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
C•••••••• A••••••• G••••• L••
Latest filing Feb 10, 2026
First filing on the tape Apr 10, 2017 · 20 filings
SEC status approved since May 1, 2017
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$250M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$250M as of Feb 10, 2026
Jan 9, 2018$116M then
HNW client RAUM$77.4M as of Feb 10, 2026
Jan 9, 2018$35.0M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Jan 9, 20182 then
Employees (5.A)2 as of Feb 10, 2026
Jan 9, 20182 then
Private funds: no history
RAUM +3.7% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 244derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $502,293derivedHNW RAUM over HNW clients
- Average account
- $226,020derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $31.3M, 110 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$172M69%
- High-net-worth individuals$77.4M31%
- Individual clients
- 334reported
- HNW clients
- 154reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,104reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $31.3M for 110 clientsreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J••••• L••••Chartered Financial Consultant | Westlake Village, Ca | May 2, 2017 | 33 y | 1 |
| J•••• N••• S•••••••Chartered Financial Consultant | Westlake Village, Ca | May 2, 2017 | 28 y | 1 |
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
- J••• J••••• L•••• from A••••••••• F•••••••• S•••••••• L••May 2, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• N••• S••••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• F•••••••• S•••••••• L••May 1, 2017 · Woodland Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••• J••••• · Managing Membercontrolsince 05/2017 · owns 50% to 75%
- S•••••••• J••••• N••• · Managing Member & Chief Compliance Officercontrolsince 05/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,215 to 1,104Jan 10, 2025 to Feb 10, 2026
- HNW clients · 141 to 154Jan 10, 2025 to Feb 10, 2026
- Individual clients · 356 to 334Jan 10, 2025 to Feb 10, 2026
- Discretionary RAUM · $241M to $250MJan 10, 2025 to Feb 10, 2026
- HNW RAUM · $72.2M to $77.4MJan 10, 2025 to Feb 10, 2026
- Individual RAUM · $168M to $172MJan 10, 2025 to Feb 10, 2026
- RAUM · $241M to $250MJan 10, 2025 to Feb 10, 2026
- Accounts · 1,126 to 1,215Jan 10, 2024 to Jan 10, 2025
- HNW clients · 151 to 141Jan 10, 2024 to Jan 10, 2025
- Individual clients · 353 to 356Jan 10, 2024 to Jan 10, 2025
- Assets in custody · $28.4M to $31.3MJan 10, 2024 to Jan 10, 2025
- Financial planning clients · 0 to 0Jan 10, 2024 to Jan 10, 2025
- Discretionary RAUM · $222M to $241MJan 10, 2024 to Jan 10, 2025
- HNW RAUM · $73.3M to $72.2MJan 10, 2024 to Jan 10, 2025
- Individual RAUM · $149M to $168MJan 10, 2024 to Jan 10, 2025
- RAUM · $222M to $241MJan 10, 2024 to Jan 10, 2025
- Accounts · 1,209 to 1,126Jan 26, 2023 to Jan 10, 2024
- Advisory activities · 1 to 2Jan 26, 2023 to Jan 10, 2024
- HNW clients · 136 to 151Jan 26, 2023 to Jan 10, 2024
- Individual clients · 305 to 353Jan 26, 2023 to Jan 10, 2024
- Assets in custody · $23.2M to $28.4MJan 26, 2023 to Jan 10, 2024
- Financial planning clients · unset to 0Jan 26, 2023 to Jan 10, 2024
- Discretionary RAUM · $185M to $222MJan 26, 2023 to Jan 10, 2024
- HNW RAUM · $61.4M to $73.3MJan 26, 2023 to Jan 10, 2024
- Individual RAUM · $124M to $149MJan 26, 2023 to Jan 10, 2024
- RAUM · $185M to $222MJan 26, 2023 to Jan 10, 2024
- Accounts · 1,192 to 1,209Feb 14, 2022 to Jan 26, 2023
- HNW clients · 154 to 136Feb 14, 2022 to Jan 26, 2023
- Individual clients · 360 to 305Feb 14, 2022 to Jan 26, 2023
- Assets in custody · $31.2M to $23.2MFeb 14, 2022 to Jan 26, 2023
- Discretionary RAUM · $201M to $185MFeb 14, 2022 to Jan 26, 2023
- HNW RAUM · $66.4M to $61.4MFeb 14, 2022 to Jan 26, 2023
- Individual RAUM · $135M to $124MFeb 14, 2022 to Jan 26, 2023
- RAUM · $201M to $185MFeb 14, 2022 to Jan 26, 2023
- Accounts · 1,155 to 1,192Feb 3, 2021 to Feb 14, 2022
- HNW clients · 130 to 154Feb 3, 2021 to Feb 14, 2022
- Individual clients · 297 to 360Feb 3, 2021 to Feb 14, 2022
- Assets in custody · $24.7M to $31.2MFeb 3, 2021 to Feb 14, 2022
- Discretionary RAUM · $178M to $201MFeb 3, 2021 to Feb 14, 2022
- HNW RAUM · $58.7M to $66.4MFeb 3, 2021 to Feb 14, 2022
Signals
1 dated events
- C•••••••• A••••••• G•••• filed its initial SEC registration (Form ADV)Apr 10, 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
- 818-351-5124reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- semelengfinancialservices.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-351-5124reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- semelengfinancialservices.com/contactreportedpublished by the firm, firm site, Sep 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026