, 2026 to Mar 16, 2026
- Individual RAUM · $39.0M to $413MJan 6, 2026 to Mar 16, 2026
- RAUM · $493M to $837MJan 6, 2026 to Mar 16, 2026
- Accounts · 444 to 434Jul 16, 2024 to Mar 25, 2025
- Advisory employees · 4 to 3Jul 16, 2024 to Mar 25, 2025
- Individual clients · 164 to 154Jul 16, 2024 to Mar 25, 2025
- Employees · 4 to 3Jul 16, 2024 to Mar 25, 2025
- Financial planning clients · unset to Jul 16, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 3Jul 16, 2024 to Mar 25, 2025
- Other offices · 1 to 0Jul 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $381M to $493MJul 16, 2024 to Mar 25, 2025
- HNW RAUM · $344M to $454MJul 16, 2024 to Mar 25, 2025
- Individual RAUM · $37.1M to $39.0MJul 16, 2024 to Mar 25, 2025
- RAUM · $381M to $493MJul 16, 2024 to Mar 25, 2025
- Accounts · 282 to 444Nov 13, 2023 to Mar 22, 2024
- Advisory employees · 3 to 4Nov 13, 2023 to Mar 22, 2024
- BD registered reps · 1 to 2Nov 13, 2023 to Mar 22, 2024
- HNW clients · 117 to 280Nov 13, 2023 to Mar 22, 2024
- Individual clients · 165 to 164Nov 13, 2023 to Mar 22, 2024
- Employees · 3 to 4Nov 13, 2023 to Mar 22, 2024
- State-registered IARs · 3 to 4Nov 13, 2023 to Mar 22, 2024
- Discretionary RAUM · $251M to $381MNov 13, 2023 to Mar 22, 2024
- HNW RAUM · $227M to $344MNov 13, 2023 to Mar 22, 2024
- Individual RAUM · $24.5M to $37.1MNov 13, 2023 to Mar 22, 2024
- RAUM · $251M to $381MNov 13, 2023 to Mar 22, 2024
- Accounts · 99 to 282Jan 20, 2023 to Mar 3, 2023
- HNW clients · 34 to 117Jan 20, 2023 to Mar 3, 2023
- Individual clients · 65 to 165Jan 20, 2023 to Mar 3, 2023
- Discretionary RAUM · $277M to $251MJan 20, 2023 to Mar 3, 2023
- Individual RAUM · $49.8M to $24.5MJan 20, 2023 to Mar 3, 2023
- RAUM · $277M to $251MJan 20, 2023 to Mar 3, 2023
- Accounts · 80 to 99Nov 4, 2021 to Mar 10, 2022
- HNW clients · 30 to 34Nov 4, 2021 to Mar 10, 2022
- Individual clients · 50 to 65Nov 4, 2021 to Mar 10, 2022
- Discretionary RAUM · $246M to $277MNov 4, 2021 to Mar 10, 2022
- HNW RAUM · $208M to $227MNov 4, 2021 to Mar 10, 2022
Signals
6 dated events
- R•••••• W••••• M••••••••• L•• reported RAUM $837.0M, up 70% from $493.0M (2026-01-06 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- R•••••• W••••• M••••••••• L•• reported RAUM $493.0M, up 29% from $381.0M (2024-07-16 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- D••••• R••••••• P•••••• left R•••••• W••••• M••••••••• L•• for 1••• A••••••• L•• (registered 2024-05-06)May 1, 2024 · Advisor changed firm · fact
- R•••••• W••••• M••••••••• L•• reported RAUM $381.0M, up 52% from $251.3M (2023-11-13 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- Robinson Daniel Preslar (Chief Compliance Officer) no longer on Schedule A of R•••••• W••••• M••••••••• L•• (listed 2023-09-26, absent 2023-11-13)Nov 13, 2023 · Control person left · inference
- R•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 2019 · 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 phone
- 888-552-1905reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 888-552-1905reportedpublic record, Form ADV, Apr 9, 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
- $279Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026