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
A••• F•••••••• C••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Apr 13, 2021 · 28 filings
SEC status approved since May 14, 2021
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$244M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$61.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$244M as of Aug 17, 2026
Mar 16, 2022$106M then
HNW client RAUM$166M as of Aug 17, 2026
Mar 16, 2022$65.5M then
State-registered IARs (5.B.3)4 as of Aug 17, 2026
Mar 16, 20223 then
Employees (5.A)5 as of Aug 17, 2026
Mar 16, 20224 then
Private funds: no history
RAUM +26% over the last fiscal year+25% a year over threeIARs 4 to 4offices 3 to 2
Practice profile
derived from the filing of Aug 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
- i••••••••• 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
- $61.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $273,409derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- 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
- 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$166M68%
- Individuals$77.3M32%
- Charitable organizations$129,0420.1%
- Individual clients
- 243reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 892reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• T• R•••••• | Calabasas, Ca | Mar 18, 2016 | 20 y | 4 |
| N••• R•••• W••••••Certified Financial Planner | Tacoma, Wa | Aug 1, 2017 | 22 y | 2 |
| M•••••• T••••• L••••••••Certified Financial Planner | Calabasas, Ca | Oct 2, 2024 | 15 y | 4 |
| B••••••• E••• K••••••Certified Financial Planner | Calabasas, Ca | Mar 4, 2026 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- C••••••••• D••• D•••••••• to P•••••• C•••• F•••••••• L••Apr 2, 2025 · Other
- N••••• E••••• S••••••• to H••• T• T•• F•••••••• P•••••••Jun 10, 2024 · RIA to a state-registered adviser
Joined, latest
- B••••••• E••• K•••••• from 1•• G••••• A••••••• I••Mar 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• T••••• L•••••••• from M•••••• I•••••••••Oct 2, 2024 · RIA to RIA
- C••••••••• D••• D•••••••• from O•••• F•• I•••Feb 14, 2024 · Other
- N••••• E••••• S••••••• from H••• T• T•• F•••••••• P•••••••Sep 7, 2022 · Other
- N••• R•••• W•••••• from A••••••• A••••••• S•••••••Aug 1, 2017 · Other
- J•••••• T• R•••••• from B• R•••• W••••• A•••••••• I•••Mar 18, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J••••••• T• · Ceo And Ccocontrolsince 01/2016 · owns 75% or more
Related persons
Schedule D 7.A
- A••• I•••••••• B•••••••• S••••••real estaten
- P•••••• C•••• F•••••••• L••investment advisern
Advisers that list A••• F•••••••• C••••••••• L•• as a related person
- 330334 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Calabasas, Ca · principal | 4 | 1 | 0 | ||
| Hillsboro, Or | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tustin, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 780 to 892Jan 23, 2026 to Mar 2, 2026
- Advisory employees · 4 to 3Jan 23, 2026 to Mar 2, 2026
- Advisory activities · 5 to 4Jan 23, 2026 to Mar 2, 2026
- HNW clients · 33 to 46Jan 23, 2026 to Mar 2, 2026
- Individual clients · 250 to 243Jan 23, 2026 to Mar 2, 2026
- Employees · 4 to 5Jan 23, 2026 to Mar 2, 2026
- Insurance-licensed employees · 2 to 0Jan 23, 2026 to Mar 2, 2026
- Other offices · 3 to 2Jan 23, 2026 to Mar 2, 2026
- Discretionary RAUM · $193M to $244MJan 23, 2026 to Mar 2, 2026
- HNW RAUM · $123M to $166MJan 23, 2026 to Mar 2, 2026
- Individual RAUM · $70.6M to $77.3MJan 23, 2026 to Mar 2, 2026
- RAUM · $193M to $244MJan 23, 2026 to Mar 2, 2026
- Related adviser · true to falseMay 16, 2025 to Oct 27, 2025
- Financial planning clients · 101-250 to 101-250Feb 28, 2025 to May 16, 2025
- Accounts · 714 to 780Nov 19, 2024 to Feb 28, 2025
- Advisory employees · 5 to 4Nov 19, 2024 to Feb 28, 2025
- HNW clients · 24 to 33Nov 19, 2024 to Feb 28, 2025
- Individual clients · 293 to 250Nov 19, 2024 to Feb 28, 2025
- Employees · 5 to 4Nov 19, 2024 to Feb 28, 2025
- Insurance-licensed employees · 0 to 2Nov 19, 2024 to Feb 28, 2025
- HQ city · SHERMAN OAKS to CALABASASNov 19, 2024 to Feb 28, 2025
- State-registered IARs · 5 to 4Nov 19, 2024 to Feb 28, 2025
- Discretionary RAUM · $186M to $193MNov 19, 2024 to Feb 28, 2025
- HNW RAUM · $139M to $123MNov 19, 2024 to Feb 28, 2025
- Individual RAUM · $45.6M to $70.6MNov 19, 2024 to Feb 28, 2025
- RAUM · $186M to $193MNov 19, 2024 to Feb 28, 2025
- Related insurance company · true to falseNov 19, 2024 to Feb 28, 2025
- Other offices · 4 to 3Nov 4, 2024 to Nov 19, 2024
- Advisory activities · 4 to 5Oct 1, 2024 to Nov 4, 2024
- Other offices · 3 to 4Jun 11, 2024 to Oct 1, 2024
- Other offices · 4 to 3Mar 15, 2024 to Jun 11, 2024
- Advisory employees · 6 to 5Mar 6, 2024 to Mar 15, 2024
- Employees · 6 to 5Mar 6, 2024 to Mar 15, 2024
- Related adviser · false to trueMar 6, 2024 to Mar 15, 2024
- Accounts · 639 to 714Aug 2, 2023 to Mar 6, 2024
- Advisory employees · 4 to 6Aug 2, 2023 to Mar 6, 2024
- HNW clients · 42 to 24Aug 2, 2023 to Mar 6, 2024
- Individual clients · 250 to 293Aug 2, 2023 to Mar 6, 2024
- Employees · 5 to 6Aug 2, 2023 to Mar 6, 2024
- State-registered IARs · 4 to 5Aug 2, 2023 to Mar 6, 2024
Signals
3 dated events
- C••••••••• D••• D•••••••• left A••• F•••••••• C••••••••• L•• for P•••••• C•••• F•••••••• L•• (registered 2024-04-11)Apr 2, 2025 · Advisor changed firm · fact
- N••••• E••••• S••••••• left A••• F•••••••• C••••••••• L•• for H••• T• T•• F•••••••• P••••••• (registered 2024-05-24)Jun 10, 2024 · Advisor changed firm · fact
- A••• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Apr 13, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••• F•••••••• C••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 818-986-1479reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- aresfin.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-986-1479reportedpublic record, Form ADV, Aug 17, 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
- $61.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026