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

S•••••••• I••••••••• G••••• L••

Independent wealth managerNewport Beach, CaliforniaCRD 283414SEC 801-107671website IAPD

Latest filing Jun 2, 2026

First filing on the tape Apr 4, 2016 · 29 filings

SEC status approved since Apr 15, 2016

RAUM

$1.1B

reported, Item 5.F

Discretionary

94%

of RAUM

Private clients

87%

$934M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$153M

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM$1.1B as of Jun 2, 2026

Mar 23, 2017$158M then

HNW client RAUM$753M as of Jun 2, 2026

Feb 28, 2018$125M then

State-registered IARs (5.B.3)8 as of Jun 2, 2026

Mar 23, 20174 then

Employees (5.A)11 as of Jun 2, 2026

Mar 23, 20175 then

Private funds: no history

RAUM +22% over the last fiscal year+28% a year over threeIARs 7 to 8

Practice profile

derived from the filing of Jun 2, 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: $153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 129derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $459,072derivedRAUM over accounts (5.F.2.f)
Discretionary: 94%derivedof RAUM
Institutional: 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +14%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody: $420M, 425 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)
has custody of client securities (9.A.1.b)
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$753M70%
Individuals$181M17%
Pension and profit-sharing plans$90.9M8.5%
Insurance companies$38.0M3.5%
Corporations and businesses$9.3M0.9%
Charitable organizations$1.1M0.1%

Individual clients: 643reported
HNW clients: 259reported
Pension plan clients: 107reported
Charitable clients: 3reported
Accounts: 2,337reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $420M for 425 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.87 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

7 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M••••• R••••• C•••••••Certified Financial Planner, Chartered Financial Analyst	Newport Beach, Ca	May 6, 2016	32 y	3
J••••• M••• S••••••••	Newport Beach, Ca	May 6, 2016	17 y	2
A••••• L••••••• K•••••••	Newport Beach, Ca	Oct 24, 2016	14 y	1
A•••••• M•••••• P•••	Newport Beach, Ca	Dec 15, 2016	18 y	2
A•••• C•••••••• W•••••	Newport Beach, Ca	Dec 21, 2020	11 y	0
E••• M•••••• F••••••	Newport Beach, Ca	Jul 26, 2021	13 y	0
C•••• G•••••• E••••	Newport Beach, Ca	Sep 3, 2025	11 y	2

Advisor movement

1 left, 0 joined in 12 months

net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months

Left, latest

S•••• D•••• E••••• L••••• to E•••••• F•••••••• E••••••
Jun 24, 2026 · RIA to RIA
R•••• H•••• to F••••• C•••••• A•••••••• L••
Nov 11, 2024 · RIA to RIA
J••••••••• D••• A•••• to G•••• P••• A•••••••• L••
Jul 17, 2024 · RIA to RIA

Joined, latest

C•••• G•••••• E•••• from L•• F•••••••• L••
Sep 3, 2025 · Affiliated broker-dealer or bank to independent RIA
S•••• D•••• E••••• L••••• from M••••• S••••••
Jun 27, 2024 · Wirehouse to independent RIA
J••••••••• D••• A•••• from P••••••• M•••• M••••••••• L••
Oct 3, 2022 · Other
A•••••• M•••••• P••• from S•••••••• R•••••••• C•••••• M••••••••• L••
Dec 15, 2016 · Other
A••••• L••••••• K••••••• from S•••••••• R•••••••• C•••••• M••••••••• L••
Oct 24, 2016 · Other
M••••• R••••• C••••••• from S•••••••• R•••••••• C•••••• M••••••••• L••
May 6, 2016 · Other
J••••• M••• S•••••••• from S•••••••• R•••••••• C•••••• M••••••••• L••
May 6, 2016 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from S•••••••• R•••••••• C•••••• M••••••••• L••
Mar 29, 2018 · Newport Beach, Ca

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• M•••••• R••••• · Chief Compliance Officer And Managing Membercontrol
since 05/2016 · owns less than 5%
K•••••••• A•••••• L••••••• · Member, Cfocontrol
since 10/2019 · owns less than 5%
S••••••••• J•••••• M••• · Managing Membercontrol
since 05/2016 · owns less than 5%
C•••••••• M•••••• R••••• · Trusteecontrol
since 04/2013 · owns 50% to 75% of M••••• A•• T••••• C••••••• R•••••••• F••••• T••••
K•••••••• A•••••• L••••••• · Trusteecontrol
since 05/2018 · owns 50% to 75% of K••••••• T••••
S••••••••• J•••••• M••• · Trusteecontrol
since 10/2016 · owns 75% or more of T•• J••••• M• S•••••••• T••••
C•••••••• T••••• · Trustee
since 04/2013 · owns 50% to 75% of M••••• A•• T••••• C••••••• R•••••••• F••••• T••••
K•••••••• B••••••• · Trustee
since 05/2018 · owns 50% to 75% of K••••••• T••••

Entity owners

K••••••• T•••• · Trustee
direct · owns 25% to 50%
M••••• A•• T••••• C••••••• R•••••••• F••••• T•••• · Trustee
direct · owns 25% to 50%
T•• J••••• M• S•••••••• T•••• · Trustee
direct · owns 25% to 50%

