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
P•••• A•••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Mar 14, 2017 · 19 filings
SEC status approved since Mar 31, 2017
RAUM
$515M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$515M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$515M as of Mar 12, 2026
Feb 5, 2018$306M then
HNW client RAUM$476M as of Mar 12, 2026
Feb 5, 2018$272M then
State-registered IARs (5.B.3)5 as of Mar 12, 2026
Feb 5, 20185 then
Employees (5.A)5 as of Mar 12, 2026
Feb 5, 20185 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $715,351derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $437MreportedItem 5.I
- Custody
- $59.7M, 58 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$476M92%
- Individuals$39.5M7.7%
- Individual clients
- 153reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 720reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $59.7M for 58 clientsreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• K••••• S•••Certified Financial Planner | Studio City, Ca | Mar 31, 2017 | 21 y | 2 |
| M••••••• A••••• M•••• | Studio City, Ca | Mar 31, 2017 | 39 y | 2 |
| D•••• C•••• V•••••• | Studio City, Ca | Apr 3, 2017 | 35 y | 1 |
| R••• W•••••• H••••••Certified Financial Planner | Studio City, Ca | Jan 9, 2018 | 12 y | 3 |
| J••••• W•••••• V•• O•••• | Studio City, Ca | Aug 3, 2023 | 11 y | 0 |
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
- R••• W•••••• H•••••• from T• A••••••••• I•••Jan 9, 2018 · Other
- D•••• C•••• V•••••• from C•••••••• G••••• M•••••• I•••Apr 3, 2017 · Other
- S••••• K••••• S••• from W•••• F•••• A•••••••Mar 31, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••••• A••••• M•••• from W•••• F•••• A•••••••Mar 31, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••May 2, 2017 · Studio City, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••• L••••• · Secretarycontrolsince 06/2003 · owns 50% to 75%
- M••••• M•••••••• A••••• · Presidentcontrolsince 06/2003 · owns 50% to 75%
- S•••• S•••••• K••••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Studio City, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 697 to 720Mar 14, 2025 to Mar 12, 2026
- HNW clients · 85 to 89Mar 14, 2025 to Mar 12, 2026
- Assets in custody · $99.7M to $59.7MMar 14, 2025 to Mar 12, 2026
- Discretionary RAUM · $447M to $503MMar 14, 2025 to Mar 12, 2026
- HNW RAUM · $425M to $476MMar 14, 2025 to Mar 12, 2026
- Individual RAUM · $37.4M to $39.5MMar 14, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $14.6M to $12.1MMar 14, 2025 to Mar 12, 2026
- RAUM · $462M to $515MMar 14, 2025 to Mar 12, 2026
- Accounts · 706 to 697Jul 11, 2024 to Mar 14, 2025
- HNW clients · 76 to 85Jul 11, 2024 to Mar 14, 2025
- Individual clients · 185 to 153Jul 11, 2024 to Mar 14, 2025
- Assets in custody · $101M to $99.7MJul 11, 2024 to Mar 14, 2025
- Financial planning clients · 51-100 to 51-100Jul 11, 2024 to Mar 14, 2025
- Discretionary RAUM · $412M to $447MJul 11, 2024 to Mar 14, 2025
- HNW RAUM · $373M to $425MJul 11, 2024 to Mar 14, 2025
- Individual RAUM · $43.3M to $37.4MJul 11, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $3.9M to $14.6MJul 11, 2024 to Mar 14, 2025
- RAUM · $416M to $462MJul 11, 2024 to Mar 14, 2025
- Advisory employees · 4 to 5Mar 26, 2024 to Apr 18, 2024
- State-registered IARs · 4 to 5Mar 26, 2024 to Apr 18, 2024
- Accounts · 710 to 706Nov 8, 2023 to Mar 26, 2024
- Charity clients · unset to 0.0Nov 8, 2023 to Mar 26, 2024
- Corporate clients · unset to 0.0Nov 8, 2023 to Mar 26, 2024
- HNW clients · 85 to 76Nov 8, 2023 to Mar 26, 2024
- Individual clients · 168 to 185Nov 8, 2023 to Mar 26, 2024
- Pension plan clients · unset to 0.0Nov 8, 2023 to Mar 26, 2024
- Pooled vehicle clients · unset to 0.0Nov 8, 2023 to Mar 26, 2024
- Assets in custody · $89.6M to $101MNov 8, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 51-100Nov 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $363M to $412MNov 8, 2023 to Mar 26, 2024
- HNW RAUM · $342M to $373MNov 8, 2023 to Mar 26, 2024
- Individual RAUM · $28.4M to $43.3MNov 8, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $7.7M to $3.9MNov 8, 2023 to Mar 26, 2024
- Pension RAUM · unset to 0.0Nov 8, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · unset to 0.0Nov 8, 2023 to Mar 26, 2024
- RAUM · $371M to $416MNov 8, 2023 to Mar 26, 2024
- Accounts · 670 to 710Mar 3, 2022 to Mar 20, 2023
- Advisory employees · 5 to 4Mar 3, 2022 to Mar 20, 2023
- HNW clients · 95 to 85Mar 3, 2022 to Mar 20, 2023
- Individual clients · 141 to 168Mar 3, 2022 to Mar 20, 2023
Signals
1 dated events
- P••••••• R•••••••• I••••••••• A•• S•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 14, 2017 · 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
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 818-760-3333reportedpublic record, Form ADV, Mar 12, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026