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
T••••• W••••• P•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Sep 21, 2016 · 41 filings
SEC status approved since Nov 7, 2016
RAUM
$699M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$671M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$699M as of Mar 16, 2026
Mar 8, 2017$0 then
HNW client RAUM$555M as of Mar 16, 2026
Mar 27, 2018$89.0M then
State-registered IARs (5.B.3)9 as of Mar 16, 2026
Mar 8, 20173 then
Employees (5.A)9 as of Mar 16, 2026
Mar 8, 20173 then
Private funds: no history
RAUM +38% over the last fiscal year+31% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 16, 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
- $69.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $399,420derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $22.1M, 7 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$555M79%
- Individuals$115M17%
- Pension and profit-sharing plans$28.9M4.1%
- Individual clients
- 401reported
- HNW clients
- 282reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,751reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.1M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• M•••••• G••••••• | Irvine, Ca | Nov 7, 2016 | 27 y | 3 |
| J•••• B••••• W••••Certified Financial Planner | Irvine, Ca | Nov 7, 2016 | 25 y | 1 |
| J••••••• Y• Y••Certified Financial Planner | Irvine, Ca | Mar 28, 2017 | 10 y | 0 |
| D••••• L•••• C•••• | Irvine, Ca | May 28, 2021 | 28 y | 5 |
| J••••• J••• S••• | Irvine, Ca | Feb 14, 2022 | 34 y | 4 |
| G••• T••••• H•••••• | Irvine, Ca | Aug 19, 2022 | 30 y | 3 |
| C••••• N•••••Certified Financial Planner | Irvine, Ca | Dec 26, 2023 | 14 y | 2 |
| S••••• B•••• S•••••• | Irvine, Ca | Jan 1, 2025 | 35 y | 3 |
| M•••••• R••••• C•••• | Irvine, Ca | Jun 11, 2025 | 12 y | 0 |
| B••• C••••• | Irvine, Ca | Apr 29, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- J••••• E••• P••••••• to P•••••••• W••••• M•••••••••Apr 5, 2024 · RIA to a state-registered adviser
- B•••• A•••• B••• to B••• F•••••••• P•••••••Jun 20, 2023 · RIA to a state-registered adviser
Joined, latest
- B••• C••••• from S•••••••• A••••••• L••Apr 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- S••••• B•••• S•••••• from A••••••••• F•••••••• S•••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••••• N••••• from M••••• W••••• M••••••••• I•••Dec 26, 2023 · RIA to RIA
- B•••• A•••• B••• from O••••• I••••••••• A••••••• L••Apr 17, 2023 · RIA to RIA
- G••• T••••• H•••••• from A••••••••• F•••••••• S•••••••• L••Aug 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• J••• S••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 14, 2022 · Wirehouse to independent RIA
- D••••• L•••• C•••• from S•••••• N••••••• • C••••••• I•••••••••May 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• E••• P••••••• from P••••••• F•••••••• L••May 13, 2019 · Other
- J•••• B••••• W•••• from A••••••••• F•••••••• S•••••••• L••Nov 7, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• M•••••• G••••••• from A••••••••• F•••••••• S•••••••• L••Nov 7, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• F•••••••• S•••••••• L••Nov 8, 2016 · Newport Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• S••••••• M•••••• · Chief Executive Officer/ Managing Membercontrolsince 10/2016 · owns 25% to 50%
- S••••••• S•••••• B•••• · Managing Member & Chief Compliance Officercontrolsince 10/2016 · owns 25% to 50%
