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.

SEC-registered adviser

Perennial Financial Services

Independent wealth managerLos Angeles, CaliforniaCRD 286477SEC 801-110619websiteIAPD
Legal name Perennial Investment Advisors, LLC
Latest filing Aug 13, 2026
First filing on the tape May 11, 2017 · 60 filings
SEC status approved since Jun 12, 2017
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$2.3B individuals and HNW
Advisors
49
registered through the firm on IAPD
RAUM per advisor
$51.0M
derived; firm RAUM over IAPD count
Employees
71
39 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$2.5B as of Aug 13, 2026
Jan 24, 2018$144M then
HNW client RAUM$1.8B as of Aug 13, 2026
Jan 24, 2018$105M then
State-registered IARs (5.B.3)39 as of Aug 13, 2026
Jan 24, 201812 then
Employees (5.A)71 as of Aug 13, 2026
Jan 24, 201812 then
Private funds: no history
RAUM +32% over the last fiscal year+54% a year over threeIARs 42 to 39offices 15 to 14
Practice profile
derived from the filing of Aug 13, 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
  • 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
$51.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$773,825derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.3derived15 offices incl. principal (1.F.5)
RAUM growth, one year
+32%derivedbetween the last two annual amendments
Advisor growth, one year
-7.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$1.7BreportedItem 5.I
Custody
$997M, 2,064 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.8B74%
  • Individuals$489M20%
  • Pension and profit-sharing plans$105M4.2%
  • Charitable organizations$34.9M1.4%
  • Corporations and businesses$32.0M1.3%
Individual clients
2,156reported
HNW clients
913reported
Pension plan clients
112reported
Charitable clients
12reported
Accounts
3,229reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$997M for 2,064 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=37.0derived
Advisors registered through the firm
49 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Bradley Benjamin HarrisLos Angeles, Ca Feb 21, 200720 y1
Brandon Blake SchwartzLos Angeles, CaJun 12, 201724 y3
Christopher Andrew NowakowskiLos Angeles, CaJun 12, 201723 y1
Dane Christopher StreeterLos Angeles, CaJun 12, 201722 y1
John Bennett PetrickLos Angeles, CaJun 12, 201723 y1
Thane Stuart MccreadyCertified Financial PlannerFountain Valley, CaJun 12, 201730 y0
Dennis Fu-Teh ShuCertified Financial PlannerLos Angeles, CaJun 12, 201714 y2
Ben Edward LawlerLos Angeles, CaJun 12, 201724 y0
Carlos Calcagno LluchCertified Financial PlannerNorth Adams, Ma Jun 12, 201737 y0
Shirley Co TanGlendale, CaAug 21, 201717 y3
David Philip AronovitchSanta Monica, CaAug 31, 201821 y3
Amy Wang-Yi JohnsonLos Angeles, CaFeb 19, 201913 y1
Stan D ChooCertified Financial PlannerLos Angeles, CaMar 29, 201920 y1
Ryan Jaire LouieCertified Financial PlannerFresno, Ca Nov 26, 201922 y1
Jason Russell GoodBoise, Id Jul 16, 202011 y3
Anthony Seo LeeLos Angeles, CaMay 18, 202126 y1
Robert Douglas BarberLos Angeles, Ca Jun 8, 202112 y2
Eddie Chewkwong ChanLos Angeles, CaJul 21, 202233 y4
Davis Domingo AldanaLos Angeles, Ca Aug 19, 202218 y2
Carole Riley FordCertified Financial PlannerLos Angeles, Ca Jan 30, 202342 y2
Steven Jon JollyFresno, Ca Jan 30, 202337 y3
Mary Dawn CollinsChartered Financial ConsultantLos Angeles, Ca Jan 30, 202328 y1
Eric Ryan SimoniansCertified Financial PlannerLos Angeles, Ca Jan 30, 202319 y2
Nikolaus Stephen RedmondCertified Financial PlannerFresno, Ca Jan 30, 202317 y1
Erin Ford RedmondFresno, Ca Jan 30, 202312 y1
