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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•• W••••• M••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Nov 16, 2017 · 15 filings
SEC status approved since Dec 20, 2017
RAUM
$452M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
95%
$431M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$452M as of Mar 4, 2026
Apr 6, 2018$182M then
HNW client RAUM$231M as of Mar 4, 2026
Apr 6, 2018$124M then
State-registered IARs (5.B.3)4 as of Mar 4, 2026
Apr 6, 20182 then
Employees (5.A)7 as of Mar 4, 2026
Apr 6, 20184 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 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
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $386,422derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $156M, 202 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$231M51%
- Individuals$200M44%
- Pension and profit-sharing plans$20.4M4.5%
- Charitable organizations$726,8150.2%
- Individual clients
- 296reported
- HNW clients
- 125reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 1,170reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $156M for 202 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••• B••••••Certified Financial Planner | Newport Beach, Ca | Dec 26, 2017 | 26 y | 3 |
| N••••• A•••••••• P•••••• | Newport Beach, Ca | Jan 18, 2019 | 28 y | 2 |
| J••• D•••• W•••• | Newport Beach, Ca | Jul 16, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- T••••• A••• H•••••• to A•••• O•• W••••• M••••••••• L••Mar 30, 2026 · RIA to RIA
- A••••• L••••••• V•••••• to L•• F•••••••• L••Dec 13, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• A••• H•••••• from P•• A••••••• S•••••••• L••Nov 1, 2019 · Other
- N••••• A•••••••• P•••••• from M••••• S••••••Jan 18, 2019 · Wirehouse to independent RIA
- M•••••• A•••• B•••••• from P•• A••••••• S•••••••• L••Dec 26, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•• A••••••• S•••••••• L••Jan 3, 2018 · Albany, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• A•••• · President And Chief Compliance Officercontrolsince 11/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 4, 2026HNW share of RAUM moved from 72.0% to 51.0% between the annual amendments of 2025-03-19 and 2026-03-04peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,191 to 1,170Mar 19, 2025 to Mar 4, 2026
- Charity clients · 3 to 4Mar 19, 2025 to Mar 4, 2026
- HNW clients · 95 to 125Mar 19, 2025 to Mar 4, 2026
- Individual clients · 311 to 296Mar 19, 2025 to Mar 4, 2026
- Assets in custody · $169M to $156MMar 19, 2025 to Mar 4, 2026
- Employees · 5 to 7Mar 19, 2025 to Mar 4, 2026
- Discretionary RAUM · $373M to $422MMar 19, 2025 to Mar 4, 2026
- HNW RAUM · $292M to $231MMar 19, 2025 to Mar 4, 2026
- Individual RAUM · $92.9M to $200MMar 19, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $30.7M to $29.6MMar 19, 2025 to Mar 4, 2026
- Pension RAUM · $17.3M to $20.4MMar 19, 2025 to Mar 4, 2026
- RAUM · $404M to $452MMar 19, 2025 to Mar 4, 2026
- Accounts · 1,095 to 1,191Mar 18, 2024 to Mar 19, 2025
- Advisory employees · 3 to 2Mar 18, 2024 to Mar 19, 2025
- BD registered reps · 5 to 4Mar 18, 2024 to Mar 19, 2025
- HNW clients · 139 to 95Mar 18, 2024 to Mar 19, 2025
- Individual clients · 265 to 311Mar 18, 2024 to Mar 19, 2025
- Assets in custody · $234M to $169MMar 18, 2024 to Mar 19, 2025
- Employees · 6 to 5Mar 18, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Mar 19, 2025
- State-registered IARs · 2 to 4Mar 18, 2024 to Mar 19, 2025
- Discretionary RAUM · $327M to $373MMar 18, 2024 to Mar 19, 2025
- HNW RAUM · $286M to $292MMar 18, 2024 to Mar 19, 2025
- Individual RAUM · $52.9M to $92.9MMar 18, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $29.4M to $30.7MMar 18, 2024 to Mar 19, 2025
- Pension RAUM · $16.0M to $17.3MMar 18, 2024 to Mar 19, 2025
- RAUM · $356M to $404MMar 18, 2024 to Mar 19, 2025
- Accounts · 956 to 1,095Mar 9, 2023 to Mar 18, 2024
- Advisory employees · 2 to 3Mar 9, 2023 to Mar 18, 2024
- BD registered reps · 4 to 5Mar 9, 2023 to Mar 18, 2024
- Charity clients · 2 to 3Mar 9, 2023 to Mar 18, 2024
- HNW clients · 117 to 139Mar 9, 2023 to Mar 18, 2024
- Individual clients · 252 to 265Mar 9, 2023 to Mar 18, 2024
- Pension plan clients · unset to 1.0Mar 9, 2023 to Mar 18, 2024
- Assets in custody · $134M to $234MMar 9, 2023 to Mar 18, 2024
- Discretionary RAUM · $280M to $327MMar 9, 2023 to Mar 18, 2024
- HNW RAUM · $256M to $286MMar 9, 2023 to Mar 18, 2024
- Individual RAUM · $52.7M to $52.9MMar 9, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $28.9M to $29.4MMar 9, 2023 to Mar 18, 2024
- Pension RAUM · unset to 16038869.0Mar 9, 2023 to Mar 18, 2024
Signals
3 dated events
- T••••• A••• H•••••• left R•• W••••• M••••••••• L•• for A•••• O•• W••••• M••••••••• L•• (registered 2026-04-22)Mar 30, 2026 · Advisor changed firm · fact
- A••••• L••••••• V•••••• left R•• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2024-12-13)Dec 13, 2024 · Advisor changed firm · fact
- R•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 16, 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
- Website
- w••.r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-945-2104reportedpublic record, Form ADV, Mar 4, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026