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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Former SEC-registered adviser

M•••••• W••••• M••••••••• L••

Former SEC-registered adviserWestlake Village, CaliforniaCRD 282687SEC 801-107469IAPD
Latest filing May 8, 2018
First filing on the tape Mar 15, 2016 · 16 filings
RAUM
$54.9M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$54.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$54.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$150M as of Jan 3, 2018
Mar 22, 2017$149M then
HNW client RAUM: $142M
State-registered IARs (5.B.3)2 as of Jan 3, 2018
Mar 22, 20173 then
Employees (5.A)3 as of Jan 3, 2018
Mar 22, 20173 then
Private funds: no history
RAUM -63% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of May 8, 2018; every figure names its basis
RAUM per advisor
$54.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
110derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$481,421derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.6%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$110MreportedItem 5.I
Custody
$46.8M, 258 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$37.9M69%
  • Individuals$16.1M29%
  • Pension and profit-sharing plans$910,0001.7%
Individual clients
79reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
114reported
Financial planning clients
0reported
Wrap fee programs
$54.9M sponsored, $54.9M managedreported
Custody of client assets
$46.8M for 258 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••••• L• T••••••••Certified Financial Planner, Chartered Financial AnalystLas Vegas, NvApr 15, 201624 y3
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
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
    • S••••••• T•••••• A••• · Chief Compliance Officercontrol
      since 04/2016 · owns less than 5%
    • T••••••••• J•••••••• L• · Managing Membercontrol
      since 04/2016 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Newport Beach, CA1 employees
    What changed
    consecutive filings, newest first
    • Wrap assets (manager) · $138M to $54.9M
      Apr 13, 2018 to Apr 27, 2018
    • Wrap assets (sponsor) · $138M to $54.9M
      Apr 13, 2018 to Apr 27, 2018
    • Accounts · 473 to 114
      Apr 2, 2018 to Apr 13, 2018
    • HNW clients · 45 to 31
      Apr 2, 2018 to Apr 13, 2018
    • Individual clients · 95 to 79
      Apr 2, 2018 to Apr 13, 2018
    • Discretionary RAUM · $138M to $54.0M
      Apr 2, 2018 to Apr 13, 2018
    • HNW RAUM · $142M to $37.9M
      Apr 2, 2018 to Apr 13, 2018
    • Individual RAUM · $6.7M to $16.1M
      Apr 2, 2018 to Apr 13, 2018
    • Non-discretionary RAUM · $12.2M to $910,000
      Apr 2, 2018 to Apr 13, 2018
    • Pension RAUM · $1.2M to $910,000
      Apr 2, 2018 to Apr 13, 2018
    • RAUM · $150M to $54.9M
      Apr 2, 2018 to Apr 13, 2018
    • Assets in custody · unset to 46827931.0
      Jan 5, 2018 to Apr 2, 2018
    • Custody of client assets · false to true
      Jan 5, 2018 to Apr 2, 2018
    • Employees · 3 to 2
      Jan 5, 2018 to Apr 2, 2018
    • HQ city · AGOURA HILLS to WESTLAKE VILLAGE
      Jan 5, 2018 to Apr 2, 2018
    • Accounts · 445 to 473
      Jun 26, 2017 to Jan 3, 2018
    • Advisory employees · 3 to 2
      Jun 26, 2017 to Jan 3, 2018
    • Advisory activities · 3 to 4
      Jun 26, 2017 to Jan 3, 2018
    • BD registered reps · 3 to 2
      Jun 26, 2017 to Jan 3, 2018
    • HNW clients · unset to 45.0
      Jun 26, 2017 to Jan 3, 2018
    • Individual clients · unset to 95.0
      Jun 26, 2017 to Jan 3, 2018
    • Financial planning clients · 26-50 to 0
      Jun 26, 2017 to Jan 3, 2018
    • State-registered IARs · 3 to 2
      Jun 26, 2017 to Jan 3, 2018
    • Other offices · unset to 1.0
      Jun 26, 2017 to Jan 3, 2018
    • Discretionary RAUM · $136M to $138M
      Jun 26, 2017 to Jan 3, 2018
    • HNW RAUM · unset to 142400000.0
      Jun 26, 2017 to Jan 3, 2018
    • Individual RAUM · unset to 6700000.0
      Jun 26, 2017 to Jan 3, 2018
    • Non-discretionary RAUM · $13.5M to $12.2M
      Jun 26, 2017 to Jan 3, 2018
    • Pension RAUM · unset to 1200000.0
      Jun 26, 2017 to Jan 3, 2018
    • RAUM · $149M to $150M
      Jun 26, 2017 to Jan 3, 2018
    • Wrap assets (manager) · unset to 137500000.0
      Jun 26, 2017 to Jan 3, 2018
    • Wrap assets (sponsor) · unset to 137500000.0
      Jun 26, 2017 to Jan 3, 2018
    • Accounts · 410 to 445
      Dec 14, 2016 to Mar 22, 2017
    • Financial planning clients · 0 to 26-50
      Dec 14, 2016 to Mar 22, 2017
    • Discretionary RAUM · $115M to $136M
      Dec 14, 2016 to Mar 22, 2017
    • Non-discretionary RAUM · $18.8M to $13.5M
      Dec 14, 2016 to Mar 22, 2017
    • RAUM · $133M to $149M
      Dec 14, 2016 to Mar 22, 2017
    • Accounts · 0 to 410
      Apr 15, 2016 to Jul 18, 2016
    • Advisory activities · 4 to 3
      Apr 15, 2016 to Jul 18, 2016
    • Business name · A••••• A•••••••• L•• to M•••••• W••••• M••••••••• L••
      Apr 15, 2016 to Jul 18, 2016
    Signals
    1 dated events
    • A••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 15, 2016 · 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
    Firm profile
    linkedin.com/company/monocot-wealth-managementreportedpublic record, Form ADV, Sep 19, 2026
    Website
    M••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $54.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026