Bart Richard AlbrigoLitchfield Park, Az Jan 30, 202338 y5
Robert Gillis FarmerLos Angeles, Ca Jan 30, 202332 y3
Brian Joseph UllmannCertified Financial PlannerFresno, Ca Jan 31, 202318 y1
Alan Ranier SimeonLos Angeles, CaMay 2, 202430 y1
Evidio T MayeaLos Angeles, Ca May 13, 202420 y3
Neelab HakamiRedondo Beach, Ca Jul 2, 202415 y2
Caribel ColonAstoria, Ny Sep 4, 202414 y1
Devin Gary ShaefferFresno, Ca Sep 10, 202423 y0
Jason Ronald HorgLos Angeles, Ca Sep 11, 202422 y1
Julian Eve LockeCertified Financial Planner, Chartered Financial ConsultantSt. Paul, Mn Oct 18, 202417 y1
Gregory MorseCertified Financial PlannerLos Angeles, CaNov 12, 202429 y2
Mackenzie Morgan MccombsFresno, Ca Dec 16, 202412 y0
Michael Dean FullerArroyo Grande, Ca Jan 1, 202530 y2
Abhishek VakilNew Yor City, Ny Jan 8, 202514 y2
Kory A KeithSanta Monica, CaJul 1, 202513 y0
All 49 advisors at Perennial Financial Services
Advisor movement
1 left, 6 joined in 12 months
net +5 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 2.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Seo Anthony Lee · Chief Compliance Officercontrol
      since 05/2021 · owns less than 5%
    • K. Alfred Martinez · Chief Technology Officercontrol
      since 01/2021 · owns less than 5%
    • Andrew Christopher Nowakowski · Membercontrol
      since 06/2017 · owns less than 5%
    • Bennett John Petrick · Membercontrol
      since 06/2017 · owns less than 5%
    • Benjamin Bradley Harris · Presidentcontrol
      since 01/2014 · owns 75% or more of Ploutos Wealth Advisors, Inc.
    • Andrew Christopher Nowakowski · Managing Membercontrol
      since 07/2004 · owns 50% to 75% of Perennial Financial Services, LLC
    • Bennett John Petrick · Managing Membercontrol
      since 06/2004 · owns 50% to 75% of Perennial Financial Services, LLC
    • Christopher Dane Streeter · Managing Membercontrol
      since 01/2017 · owns 75% or more of Dcs Investments, LLC
    Entity owners
    • Dcs Investments, LLC · Member
      direct · owns 5% to 10%
    • Perennial Financial Services, LLC · Member
      direct · owns 50% to 75%
    • Ploutos Wealth Advisors, Inc. · Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • Perennial Financial & Insurance Services, LLC
      real estaten
    • Perennial Legacy LLC
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Los Angeles, Ca · principal4481
    Fresno, Ca1420
    Arroyo Grande, Ca310
    Santa Monica, Ca200
    St Paul, Mn210
    Offices
    Schedule D 1.F, the 25 largest
    • Fresno, CA10 employees
    • Fountain Valley, CA3 employees
    • Los Alamitos, CA2 employees
    • Arroyo Grande, CA2 employees
    • Santa Monica, CA1 employees
    • South Pasadena, CA1 employees
    • , 1 employees
    • Boise, ID1 employees
    • Eden Prairie, MN1 employees
    • Glendale, CA1 employees
    ADV anomalies
    2 against comparable advisers; where to look, not conclusions
    • control person changedChange between filings · filing Aug 13, 2026
      STREETER, DANE, CHRISTOPHER (MANAGING MEMBER) left Schedule A between the filings of 2023-07-18 and 2026-08-13
      peers: independent wealth managers, $1B to $5B (1,362)
    • control person changedChange between filings · filing Aug 13, 2026
      HARRIS, BRADLEY, BENJAMIN (PRESIDENT) left Schedule A between the filings of 2023-07-18 and 2026-08-13
      peers: independent wealth managers, $1B to $5B (1,362)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 2,833 to 3,229
      May 28, 2025 to Mar 31, 2026
    • Advisory employees · 42 to 39
      May 28, 2025 to Mar 31, 2026
    • BD registered reps · 40 to 37
      May 28, 2025 to Mar 31, 2026
