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
S••••••••• C••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Dec 26, 2023 · 6 filings
SEC status approved since Feb 5, 2024
RAUM
$142M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$14.2M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$142M as of Mar 31, 2026
Mar 29, 2024$115M then
HNW client RAUM$62.5M as of Mar 31, 2026
Mar 29, 2024$60.3M then
State-registered IARs (5.B.3)11 as of Mar 31, 2026
Mar 29, 202411 then
Employees (5.A)12 as of Mar 31, 2026
Mar 29, 202412 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 11 to 11
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $14.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $305,361derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.1derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $124M, 380 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 a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$79.5M56%
- High-net-worth individuals$62.5M44%
- Individual clients
- 438reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 465reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $124M for 380 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=11.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• G••••• | Brea, Ca | Mar 24, 2011 | 35 y | 0 |
| K• P•••••• L•• | Brea, Ca | Mar 9, 2012 | 15 y | 0 |
| K• P••••• L•• | Brea, Ca | Mar 21, 2014 | 28 y | 0 |
| F•••• P••• S••••••••• | Brea, Ca | Mar 1, 2017 | 46 y | 0 |
| D•••• L• P••••• | Costa Mesa, Ca | Jan 8, 2021 | 36 y | 0 |
| M••• P••• D• G••••• J••••• | Monrovia, Ca | Jan 27, 2022 | 17 y | 4 |
| S•••••• L••••• K••••• | Honolulu, Hi | Jan 1, 2025 | 45 y | 2 |
| M•••••• F•••••• N••••• | Monrovia, Ca | Jan 1, 2025 | 14 y | 1 |
| F•••• L•• | Brea, Ca | Jan 17, 2025 | 30 y | 0 |
| J•••• R••• C••••Certified Financial Planner | Brea, Ca | Jan 2, 2026 | 35 y | 3 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount2 left over 36 months
Left, latest
- B•••••• J•••• B•••• to N•••••••• F•••••••• L••Jul 30, 2026 · RIA to RIA
- J••••• L•••• M•••••• to P•••••• I••••• A••••••• I••May 28, 2026 · Other
- W•••••• F•••••••• J•••••• to A••••••••• L•••Feb 5, 2019 · Other
- J••• K••• L•••• K••• to S•••••••• F••••••••• I•••Dec 10, 2014 · Other
Joined, latest
- J•••• R••• C•••• from S• A•••••••• L••Jan 2, 2026 · RIA to RIA
- S•••••• L••••• K••••• from T••••••••• F•••••••• A•••••••• L••Jan 1, 2025 · Other
- M•••••• F•••••• N••••• from M•• I•••••••• S•••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••• P••• D• G••••• J••••• from P•••••• A••••••• I•••Jan 27, 2022 · RIA to RIA
- W•••••• F•••••••• J•••••• from W•••• F•••• A•••••••Jul 27, 2018 · Wirehouse to independent RIA
- J••• K••• L•••• K••• from T••••••••• F•••••••• A•••••••• I•••Jul 19, 2010 · Other
- B•••••• J•••• B•••• from C•••••• T•••• B•••Jun 19, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• H•••••• U•• · Trustee Of B••••• & M•••••• L••••• Trustcontrolsince 01/2011 · owns less than 5%
- M••••••• J••••• L•••• J• · Srop, Crop, Municipal Securities Principal/Trustee Of B••••• A•• M•••••• L••••• T••••controlsince 02/1986 · owns less than 5%
- B•••••• H•••••• U•• · Trusteecontrolsince 01/2011 · owns 50% to 75% of B••••• A•• M•••••• L••••• T••••
- L••• F•••• · Managercontrolsince 09/2020 · owns 50% to 75% of Sc Add Holdings LLC
- M••••••• J••••• L•••• J• · Trusteecontrolsince 01/2011 · owns 50% to 75% of B••••• & M•••••• L••••• Trust
- L••• F•••• · President, Cco, Rop, Municipal Securities Principal, Manager Of S• A•• H•••••••• L••since 03/2005 · owns less than 5%
- T•••••••• S••••• L•• · Financial And Operations Principalsince 01/2004 · owns less than 5%
Entity owners
- B••••• A•• M•••••• L••••• T•••• · Ownerdirect · owns 25% to 50%
- S• A•• H•••••••• L•• · Owner, Managed By F•••• L••direct · owns 50% to 75%
Related persons
Schedule D 7.A
- P•••••• I••••• A••••••• I••investment advisernRAUM $2.2B
Advisers that list S••••••••• C••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brea, Ca | 8 | 1 | 2 | ||
| Monrovia, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Diamond Bar, CA3 employees
- Monrovia, CA2 employees
- Doylestown, PA1 employees
- Bend, OR1 employees
- Honolulu, CA1 employees
- San Diego, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 65.0% to 44.0% between the annual amendments of 2025-03-29 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 393 to 465Mar 29, 2025 to Mar 31, 2026
- HNW clients · 43 to 27Mar 29, 2025 to Mar 31, 2026
- Individual clients · 350 to 438Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $118M to $137MMar 29, 2025 to Mar 31, 2026
- HNW RAUM · $80.3M to $62.5MMar 29, 2025 to Mar 31, 2026
- Individual RAUM · $42.7M to $79.5MMar 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $5.0M to $5.1MMar 29, 2025 to Mar 31, 2026
- RAUM · $123M to $142MMar 29, 2025 to Mar 31, 2026
- Accounts · 436 to 393Mar 29, 2024 to Mar 29, 2025
- HNW clients · 25 to 43Mar 29, 2024 to Mar 29, 2025
- Individual clients · 411 to 350Mar 29, 2024 to Mar 29, 2025
- Assets in custody · $100M to $124MMar 29, 2024 to Mar 29, 2025
- Financial planning clients · 1-10 to 0Mar 29, 2024 to Mar 29, 2025
- Other offices · 6 to 8Mar 29, 2024 to Mar 29, 2025
- Discretionary RAUM · $109M to $118MMar 29, 2024 to Mar 29, 2025
- HNW RAUM · $60.3M to $80.3MMar 29, 2024 to Mar 29, 2025
- Individual RAUM · $55.0M to $42.7MMar 29, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $5.9M to $5.0MMar 29, 2024 to Mar 29, 2025
- RAUM · $115M to $123MMar 29, 2024 to Mar 29, 2025
- Accounts · 441 to 436Jan 22, 2024 to Mar 29, 2024
- HNW clients · 18 to 25Jan 22, 2024 to Mar 29, 2024
- Individual clients · 423 to 411Jan 22, 2024 to Mar 29, 2024
- Discretionary RAUM · $106M to $109MJan 22, 2024 to Mar 29, 2024
- HNW RAUM · $42.4M to $60.3MJan 22, 2024 to Mar 29, 2024
- Individual RAUM · $67.2M to $55.0MJan 22, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $3.9M to $5.9MJan 22, 2024 to Mar 29, 2024
- RAUM · $110M to $115MJan 22, 2024 to Mar 29, 2024
Signals
3 dated events
- B•••••• J•••• B•••• left S••••••••• C••••••• I••• for N•••••••• F•••••••• L•• (registered 2026-06-30)Jul 30, 2026 · Advisor changed firm · fact
- J••••• L•••• M•••••• left S••••••••• C••••••• I••• for P•••••• I••••• A••••••• I•• (registered 2026-01-01)May 28, 2026 · Advisor changed firm · fact
- S••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)Dec 26, 2023 · 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 email
- serviceteam@syndicatedcapital.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-507-7875reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-751-7098reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-751-7098reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $14.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026