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•••••••• F•••••••• A•••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Mar 25, 2016 · 28 filings
SEC status approved since May 18, 2016
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.2B as of Feb 25, 2026
Jan 27, 2017$406M then
HNW client RAUM$1.0B as of Feb 25, 2026
Mar 6, 2018$410M then
State-registered IARs (5.B.3)8 as of Feb 25, 2026
Jan 27, 20175 then
Employees (5.A)16 as of Feb 25, 2026
Jan 27, 20178 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Feb 25, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $480,388derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%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
- Wrap fee program
- $237MreportedItem 5.I
- Custody
- $52.3M, 68 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B83%
- Individuals$130M11%
- Pension and profit-sharing plans$79.0M6.4%
- Individual clients
- 328reported
- HNW clients
- 267reported
- Pension plan clients
- 36reported
- Charitable clients
- n/areported
- Accounts
- 2,575reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $95.7M sponsored, $0 managedreported
- Custody of client assets
- $52.3M for 68 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• W•••• H••••• | Santa Barbara, Ca | May 18, 2016 | 31 y | 2 |
| A••••• G••••• S•••••• | Santa Barbara, Ca | May 18, 2016 | 36 y | 2 |
| J••••• R•••••• W••••••Certified Financial Planner | Santa Barbara, Ca | May 18, 2016 | 31 y | 2 |
| D••••• G•••••• D•••Certified Financial Planner | Santa Barbara, Ca | May 18, 2016 | 25 y | 2 |
| J••• A••••• L••••• | Santa Barbara, Ca | May 18, 2016 | 30 y | 2 |
| C••• A•••• M•••••Certified Financial Planner | Santa Barbara, Ca | Apr 25, 2017 | 15 y | 0 |
| M•••••• E•• K•• Y•••Certified Financial Planner | Santa Barbara, Ca | Sep 28, 2023 | 10 y | 0 |
| A•••••• M••••Certified Financial Planner | Santa Barbara, Ca | Oct 24, 2023 | 11 y | 1 |
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
- A•••••• M•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 24, 2023 · Wirehouse to independent RIA
- A••••• G••••• S•••••• from W•••• F•••• A•••••••May 18, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• A••••• L••••• from W•••• F•••• A•••••••May 18, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D••••• G•••••• D••• from W•••• F•••• A•••••••May 18, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• R•••••• W•••••• from W•••• F•••• A•••••••May 18, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•••••• W•••• H••••• from W•••• F•••• A•••••••May 18, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from W•••• F•••• A•••••••Jun 21, 2016 · Santa Barbara, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• D•••••• G•••••• · Managing Membercontrolsince 04/2016 · owns 10% to 25%
- H•••••• R••••••• W•••• · Managing Membercontrolsince 04/2016 · owns 10% to 25%
- L•••••• J•••• A••••• · Managing Member & Chief Compliance Officercontrolsince 04/2016 · owns 10% to 25%
- S••••••• A•••••• G••••• · Managing Membercontrolsince 04/2016 · owns 10% to 25%
- W••••••• J•••••• R•••••• · Managing Membercontrolsince 04/2016 · owns 10% to 25%
- M•••••• C•••• A•••• · Managing Membersince 01/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 25, 2026accounts (Item 5.F.2.f) moved from 1,707.0 to 2,575.0 (+51.0%) between the annual amendments of 2025-03-11 and 2026-02-25; the peer median change was +6.0% (1206 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 1,707 to 2,575Jul 30, 2025 to Feb 25, 2026
- HNW clients · 338 to 267Jul 30, 2025 to Feb 25, 2026
- Individual clients · 210 to 328Jul 30, 2025 to Feb 25, 2026
- Pension plan clients · 43 to 36Jul 30, 2025 to Feb 25, 2026
- Assets in custody · $395M to $52.3MJul 30, 2025 to Feb 25, 2026
- Employees · 15 to 16Jul 30, 2025 to Feb 25, 2026
- Discretionary RAUM · $1.0B to $1.2BJul 30, 2025 to Feb 25, 2026
- HNW RAUM · $906M to $1.0BJul 30, 2025 to Feb 25, 2026
- Individual RAUM · $62.2M to $130MJul 30, 2025 to Feb 25, 2026
- Pension RAUM · $76.0M to $79.0MJul 30, 2025 to Feb 25, 2026
- RAUM · $1.0B to $1.2BJul 30, 2025 to Feb 25, 2026
- Wrap assets (sponsor) · $85.0M to $95.7MJul 30, 2025 to Feb 25, 2026
- Financial planning clients · 1-10 to 1-10Mar 11, 2025 to Jul 30, 2025
- Accounts · 1,810 to 1,707Mar 18, 2024 to Mar 11, 2025
- HNW clients · 399 to 338Mar 18, 2024 to Mar 11, 2025
- Individual clients · 91 to 210Mar 18, 2024 to Mar 11, 2025
- Pension plan clients · 54 to 43Mar 18, 2024 to Mar 11, 2025
- Employees · 102 to 15Mar 18, 2024 to Mar 11, 2025
- Discretionary RAUM · $945M to $1.0BMar 18, 2024 to Mar 11, 2025
- HNW RAUM · $838M to $906MMar 18, 2024 to Mar 11, 2025
- Individual RAUM · $17.0M to $62.2MMar 18, 2024 to Mar 11, 2025
- Pension RAUM · $90.0M to $76.0MMar 18, 2024 to Mar 11, 2025
- RAUM · $945M to $1.0BMar 18, 2024 to Mar 11, 2025
- Wrap assets (sponsor) · $83.0M to $85.0MMar 18, 2024 to Mar 11, 2025
- Accounts · 1,627 to 1,810Mar 17, 2023 to Mar 18, 2024
- Advisory employees · 6 to 8Mar 17, 2023 to Mar 18, 2024
- HNW clients · 421 to 399Mar 17, 2023 to Mar 18, 2024
- Individual clients · 24 to 91Mar 17, 2023 to Mar 18, 2024
- Pension plan clients · 45 to 54Mar 17, 2023 to Mar 18, 2024
- Assets in custody · $74.0M to $395MMar 17, 2023 to Mar 18, 2024
- Employees · 10 to 102Mar 17, 2023 to Mar 18, 2024
- Financial planning clients · 0 to 1-10Mar 17, 2023 to Mar 18, 2024
- State-registered IARs · 6 to 8Mar 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $741M to $945MMar 17, 2023 to Mar 18, 2024
- HNW RAUM · $642M to $838MMar 17, 2023 to Mar 18, 2024
- Individual RAUM · $10.5M to $17.0MMar 17, 2023 to Mar 18, 2024
- Pension RAUM · $88.0M to $90.0MMar 17, 2023 to Mar 18, 2024
- RAUM · $741M to $945MMar 17, 2023 to Mar 18, 2024
- Wrap assets (sponsor) · $0 to $83.0MMar 17, 2023 to Mar 18, 2024
- Accounts · 1,598 to 1,627Nov 18, 2022 to Mar 15, 2023
Signals
2 dated events
- A•••••••• F•••••••• A•••••••• L•• reported RAUM $944.5M, up 28% from $740.7M (2023-03-17 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- A•••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 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/arlington-financial-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A••••••••FINANCIALADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (805) 699-7300reportedpublic record, Form ADV, Feb 25, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026