    • Charity clients · 11 to 12
      May 28, 2025 to Mar 31, 2026
    • Corporate clients · 20 to 36
      May 28, 2025 to Mar 31, 2026
    • HNW clients · 709 to 913
      May 28, 2025 to Mar 31, 2026
    • Individual clients · 2,086 to 2,156
      May 28, 2025 to Mar 31, 2026
    • Pension plan clients · 73 to 112
      May 28, 2025 to Mar 31, 2026
    • Assets in custody · $1.3B to $997M
      May 28, 2025 to Mar 31, 2026
    • Employees · 50 to 71
      May 28, 2025 to Mar 31, 2026
    • State-registered IARs · 42 to 39
      May 28, 2025 to Mar 31, 2026
    • Other offices · 15 to 14
      May 28, 2025 to Mar 31, 2026
    • Discretionary RAUM · $1.9B to $2.5B
      May 28, 2025 to Mar 31, 2026
    • HNW RAUM · $1.3B to $1.8B
      May 28, 2025 to Mar 31, 2026
    • Individual RAUM · $458M to $489M
      May 28, 2025 to Mar 31, 2026
    • Pension RAUM · $77.8M to $105M
      May 28, 2025 to Mar 31, 2026
    • RAUM · $1.9B to $2.5B
      May 28, 2025 to Mar 31, 2026
    • Financial planning clients · 26-50 to 26-50
      Mar 28, 2025 to May 28, 2025
    • Accounts · 2,590 to 2,833
      Sep 19, 2024 to Mar 28, 2025
    • Advisory employees · 32 to 42
      Sep 19, 2024 to Mar 28, 2025
    • BD registered reps · 32 to 40
      Sep 19, 2024 to Mar 28, 2025
    • Corporate clients · 24 to 20
      Sep 19, 2024 to Mar 28, 2025
    • HNW clients · 631 to 709
      Sep 19, 2024 to Mar 28, 2025
    • Individual clients · 1,892 to 2,086
      Sep 19, 2024 to Mar 28, 2025
    • Pension plan clients · 30 to 73
      Sep 19, 2024 to Mar 28, 2025
    • Assets in custody · $588M to $1.3B
      Sep 19, 2024 to Mar 28, 2025
    • Employees · 34 to 50
      Sep 19, 2024 to Mar 28, 2025
    • Financial planning clients · 11-25 to 26-50
      Sep 19, 2024 to Mar 28, 2025
    • State-registered IARs · 32 to 42
      Sep 19, 2024 to Mar 28, 2025
    • Other offices · 10 to 15
      Sep 19, 2024 to Mar 28, 2025
    • Discretionary RAUM · $1.5B to $1.9B
      Sep 19, 2024 to Mar 28, 2025
    • HNW RAUM · $1.0B to $1.3B
      Sep 19, 2024 to Mar 28, 2025
    • Individual RAUM · $374M to $458M
      Sep 19, 2024 to Mar 28, 2025
    • Pension RAUM · $31.0M to $77.8M
      Sep 19, 2024 to Mar 28, 2025
    • RAUM · $1.5B to $1.9B
      Sep 19, 2024 to Mar 28, 2025
    • Accounts · 2,918 to 2,590
      Jan 30, 2024 to Mar 29, 2024
    • Advisory employees · 21 to 32
      Jan 30, 2024 to Mar 29, 2024
    • BD registered reps · 21 to 32
      Jan 30, 2024 to Mar 29, 2024
    • Charity clients · 6 to 11
      Jan 30, 2024 to Mar 29, 2024
    • Corporate clients · 15 to 24
      Jan 30, 2024 to Mar 29, 2024
    Signals
    29 dated events
    • Perennial Financial Services reported RAUM $2.5B, up 32% from $1.9B (2025-05-28 to 2026-03-31)
      Mar 31, 2026 · RAUM change · derived
    • Jack Michael Schepke left Perennial Financial Services for Nuveen Asset Management, Llc (registered 2026-04-15)
      Mar 20, 2026 · Advisor changed firm · fact
    • Perennial Financial Services reported 42 state-registered advisory representatives, up from 32 (2024-09-19 to 2025-03-28)
      Mar 28, 2025 · Advisor headcount change · derived
    • Perennial Financial Services reported RAUM $1.9B, up 28% from $1.5B (2024-09-19 to 2025-03-28)
      Mar 28, 2025 · RAUM change · derived
    • Perennial Financial Services reported 15 offices beyond its principal office, up from 10 (2024-09-19 to 2025-03-28)
      Mar 28, 2025 · Office count change · derived
    • Perennial Financial Services reported RAUM $1.5B, up 116% from $686.4M (2024-01-30 to 2024-03-29)
      Mar 29, 2024 · RAUM change · derived
