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.

Former SEC-registered adviser

Argosy Wealth Management

Former SEC-registered adviserLos Angeles, CaliforniaCRD 175028SEC 801-81150IAPD
Legal name Argosy Wealth Management Corporation
Latest filing Jul 10, 2020
First filing on the tape Mar 11, 2015 · 13 filings
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$281M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$281M as of May 12, 2020
Mar 23, 2016$136M then
HNW client RAUM$182M as of May 12, 2020
Feb 12, 2018$147M then
State-registered IARs (5.B.3)9 as of May 12, 2020
Mar 23, 20163 then
Employees (5.A)10 as of May 12, 2020
Mar 23, 20164 then
Private funds: no history
RAUM -1.9% over the last fiscal year+20% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Jul 10, 2020; every figure names its basis
RAUM per advisor
$31.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$302,595derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.9%derivedbetween the last two annual amendments
Advisor growth, one year
+29%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$76.2M, 208 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$182M65%
  • Individuals$99.6M35%
Individual clients
221reported
HNW clients
75reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
930reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$76.2M for 208 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Scott Michael Karon · Cco/Cfocontrol
    since 04/2010 · owns less than 5%
  • Masaru Alexander Kimura · Presidentcontrol
    since 04/2010 · owns less than 5%
Entity owners
  • Mercer Global Advisors Inc. · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Westlake Village, CA3 employees
What changed
consecutive filings, newest first
  • Accounts · 792 to 930
    Mar 28, 2019 to May 12, 2020
  • Advisory employees · 7 to 8
    Mar 28, 2019 to May 12, 2020
  • BD registered reps · 7 to 9
    Mar 28, 2019 to May 12, 2020
  • HNW clients · 80 to 75
    Mar 28, 2019 to May 12, 2020
  • Individual clients · 215 to 221
    Mar 28, 2019 to May 12, 2020
  • Assets in custody · $64.8M to $76.2M
    Mar 28, 2019 to May 12, 2020
  • Employees · 8 to 10
    Mar 28, 2019 to May 12, 2020
  • State-registered IARs · 7 to 9
    Mar 28, 2019 to May 12, 2020
  • Discretionary RAUM · $287M to $281M
    Mar 28, 2019 to May 12, 2020
  • HNW RAUM · $191M to $182M
    Mar 28, 2019 to May 12, 2020
  • Individual RAUM · $95.4M to $99.6M
    Mar 28, 2019 to May 12, 2020
  • RAUM · $287M to $281M
    Mar 28, 2019 to May 12, 2020
  • Accounts · 427 to 792
    Aug 23, 2018 to Mar 28, 2019
  • Advisory employees · 6 to 7
    Aug 23, 2018 to Mar 28, 2019
  • BD registered reps · 8 to 7
    Aug 23, 2018 to Mar 28, 2019
  • HNW clients · 60 to 80
    Aug 23, 2018 to Mar 28, 2019
  • Individual clients · 77 to 215
    Aug 23, 2018 to Mar 28, 2019
  • Assets in custody · $54.4M to $64.8M
    Aug 23, 2018 to Mar 28, 2019
  • Employees · 9 to 8
    Aug 23, 2018 to Mar 28, 2019
  • Insurance-licensed employees · 6 to 0
    Aug 23, 2018 to Mar 28, 2019
  • Financial planning clients · 51-100 to 101-250
    Aug 23, 2018 to Mar 28, 2019
  • State-registered IARs · 6 to 7
    Aug 23, 2018 to Mar 28, 2019
  • Discretionary RAUM · $184M to $287M
    Aug 23, 2018 to Mar 28, 2019
  • HNW RAUM · $147M to $191M
    Aug 23, 2018 to Mar 28, 2019
  • Individual RAUM · $36.5M to $95.4M
    Aug 23, 2018 to Mar 28, 2019
  • RAUM · $184M to $287M
    Aug 23, 2018 to Mar 28, 2019
  • Accounts · 336 to 427
    Mar 27, 2017 to Feb 12, 2018
  • Advisory employees · 2 to 6
    Mar 27, 2017 to Feb 12, 2018
  • BD registered reps · 3 to 8
    Mar 27, 2017 to Feb 12, 2018
  • HNW clients · unset to 60.0
    Mar 27, 2017 to Feb 12, 2018
  • Individual clients · unset to 77.0
    Mar 27, 2017 to Feb 12, 2018
  • Assets in custody · unset to 54449425.0
    Mar 27, 2017 to Feb 12, 2018
  • Custody of client assets · false to true
    Mar 27, 2017 to Feb 12, 2018
  • Employees · 3 to 9
    Mar 27, 2017 to Feb 12, 2018
  • Insurance-licensed employees · 2 to 6
    Mar 27, 2017 to Feb 12, 2018
  • State-registered IARs · 3 to 6
    Mar 27, 2017 to Feb 12, 2018
  • Other offices · unset to 1.0
    Mar 27, 2017 to Feb 12, 2018
  • Discretionary RAUM · $163M to $184M
    Mar 27, 2017 to Feb 12, 2018
  • HNW RAUM · unset to 147189737.0
    Mar 27, 2017 to Feb 12, 2018
  • Individual RAUM · unset to 36457818.0
    Mar 27, 2017 to Feb 12, 2018
Signals
2 dated events
  • Argosy Wealth Management reported RAUM $286.8M, up 56% from $183.6M (2018-08-23 to 2019-03-28)
    Mar 28, 2019 · RAUM change · derived
  • Argosy Wealth Management filed its initial SEC registration (Form ADV)
    Mar 11, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026