- W••••• J••••• B••••• · Managing Membercontrolsince 10/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 10 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $506,514,848 to $699,383,573 (+38.0%) between the annual amendments of 2025-03-04 and 2026-03-16; the peer median change was +16.0% (1385 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 1,620 to 1,751Mar 4, 2025 to Mar 16, 2026
- Advisory employees · 8 to 9Mar 4, 2025 to Mar 16, 2026
- HNW clients · 388 to 282Mar 4, 2025 to Mar 16, 2026
- Individual clients · 263 to 401Mar 4, 2025 to Mar 16, 2026
- Assets in custody · $14.5M to $22.1MMar 4, 2025 to Mar 16, 2026
- State-registered IARs · 8 to 9Mar 4, 2025 to Mar 16, 2026
- Discretionary RAUM · $479M to $669MMar 4, 2025 to Mar 16, 2026
- HNW RAUM · $393M to $555MMar 4, 2025 to Mar 16, 2026
- Individual RAUM · $91.9M to $115MMar 4, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $27.6M to $30.8MMar 4, 2025 to Mar 16, 2026
- Pension RAUM · $22.0M to $28.9MMar 4, 2025 to Mar 16, 2026
- RAUM · $507M to $699MMar 4, 2025 to Mar 16, 2026
- Accounts · 1,654 to 1,620Nov 1, 2024 to Mar 4, 2025
- Advisory employees · 10 to 8Nov 1, 2024 to Mar 4, 2025
- HNW clients · 367 to 388Nov 1, 2024 to Mar 4, 2025
- Individual clients · 252 to 263Nov 1, 2024 to Mar 4, 2025
- Assets in custody · $2.1M to $14.5MNov 1, 2024 to Mar 4, 2025
- Employees · 11 to 9Nov 1, 2024 to Mar 4, 2025
- Financial planning clients · 1-10 to 1-10Nov 1, 2024 to Mar 4, 2025
- State-registered IARs · 11 to 8Nov 1, 2024 to Mar 4, 2025
- Discretionary RAUM · $335M to $479MNov 1, 2024 to Mar 4, 2025
- HNW RAUM · $317M to $393MNov 1, 2024 to Mar 4, 2025
- Individual RAUM · $80.7M to $91.9MNov 1, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $65.9M to $27.6MNov 1, 2024 to Mar 4, 2025
- Pension RAUM · $2.4M to $22.0MNov 1, 2024 to Mar 4, 2025
- RAUM · $400M to $507MNov 1, 2024 to Mar 4, 2025
- Accounts · 1,710 to 1,654Apr 17, 2023 to Mar 20, 2024
- Advisory employees · 11 to 10Apr 17, 2023 to Mar 20, 2024
- Corporate clients · 1.0 to unsetApr 17, 2023 to Mar 20, 2024
- HNW clients · 232 to 367Apr 17, 2023 to Mar 20, 2024
- Individual clients · 332 to 252Apr 17, 2023 to Mar 20, 2024
- Pension plan clients · 2.0 to unsetApr 17, 2023 to Mar 20, 2024
- Assets in custody · $112,000 to $2.1MApr 17, 2023 to Mar 20, 2024
- Insurance-licensed employees · 1 to 0Apr 17, 2023 to Mar 20, 2024
- Discretionary RAUM · $282M to $335MApr 17, 2023 to Mar 20, 2024
- HNW RAUM · $249M to $317MApr 17, 2023 to Mar 20, 2024
- Individual RAUM · $61.0M to $80.7MApr 17, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $30.8M to $65.9MApr 17, 2023 to Mar 20, 2024
- Pension RAUM · $2.2M to $2.4MApr 17, 2023 to Mar 20, 2024
- RAUM · $312M to $400MApr 17, 2023 to Mar 20, 2024
Signals
5 dated events
- T••••• W••••• P•••••••• L•• reported RAUM $699.4M, up 38% from $506.5M (2025-03-04 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- T••••• W••••• P•••••••• L•• reported RAUM $506.5M, up 26% from $400.5M (2024-11-01 to 2025-03-04)Mar 4, 2025 · RAUM change · derived
- J••••• E••• P••••••• left T••••• W••••• P•••••••• L•• for P•••••••• W••••• M••••••••• (registered 2023-08-22)Apr 5, 2024 · Advisor changed firm · fact
- B•••• A•••• B••• left T••••• W••••• P•••••••• L•• for B••• F•••••••• P••••••• (registered 2024-11-18)Jun 20, 2023 · Advisor changed firm · fact
- S•• L•• filed its initial SEC registration (Form ADV)Sep 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-393-2525reportedpublic record, Form ADV, Mar 16, 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
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026