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
Ibn Asset Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Apr 16, 2020 · 9 filings
SEC status approved since May 18, 2020
RAUM
$508M
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$84.7M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$508M as of Mar 31, 2026
Mar 22, 2021$141M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 22, 20213 then
Employees (5.A)6 as of Mar 31, 2026
Mar 22, 20214 then
Private funds: no history
RAUM +4.7% over the last fiscal year+68% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $84.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 33%derivedof RAUM
- Institutional
- 67%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$338M67%
- Corporations and businesses$170M33%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 71reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.67 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Erik Nicholas Hagge | Thousand Oaks, Ca | Oct 30, 2017 | 27 y | 5 |
| Dellon Stout Barry | Thousand Oaks, Ca | Jun 29, 2020 | 13 y | 0 |
| Cindy Ball Toshie | Winter Springs, Fl | Nov 1, 2022 | 25 y | 4 |
| Baker Thomas Burchfield | Plant City, Fl | Jan 3, 2026 | 11 y | 0 |
| Bradley James Lukens | Thousand Oaks, Ca | Jan 5, 2026 | 13 y | 1 |
| Andrew Louis Toshie | Winter Springs, Fl | Jan 6, 2026 | 31 y | 4 |
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
none on the tape
Joined, latest
- Andrew Louis Toshie from Prospera Financial Services, Inc.Jan 6, 2026 · Other
- Bradley James Lukens from Prospera Financial Services, Inc.Jan 5, 2026 · Other
- Cindy Ball Toshie from Prospera Financial Services, Inc.Nov 1, 2022 · Other
- Erik Nicholas Hagge from Ek Riley Investments, LLCOct 30, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nicholas Erik Hagge · Managing Membercontrolsince 09/2017 · owns 75% or more
- Marian Catherine Clark · Chief Compliance Officersince 10/2024 · owns less than 5%
Related persons
Schedule D 7.A
- Institutional Bond Network, LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Thousand Oaks, Ca · principal | 6 | 3 | 0 | ||
| Winter Springs, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 63 to 71Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 10 to 12Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $155M to $169MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $330M to $339MMar 31, 2025 to Mar 31, 2026
- RAUM · $485M to $508MMar 31, 2025 to Mar 31, 2026
- Accounts · 44 to 63Oct 4, 2024 to Mar 31, 2025
- Corporate clients · 11 to 10Oct 4, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $81.8M to $155MOct 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $25.5M to $330MOct 4, 2024 to Mar 31, 2025
- RAUM · $107M to $485MOct 4, 2024 to Mar 31, 2025
- Accounts · 46 to 44Mar 11, 2024 to Aug 28, 2024
- Discretionary RAUM · $75.2M to $81.8MMar 11, 2024 to Aug 28, 2024
- RAUM · $101M to $107MMar 11, 2024 to Aug 28, 2024
- Accounts · 37 to 46Mar 29, 2023 to Mar 11, 2024
- Discretionary RAUM · $79.2M to $75.2MMar 29, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $28.0M to $25.5MMar 29, 2023 to Mar 11, 2024
- RAUM · $107M to $101MMar 29, 2023 to Mar 11, 2024
- Accounts · 29 to 37Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 3 to 6Mar 30, 2022 to Mar 29, 2023
- BD registered reps · 3 to 6Mar 30, 2022 to Mar 29, 2023
- Corporate clients · unset to 11.0Mar 30, 2022 to Mar 29, 2023
- Employees · 4 to 6Mar 30, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 6Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $86.9M to $79.2MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $23.2M to $28.0MMar 30, 2022 to Mar 29, 2023
- RAUM · $110M to $107MMar 30, 2022 to Mar 29, 2023
- Accounts · 32 to 29Mar 22, 2021 to Mar 30, 2022
- Financial planning clients · 0 to unsetMar 22, 2021 to Mar 30, 2022
- Discretionary RAUM · $137M to $86.9MMar 22, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $4.3M to $23.2MMar 22, 2021 to Mar 30, 2022
- RAUM · $141M to $110MMar 22, 2021 to Mar 30, 2022
- Accounts · 18 to 32Apr 16, 2020 to Mar 22, 2021
- Advisory employees · 2 to 3Apr 16, 2020 to Mar 22, 2021
- Employees · 3 to 4Apr 16, 2020 to Mar 22, 2021
- State-registered IARs · 2 to 3Apr 16, 2020 to Mar 22, 2021
- Discretionary RAUM · $158M to $137MApr 16, 2020 to Mar 22, 2021
- Non-discretionary RAUM · $9.2M to $4.3MApr 16, 2020 to Mar 22, 2021
- RAUM · $167M to $141MApr 16, 2020 to Mar 22, 2021
Signals
3 dated events
- Ibn Asset Management, Llc reported RAUM $485.4M, up 352% from $107.3M (2024-10-04 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Wayne David Emminger (Managing Member) no longer on Schedule A of Ibn Asset Management, Llc (listed 2024-08-28, absent 2024-10-04)Oct 4, 2024 · Control person left · inference
- Ibn Asset Management, Llc filed its initial SEC registration (Form ADV)Apr 16, 2020 · 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
- Firm profile
- linkedin.com/company/ibn-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ibnasset.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 805-277-4738reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $84.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026