Related persons

Schedule D 7.A

S•••• I•••••••• S•••••••• I•••
real estatey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Newport Beach, Ca · principal	7	0	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2,437 to 2,337
Oct 23, 2025 to Feb 27, 2026
Advisory employees · 7 to 8
Oct 23, 2025 to Feb 27, 2026
Charity clients · 5 to 3
Oct 23, 2025 to Feb 27, 2026
Corporate clients · 1 to 11
Oct 23, 2025 to Feb 27, 2026
HNW clients · 198 to 259
Oct 23, 2025 to Feb 27, 2026
Individual clients · 688 to 643
Oct 23, 2025 to Feb 27, 2026
Pension plan clients · 45 to 107
Oct 23, 2025 to Feb 27, 2026
Assets in custody · $52.9M to $420M
Oct 23, 2025 to Feb 27, 2026
Custody of client assets · false to true
Oct 23, 2025 to Feb 27, 2026
Employees · 10 to 11
Oct 23, 2025 to Feb 27, 2026
Financial planning clients · 1-10 to 26-50
Oct 23, 2025 to Feb 27, 2026
State-registered IARs · 7 to 8
Oct 23, 2025 to Feb 27, 2026
Discretionary RAUM · $827M to $1.0B
Oct 23, 2025 to Feb 27, 2026
HNW RAUM · $599M to $753M
Oct 23, 2025 to Feb 27, 2026
Individual RAUM · $193M to $181M
Oct 23, 2025 to Feb 27, 2026
Non-discretionary RAUM · $55.1M to $66.0M
Oct 23, 2025 to Feb 27, 2026
Pension RAUM · $52.8M to $90.9M
Oct 23, 2025 to Feb 27, 2026
RAUM · $882M to $1.1B
Oct 23, 2025 to Feb 27, 2026
Financial planning clients · 1-10 to 1-10
Jun 18, 2025 to Jul 11, 2025
Assets in custody · unset to 52866520.0
Mar 28, 2025 to Jun 18, 2025
Accounts · 2,196 to 2,437
Dec 17, 2024 to Mar 28, 2025
Advisory employees · 8 to 7
Dec 17, 2024 to Mar 28, 2025
Advisory activities · 3 to 4
Dec 17, 2024 to Mar 28, 2025
BD registered reps · 1 to 0
Dec 17, 2024 to Mar 28, 2025
Corporate clients · unset to 1.0
Dec 17, 2024 to Mar 28, 2025
HNW clients · 197 to 198
Dec 17, 2024 to Mar 28, 2025
Individual clients · 734 to 688
Dec 17, 2024 to Mar 28, 2025
Pension plan clients · 8 to 45
Dec 17, 2024 to Mar 28, 2025
State-registered IARs · 8 to 7
Dec 17, 2024 to Mar 28, 2025
Discretionary RAUM · $644M to $827M
Dec 17, 2024 to Mar 28, 2025
HNW RAUM · $429M to $599M
Dec 17, 2024 to Mar 28, 2025
Individual RAUM · $160M to $193M
Dec 17, 2024 to Mar 28, 2025
Non-discretionary RAUM · $32.7M to $55.1M
Dec 17, 2024 to Mar 28, 2025
Pension RAUM · $23.1M to $52.8M
Dec 17, 2024 to Mar 28, 2025
RAUM · $677M to $882M
Dec 17, 2024 to Mar 28, 2025
Advisory employees · 9 to 8
Jun 30, 2024 to Jul 17, 2024
Employees · 11 to 10
Jun 30, 2024 to Jul 17, 2024
State-registered IARs · 9 to 8
Jun 30, 2024 to Jul 17, 2024
Advisory employees · 8 to 9
Jan 30, 2024 to Jun 30, 2024
Employees · 10 to 11
Jan 30, 2024 to Jun 30, 2024

Signals

7 dated events

S•••• D•••• E••••• L••••• left S•••••••• I••••••••• G••••• L•• for E•••••• F•••••••• E•••••• (registered 2026-07-02)
Jun 24, 2026 · Advisor changed firm · fact
S•••••••• I••••••••• G••••• L•• reported RAUM $882.0M, up 30% from $676.8M (2024-12-17 to 2025-03-28)
Mar 28, 2025 · RAUM change · derived
R•••• H•••• left S•••••••• I••••••••• G••••• L•• for F••••• C•••••• A•••••••• L•• (registered 2024-11-01)
Nov 11, 2024 · Advisor changed firm · fact
J••••••••• D••• A•••• left S•••••••• I••••••••• G••••• L•• for G•••• P••• A•••••••• L•• (registered 2024-07-30)
Jul 17, 2024 · Advisor changed firm · fact
S•••••••• I••••••••• G••••• L•• reported RAUM $676.8M, up 32% from $514.6M (2023-02-03 to 2024-01-30)
Jan 30, 2024 · RAUM change · derived
Lawrence Andrew Krongold (Member) appeared on Schedule A of S•••••••• I••••••••• G••••• L••
Mar 13, 2020 · Control person joined · fact
M••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Apr 4, 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/12054771reportedpublic record, Form ADV, Sep 18, 2026
Website: S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: (949) 396-6700reportedpublic record, Form ADV, Jun 2, 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: $153Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026