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
A••• W••••• M•••••••••
Legal name A••• W••••• M••••••••• I•••
Latest filing Apr 1, 2026
First filing on the tape May 24, 2017 · 26 filings
SEC status approved since Jul 5, 2017
RAUM
$130M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
77%
$99.5M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$21.7M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$130M as of Apr 1, 2026
Oct 13, 2017$101M then
HNW client RAUM$59.3M as of Apr 1, 2026
Oct 13, 2017$22.9M then
State-registered IARs (5.B.3)6 as of Apr 1, 2026
Oct 13, 20170 then
Employees (5.A)9 as of Apr 1, 2026
Oct 13, 201710 then
Private funds: no history
RAUM +5.9% over the last fiscal year-9.1% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Apr 1, 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
- RAUM per advisor
- $21.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $228,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $38.9M, 123 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$59.3M46%
- Individuals$40.2M31%
- State and municipal entities$18.3M14%
- Pension and profit-sharing plans$7.5M5.8%
- Charitable organizations$3.8M3.0%
- Individual clients
- 190reported
- HNW clients
- 28reported
- Pension plan clients
- 12reported
- Charitable clients
- 2reported
- Accounts
- 570reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.9M for 123 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• S•••• L••••••• | Saratoga, Ca | Jul 27, 2017 | 32 y | 2 |
| R•••••• P••• C•••••• | Dunwoody, Ga | Aug 16, 2017 | 29 y | 2 |
| C•••••• F•••••• M•••••• | Saratoga, Ca | Oct 15, 2019 | 30 y | 4 |
| C••••• K•••••••• C••• | Little Rock, Ar | Nov 22, 2019 | 22 y | 2 |
| E•••••••• N•• L••• | Saratoga, Ca | Jan 1, 2026 | 20 y | 5 |
| L••••••• F•••••••• P••••••• | Saratoga, Ca | Jan 1, 2026 | 13 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E••• A•••• S•••• to G•••• P••• A•••••••• L••Jun 14, 2019 · RIA to RIA
- J••• P•••••• B•••• to L••••• W••••• A•••••••• I•••Apr 15, 2019 · RIA to RIA
Joined, latest
- L••••••• F•••••••• P••••••• from S••••• M•••••••••Jan 1, 2026 · Other
- E•••••••• N•• L••• from I•••••••• F•• W••••• A•••••••• I•••Jan 1, 2026 · Other
- C••••• K•••••••• C••• from C•••••• W••••• M•••••••••Nov 22, 2019 · Other
- C•••••• F•••••• M•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••• P•••••• B•••• from C•••••• W••••• M•••••••••Sep 22, 2017 · Other
- R•••••• P••• C•••••• from C•••••• W••••• M•••••••••Aug 16, 2017 · Other
- J••••• S•••• L••••••• from C•••••• W••••• M•••••••••Jul 27, 2017 · RIA to a newly registered adviser
- E••• A•••• S•••• from S••••• M•••••••••Jul 5, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• W••••• M•••••••••Dec 31, 2017 · San Jose, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• L•••••••• F•••••••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
Entity owners
- A••• W••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saratoga, Ca · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Little Rock, AR2 employees
- Atlanta, GA1 employees
- Huntsville, AL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 616 to 570Apr 15, 2025 to Apr 1, 2026
- Advisory employees · 8 to 6Apr 15, 2025 to Apr 1, 2026
- HNW clients · 32 to 28Apr 15, 2025 to Apr 1, 2026
- Individual clients · 202 to 190Apr 15, 2025 to Apr 1, 2026
- Pension plan clients · 11 to 12Apr 15, 2025 to Apr 1, 2026
- Assets in custody · $38.1M to $38.9MApr 15, 2025 to Apr 1, 2026
- Employees · 10 to 9Apr 15, 2025 to Apr 1, 2026
- State-registered IARs · 8 to 6Apr 15, 2025 to Apr 1, 2026
- Discretionary RAUM · $116M to $122MApr 15, 2025 to Apr 1, 2026
- HNW RAUM · $69.4M to $59.3MApr 15, 2025 to Apr 1, 2026
- Individual RAUM · $25.4M to $40.2MApr 15, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $7.2M to $8.3MApr 15, 2025 to Apr 1, 2026
- Pension RAUM · $6.2M to $7.5MApr 15, 2025 to Apr 1, 2026
- RAUM · $123M to $130MApr 15, 2025 to Apr 1, 2026
- Accounts · 649 to 616Mar 29, 2024 to Apr 15, 2025
- Charity clients · unset to 2.0Mar 29, 2024 to Apr 15, 2025
- HNW clients · 29 to 32Mar 29, 2024 to Apr 15, 2025
- Individual clients · 220 to 202Mar 29, 2024 to Apr 15, 2025
- Assets in custody · unset to 38143218.0Mar 29, 2024 to Apr 15, 2025
- Custody of client assets · false to trueMar 29, 2024 to Apr 15, 2025
- Financial planning clients · 1-10 to 11-25Mar 29, 2024 to Apr 15, 2025
- Other offices · 5 to 4Mar 29, 2024 to Apr 15, 2025
- Discretionary RAUM · $99.1M to $116MMar 29, 2024 to Apr 15, 2025
- HNW RAUM · $61.9M to $69.4MMar 29, 2024 to Apr 15, 2025
- Individual RAUM · $18.4M to $25.4MMar 29, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $95.3M to $7.2MMar 29, 2024 to Apr 15, 2025
- Pension RAUM · $94.9M to $6.2MMar 29, 2024 to Apr 15, 2025
- RAUM · $194M to $123MMar 29, 2024 to Apr 15, 2025
- Accounts · 621 to 649Apr 10, 2023 to Mar 29, 2024
- Charity clients · 0.0 to unsetApr 10, 2023 to Mar 29, 2024
- HNW clients · 23 to 29Apr 10, 2023 to Mar 29, 2024
- Individual clients · 230 to 220Apr 10, 2023 to Mar 29, 2024
- Pooled vehicle clients · 0.0 to unsetApr 10, 2023 to Mar 29, 2024
- Discretionary RAUM · $90.3M to $99.1MApr 10, 2023 to Mar 29, 2024
- HNW RAUM · $47.5M to $61.9MApr 10, 2023 to Mar 29, 2024
- Individual RAUM · $23.4M to $18.4MApr 10, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $82.7M to $95.3MApr 10, 2023 to Mar 29, 2024
- Pension RAUM · $82.3M to $94.9MApr 10, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · 0.0 to unsetApr 10, 2023 to Mar 29, 2024
- RAUM · $173M to $194MApr 10, 2023 to Mar 29, 2024
Signals
3 dated events
- F L••••••• P••••••• (Chief Compliance Officer) appeared on Schedule A of A••• W••••• M•••••••••Apr 15, 2019 · Control person joined · fact
- Allen Erik Schei (Chief Compliance Officer) no longer on Schedule A of A••• W••••• M••••••••• (listed 2019-03-26, absent 2019-04-15)Apr 15, 2019 · Control person left · inference
- A••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 24, 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
- 256-705-5923reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/17916243/adminreportedpublic record, Form ADV, Sep 19, 2026
- Website
- aria401k.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 669-222-1155reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- aria401k.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- aria401k.com/teamreportedpublished 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
- $21.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026