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
F•••• A•••• M•••••••••
Legal name F•••• A•••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Aug 25, 2015 · 9 filings
SEC status approved since May 27, 2025
RAUM
$157M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
61%
$95.2M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$26.2M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$157M as of Mar 18, 2026
Apr 24, 2025$126M then
HNW client RAUM$65.4M as of Mar 18, 2026
Apr 24, 2025$57.6M then
State-registered IARs (5.B.3)6 as of Mar 18, 2026
Apr 24, 20256 then
Employees (5.A)6 as of Mar 18, 2026
Apr 24, 20256 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Mar 18, 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
- RAUM per advisor
- $26.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $963,325derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$65.4M42%
- Corporations and businesses$61.8M39%
- Individuals$29.7M19%
- Individual clients
- 71reported
- HNW clients
- 57reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 163reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.61 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• T••••••••• | San Diego, Ca | Jan 21, 2016 | 13 y | 0 |
| M••••••• G•••••••• L••• M•••••• | San Diego, Ca | Sep 11, 2017 | 11 y | 2 |
| C•••••••• U••••• M•••••••• | San Diego, Ca | Jul 21, 2022 | 15 y | 0 |
| A•••••• R••• O•••• | San Diego, Ca | Jul 21, 2022 | 15 y | 0 |
| J••• C•••• N•••• | San Diego, Ca | Jul 25, 2022 | 15 y | 0 |
| N•••••• M•••••• F•••••••• | San Diego, Ca | Aug 23, 2023 | 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• V••••••••• S•••••• K••••• · Managing Member / Chief Compliance Officercontrolsince 08/2015 · owns 5% to 10%
- L••• M••••••• M•••••••• G•••••••• · Managing Member / Chief Executive Officercontrolsince 12/2015 · owns 5% to 10%
- T••••••••• R••• · Managing Membercontrolsince 12/2015 · 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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 148 to 163Jun 23, 2025 to Mar 18, 2026
- Corporate clients · 30 to 35Jun 23, 2025 to Mar 18, 2026
- HNW clients · 55 to 57Jun 23, 2025 to Mar 18, 2026
- Individual clients · 63 to 71Jun 23, 2025 to Mar 18, 2026
- Discretionary RAUM · $120M to $150MJun 23, 2025 to Mar 18, 2026
- HNW RAUM · $57.6M to $65.4MJun 23, 2025 to Mar 18, 2026
- Individual RAUM · $27.4M to $29.7MJun 23, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $5.8M to $6.8MJun 23, 2025 to Mar 18, 2026
- RAUM · $126M to $157MJun 23, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Apr 24, 2025 to Jun 23, 2025
- Accounts · 2 to 148Jan 11, 2016 to Apr 24, 2025
- Advisory employees · 1 to 6Jan 11, 2016 to Apr 24, 2025
- BD registered reps · 1 to 0Jan 11, 2016 to Apr 24, 2025
- Charity clients · unset to 0.0Jan 11, 2016 to Apr 24, 2025
- Corporate clients · unset to 30.0Jan 11, 2016 to Apr 24, 2025
- HNW clients · unset to 55.0Jan 11, 2016 to Apr 24, 2025
- Individual clients · unset to 63.0Jan 11, 2016 to Apr 24, 2025
- Pension plan clients · unset to 0.0Jan 11, 2016 to Apr 24, 2025
- Pooled vehicle clients · unset to 0.0Jan 11, 2016 to Apr 24, 2025
- Employees · 2 to 6Jan 11, 2016 to Apr 24, 2025
- Financial planning clients · unset to 0Jan 11, 2016 to Apr 24, 2025
- HQ city · LA JOLLA to SAN DIEGOJan 11, 2016 to Apr 24, 2025
- State-registered IARs · 2 to 6Jan 11, 2016 to Apr 24, 2025
- Other offices · unset to 0.0Jan 11, 2016 to Apr 24, 2025
- Discretionary RAUM · $10.4M to $120MJan 11, 2016 to Apr 24, 2025
- HNW RAUM · unset to 57622581.0Jan 11, 2016 to Apr 24, 2025
- Individual RAUM · unset to 27445119.0Jan 11, 2016 to Apr 24, 2025
- Non-discretionary RAUM · $0 to $5.8MJan 11, 2016 to Apr 24, 2025
- RAUM · $10.4M to $126MJan 11, 2016 to Apr 24, 2025
- Discretionary RAUM · $13.4M to $10.4MJan 5, 2016 to Jan 11, 2016
- RAUM · $13.4M to $10.4MJan 5, 2016 to Jan 11, 2016
- Discretionary RAUM · $13.0M to $13.4MDec 18, 2015 to Jan 5, 2016
- RAUM · $13.0M to $13.4MDec 18, 2015 to Jan 5, 2016
- Advisory employees · 3 to 1Dec 9, 2015 to Dec 18, 2015
- BD registered reps · 3 to 1Dec 9, 2015 to Dec 18, 2015
- Employees · 4 to 2Dec 9, 2015 to Dec 18, 2015
- Discretionary RAUM · $14.5M to $13.0MDec 9, 2015 to Dec 18, 2015
- RAUM · $14.5M to $13.0MDec 9, 2015 to Dec 18, 2015
- Related adviser · true to falseDec 9, 2015 to Dec 18, 2015
- Accounts · unset to 2.0Sep 2, 2015 to Dec 9, 2015
Signals
1 dated events
- F•••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Aug 25, 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
- Business email
- c••••••@f••••.usreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-945-3192reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- F••••.USreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-945-3192reportedpublic record, Form ADV, Mar 18, 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
- $26.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026