    • Perennial Financial Services reported 32 state-registered advisory representatives, up from 21 (2024-01-30 to 2024-03-29)
      Mar 29, 2024 · Advisor headcount change · derived
    • K Alfred Martinez (Chief Technology Officer) appeared on Schedule A of Perennial Financial Services
      Jul 18, 2023 · Control person joined · fact
    • D Stan Choo (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Richard Bart Albrigo (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Joseph Brian Ullmann (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Calcagno Carlos Lluch (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Stuart Thane Mccready (President) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Katsuo Kent Tanaka (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Jaire Ryan Louie (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Domingo Davis Aldana (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-13, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Philip David Aronovitch (Owner) no longer on Schedule A of Perennial Financial Services (listed 2023-07-14, absent 2023-07-14)
      Jul 14, 2023 · Control person left · inference
    • Jaire Ryan Louie (Owner) appeared on Schedule A of Perennial Financial Services
      Jul 13, 2023 · Control person joined · fact
    • Joseph Brian Ullmann (Owner) appeared on Schedule A of Perennial Financial Services
      Jul 13, 2023 · Control person joined · fact
    • Ford Financial Group's advisors moved to Perennial Financial Services (Fresno, CA): 7 of 9 registered, on the same day
      May 12, 2023 · Firm absorbed (people side) · derived
    • Domingo Davis Aldana (Owner) appeared on Schedule A of Perennial Financial Services
      Mar 31, 2023 · Control person joined · fact
    • Perennial Financial Services reported RAUM $774.0M, up 49% from $518.4M (2021-11-17 to 2022-03-28)
      Mar 28, 2022 · RAUM change · derived
    • Seo Anthony Lee (Chief Compliance Officer) appeared on Schedule A of Perennial Financial Services
      May 17, 2021 · Control person joined · fact
    • Perennial Financial Services reported RAUM $518.4M, up 42% from $364.7M (2020-10-23 to 2021-03-10)
      Mar 10, 2021 · RAUM change · derived
    • D Stan Choo (Owner) appeared on Schedule A of Perennial Financial Services
      Oct 23, 2020 · Control person joined · fact
    • Philip David Aronovitch (Owner) appeared on Schedule A of Perennial Financial Services
      Mar 12, 2020 · Control person joined · fact
    • Perennial Financial Services reported RAUM $364.7M, up 39% from $262.9M (2019-06-11 to 2020-03-12)
      Mar 12, 2020 · RAUM change · derived
    • Perennial Financial Services reported RAUM $265.1M, up 70% from $155.9M (2018-10-30 to 2018-11-14)
      Nov 14, 2018 · RAUM change · derived
    • Perennial Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
      May 11, 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
    Business phone
    208-841-6904reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    239-427-3700reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    310-445-2504reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/rose-greene-financial/aboutreportedpublic record, Form ADV, Sep 18, 2026
    Website
    perennialfinancialservices.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    310-445-2504reportedpublic record, Form ADV, Aug 13, 2026
    Contact form
    perennialfinancialservices.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    perennialfinancialservices.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
    $51.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026