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
R•••••• P••• F••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 21, 2016 · 29 filings
SEC status approved since Jan 25, 2017
RAUM
$433M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$433M as of Mar 20, 2026
Apr 2, 2018$22.4M then
HNW client RAUM$0 as of Mar 20, 2026
Apr 2, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Apr 2, 20183 then
Employees (5.A)7 as of Mar 20, 2026
Apr 2, 20186 then
Private funds: no history
RAUM +9.0% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $86.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$433M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- A•••••• C••••••• M•••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- Y••••• D••••• N•• · Chief Executive Officercontrolsince 05/2016 · owns less than 5%
- G••••• S•••••• G•••• · Trusteecontrolsince 08/2009 · owns F of T•• A•••••• G••••• L••
- Y••••• D••••• N•• · Trusteecontrolsince 08/2009 · owns F of T•• A•••••• G••••• L••
Entity owners
- T•• A•••••• G••••• L•• · Memberdirect · owns 75% or more
- T•• D•••• Y•••• A•• S••••• G• G•••• F••••• T•••• · Managing Memberindirect · owns 75% or more of T•• A•••••• G••••• L••
Related persons
Schedule D 7.A
- A•••••• C•••••• M••••••••• L••investment advisernRAUM $2.2B
Advisers that list R•••••• P••• F••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 5Mar 31, 2025 to Mar 20, 2026
- Discretionary RAUM · $397M to $433MMar 31, 2025 to Mar 20, 2026
- RAUM · $397M to $433MMar 31, 2025 to Mar 20, 2026
- Employees · 8 to 7Oct 3, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Oct 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $348M to $397MOct 3, 2024 to Mar 31, 2025
- RAUM · $348M to $397MOct 3, 2024 to Mar 31, 2025
- Insurance-licensed employees · 3 to 4May 2, 2024 to May 3, 2024
- HQ city · NEWPORT BEACH to IRVINEMay 2, 2024 to May 3, 2024
- Accounts · 11 to 9Apr 30, 2024 to May 2, 2024
- Insurance-licensed employees · 0 to 3Apr 30, 2024 to May 2, 2024
- Financial planning clients · 1-10 to 0Apr 30, 2024 to May 2, 2024
- State-registered IARs · 2 to 0Apr 30, 2024 to May 2, 2024
- Discretionary RAUM · $361M to $348MApr 30, 2024 to May 2, 2024
- RAUM · $361M to $348MApr 30, 2024 to May 2, 2024
- Accounts · 6 to 11Jan 11, 2024 to Mar 26, 2024
- Discretionary RAUM · $430M to $361MJan 11, 2024 to Mar 26, 2024
- RAUM · $430M to $361MJan 11, 2024 to Mar 26, 2024
- Accounts · 5 to 6May 12, 2022 to Mar 24, 2023
- Advisory activities · 3 to 2May 12, 2022 to Mar 24, 2023
- Discretionary RAUM · $340M to $430MMay 12, 2022 to Mar 24, 2023
- RAUM · $340M to $430MMay 12, 2022 to Mar 24, 2023
- Advisory employees · 2 to 4Apr 21, 2021 to Mar 30, 2022
- Advisory activities · 2 to 3Apr 21, 2021 to Mar 30, 2022
- Employees · 6 to 8Apr 21, 2021 to Mar 30, 2022
- Discretionary RAUM · $256M to $340MApr 21, 2021 to Mar 30, 2022
- RAUM · $256M to $340MApr 21, 2021 to Mar 30, 2022
- Discretionary RAUM · $237M to $256MApr 20, 2021 to Apr 20, 2021
- RAUM · $237M to $256MApr 20, 2021 to Apr 20, 2021
- Discretionary RAUM · $252M to $237MOct 6, 2020 to Mar 29, 2021
- RAUM · $252M to $237MOct 6, 2020 to Mar 29, 2021
- Accounts · 4 to 5Jul 20, 2020 to Oct 6, 2020
- Discretionary RAUM · $100M to $252MJul 20, 2020 to Oct 6, 2020
- RAUM · $100M to $252MJul 20, 2020 to Oct 6, 2020
- Accounts · 3 to 4Mar 30, 2019 to Mar 31, 2020
- Discretionary RAUM · $62.3M to $100MMar 30, 2019 to Mar 31, 2020
- RAUM · $62.3M to $100MMar 30, 2019 to Mar 31, 2020
- Advisory employees · 3 to 2Apr 2, 2018 to Mar 30, 2019
- Advisory activities · 1 to 2Apr 2, 2018 to Mar 30, 2019
- BD registered reps · 1 to 0Apr 2, 2018 to Mar 30, 2019
Signals
5 dated events
- R•••••• P••• F••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $433.0M)Aug 3, 2026 · Left the SEC roster · derived
- Marie Cynthia Aragon (Chief Compliance Officer) appeared on Schedule A of R•••••• P••• F••••• L••Jan 11, 2024 · Control person joined · fact
- Nmn Jean Simpson (Chief Compliance Officer) no longer on Schedule A of R•••••• P••• F••••• L•• (listed 2023-03-24, absent 2024-01-11)Jan 11, 2024 · Control person left · inference
- R•••••• P••• F••••• L•• reported RAUM $251.7M, up 151% from $100.2M (2020-07-20 to 2020-10-06)Oct 6, 2020 · RAUM change · derived
- R•••••• P••• F••••• L•• filed its initial SEC registration (Form ADV)Dec 21, 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026