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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••• A••••••• • S••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Aug 28, 2012 · 43 filings
SEC status approved since Sep 5, 2006
RAUM
$687M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
99%
$682M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$43.0M
derived; firm RAUM over IAPD count
Employees
21
14 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$687M as of Jul 9, 2026
Aug 28, 2012$191M then
HNW client RAUM$511M as of Jul 9, 2026
Sep 27, 2018$136M then
State-registered IARs (5.B.3)14 as of Jul 9, 2026
Sep 27, 20130 then
Employees (5.A)21 as of Jul 9, 2026
Sep 27, 201317 then
Private funds2 as of Mar 26, 2024
Aug 28, 20124 then
RAUM +7.5% over the last fiscal year+15% a year over threeIARs 18 to 14
Practice profile
derived from the filing of Sep 17, 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
- RAUM per advisor
- $43.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $250,136derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%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 advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$511M74%
- Individuals$171M25%
- Charitable organizations$5.5M0.8%
- Individual clients
- 438reported
- HNW clients
- 225reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 2,748reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• L••••• B••••••Certified Financial Planner | Westlake Village, Ca | Oct 4, 2001 | 43 y | 0 |
| R•••••• P••• S•••••Certified Financial Planner | Westlake Village, Ca | May 29, 2007 | 30 y | 0 |
| J•••••• T••••• G••••••••• | Westlake Village, Ca | Dec 3, 2007 | 28 y | 0 |
| P•••••• K•••• M••••••• | Westlake Village, Ca | Oct 31, 2008 | 33 y | 1 |
| H••• D••••• P•••••Certified Financial Planner | Westlake Village, Ca | Dec 3, 2009 | 25 y | 2 |
| J•• A••••• R••••••Certified Financial Planner | Westlake Village, Ca | Mar 24, 2015 | 30 y | 1 |
| V•••• A••••• L••••••Certified Financial Planner | Westlake Village, Ca | Dec 18, 2019 | 15 y | 0 |
| B••••••• R••• S••••••Certified Financial Planner | Westlake Village, Ca | Jul 28, 2020 | 15 y | 0 |
| C••••••••• J••• T••••Certified Financial Planner | Westlake Village, Ca | Jun 22, 2022 | 10 y | 3 |
| E•••• M••••••• S•••Certified Financial Planner | Westlake Village, Ca | Oct 26, 2023 | 17 y | 1 |
| S••• N••••••• S•••••• | Westlake Village, Ca | Aug 13, 2024 | 13 y | 0 |
| C•••••• A• L••• | Mesa, Az | Sep 23, 2024 | 22 y | 0 |
| R••••• J••••• K••••• | Westlake Village, Ca | Jan 3, 2025 | 24 y | 2 |
| L••• M•••• D••• C••• | Westlake Village, Ca | Mar 4, 2025 | 22 y | 0 |
| A•••••• R•• H••••••• | Westlake Village, Ca | May 8, 2026 | 10 y | 0 |
| S•••••• A••••• M••••••• | Westlake Village, Ca | Aug 3, 2026 | 22 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- N••• T••••• U•••• to A••• A•••••••• L••Apr 24, 2026 · RIA to RIA
- A••• J•••• S•••• to M•••••• W••••• M••••••••• L•Jan 5, 2026 · RIA to RIA
- S••••• D•••• K••••••• to I•••••••• F•••••••• C•••••••••Oct 4, 2022 · RIA to RIA
- R••• F••••••• D••••••••• to A••••••••• F•••••••• S•••••••• L••Oct 4, 2022 · RIA to affiliated broker-dealer or bank
- J•••• L•• G••••• to E•••• I••••• F••••••••Feb 4, 2022 · Other
- A•••••••• F•••••••• G••• to F••••• I•••••••••Dec 5, 2019 · RIA to RIA
- C••••••••• J••• T•••• to C••••••••• F•••••••• N••••••Feb 8, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• D• M•••••• to M•• W••••• S•••••••Nov 5, 2013 · Other
- M•••••• E••• G••••• to M•• W••••• S•••••••Oct 11, 2013 · Other
- A•••• R•••••• S•••••• to Q•• F•••••••• L••May 29, 2008 · Other
Joined, latest
- R••••• J••••• K••••• from P••••••••• A••••••• S••••••• L••Jan 3, 2025 · RIA to RIA
- N••• T••••• U•••• from D•••• S• R•••••••Oct 26, 2023 · RIA to RIA
- E•••• M••••••• S••• from D•••• S• R•••••••Oct 26, 2023 · RIA to RIA
- C••••••••• J••• T•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• L•• G••••• from S•••••••• F•••••••• S••••••••• I•••Jan 26, 2022 · RIA to RIA
- R••• F••••••• D••••••••• from M••••• A•••••••• L••Feb 4, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•• A••••• R•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 24, 2015 · Other
- H••• D••••• P••••• from S••••••••• A•••••• A•••••••• I•••Dec 3, 2009 · Other
- P•••••• K•••• M••••••• from O•••• F•• I•••Oct 31, 2008 · Other
- C••••••••• D• M•••••• from 1•• G••••• A••••••• I••Oct 28, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from D•••• S• R•••••••Sep 29, 2023 · Valencia, Ca
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• L•••••• P•••••••• L•no longer reported | Real Estate Fund | $19.5M | 71 | Sep 27, 2013 |
| S•••••••• G••••• P••••••••• L•no longer reported | Hedge Fund | $10.0M | 51 | Aug 28, 2012 |
| S•••••••• I••••• P••••••••• L•no longer reported | Hedge Fund | $8.5M | 52 | Aug 28, 2012 |
| A••••••••• I••••••••• P••••••••• L• | Private Equity Fund | $5.6M | 47 | Aug 28, 2012 |
| S••••• V•••• P••••••••• L• | Hedge Fund | $5.5M | 39 | Aug 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J••••••• T••••• · Chief Compliance Officercontrolsince 10/2013 · owns less than 5%
- S•••••• J••••• V•••••• · Chief Financial Officercontrolsince 11/1997 · owns less than 5%
- S•••••• R••••••• P••• · Presidentcontrolsince 09/2022 · owns less than 5%
- S•••••• J••••• V•••••• · Cfocontrolsince 08/2013 · owns 25% to 50% of S•••••• J••••• V••••••
- S•••••• R••••••• P••• · Presidentcontrolsince 08/2013 · owns 25% to 50% of S•••••• R••••••• P•••
- S•••••• R••••••• P••• · Chairmancontrolsince 07/1987 · owns 25% to 50% of S•••••• R••••••• P•••
Entity owners
- A••••••• F•••••••• G••••• I••• · Parent Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• R••••• C••••••investment companyy
- A••••••• E••••••• I•••investment adviserinsurancey
- A••••••• F•••••••• G••••• I•••pooled vehicle sponsory
- C•••••• A••• M••••••••• L••y
- C•••••• F••• I• M••••••••• L••y
- C•••••• F••• V• M••••••••• L••y
- C•••••• M••••••••• M••••••••• L••y
- C•••••• R•••• M••••••••• L••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 16 | 2 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Camarillo, CA1 employees
- Meridian, ID1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 9, 2026 to Sep 17, 2026
- Succession · false to unsetJul 9, 2026 to Sep 17, 2026
- Accounts · 2,728 to 2,748Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 16 to 14Mar 28, 2025 to Mar 31, 2026
- Charity clients · 13 to 12Mar 28, 2025 to Mar 31, 2026
- HNW clients · 198 to 225Mar 28, 2025 to Mar 31, 2026
- Individual clients · 456 to 438Mar 28, 2025 to Mar 31, 2026
- Employees · 25 to 21Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 18 to 14Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $341M to $393MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $455M to $511MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $180M to $171MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $298M to $295MMar 28, 2025 to Mar 31, 2026
- RAUM · $639M to $687MMar 28, 2025 to Mar 31, 2026
- Accounts · 2,604 to 2,728Jun 28, 2024 to Mar 28, 2025
- Advisory activities · 7 to 6Jun 28, 2024 to Mar 28, 2025
- Charity clients · 11 to 13Jun 28, 2024 to Mar 28, 2025
- HNW clients · 268 to 198Jun 28, 2024 to Mar 28, 2025
- Individual clients · 417 to 456Jun 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 2.0 to unsetJun 28, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Jun 28, 2024 to Mar 28, 2025
- Other offices · 6 to 4Jun 28, 2024 to Mar 28, 2025
- Private funds · 2 to unsetJun 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $330M to $341MJun 28, 2024 to Mar 28, 2025
- HNW RAUM · $481M to $455MJun 28, 2024 to Mar 28, 2025
- Individual RAUM · $118M to $180MJun 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $279M to $298MJun 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · 5977572.0 to unsetJun 28, 2024 to Mar 28, 2025
- RAUM · $608M to $639MJun 28, 2024 to Mar 28, 2025
- Accounts · 2,010 to 2,604Nov 3, 2023 to Mar 26, 2024
- Advisory employees · 15 to 16Nov 3, 2023 to Mar 26, 2024
- Charity clients · 9 to 11Nov 3, 2023 to Mar 26, 2024
- HNW clients · 151 to 268Nov 3, 2023 to Mar 26, 2024
- Individual clients · 337 to 417Nov 3, 2023 to Mar 26, 2024
- Other offices · 2 to 6Nov 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $205M to $330MNov 3, 2023 to Mar 26, 2024
- HNW RAUM · $323M to $481MNov 3, 2023 to Mar 26, 2024
- Individual RAUM · $122M to $118MNov 3, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $249M to $279MNov 3, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $7.6M to $6.0MNov 3, 2023 to Mar 26, 2024
Signals
8 dated events
- N••• T••••• U•••• left A••••••• A••••••• • S••••••••• L•• for A••• A•••••••• L•• (registered 2026-04-26)Apr 24, 2026 · Advisor changed firm · fact
- A••• J•••• S•••• left A••••••• A••••••• • S••••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2026-01-27)Jan 5, 2026 · Advisor changed firm · fact
- A••••••• A••••••• • S••••••••• L•• reported RAUM $608.4M, up 34% from $454.4M (2023-11-03 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- 2 advisors left D•••• S• R••••••• (Valencia, CA) for A••••••• A••••••• • S••••••••• L•• on the same daySep 29, 2023 · Team lift-out · derived
- S••••• D•••• K••••••• left A••••••• A••••••• • S••••••••• L•• for I•••••••• F•••••••• C••••••••• (registered 2022-10-07)Oct 4, 2022 · Advisor changed firm · fact
- R••• F••••••• D••••••••• left A••••••• A••••••• • S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-12-07)Oct 4, 2022 · Advisor changed firm · fact
- A••••••• A••••••• • S••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 30, 2022 · Succession (Item 4) · fact
- J•••• L•• G••••• left A••••••• A••••••• • S••••••••• L•• for E•••• I••••• F•••••••• (registered 2022-04-12)Feb 4, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- A••••••• A••••••• • S••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@a•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-367-3255reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-371-8020reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/alliance-advisory-&-securities-inc-/posreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-371-8020reportedpublic record, Form ADV, Sep 17, 2026
- Team page
- a•••••••.comreportedpublished 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
- $43.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A••••••• A••••••• • S••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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