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
N••••••••• C•••••• L••
Latest filing Feb 26, 2026
First filing on the tape Feb 9, 2021 · 10 filings
SEC status approved since Mar 11, 2021
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
46%
$146M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$315M as of Feb 26, 2026
Mar 29, 2022$793M then
HNW client RAUM$144M as of Feb 26, 2026
Mar 29, 2022$486M then
State-registered IARs (5.B.3)2 as of Feb 26, 2026
Mar 29, 20222 then
Employees (5.A)2 as of Feb 26, 2026
Mar 29, 20222 then
Private funds1 as of Feb 26, 2026
Mar 29, 20221 then
RAUM +88% over the last fiscal year-22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $7.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%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
- +88%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, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Pooled investment vehicles$168M54%
- High-net-worth individuals$144M46%
- Individuals$1.5M0.5%
- Pension and profit-sharing plans$616,8740.2%
- Corporations and businesses$60.0%
- Individual clients
- 7reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 45reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.46 fund_share=0.54 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• N•••••• F••• I• L• | Hedge Fund | $124M | 9 | Feb 9, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• · Principal/Chief Compliance Officercontrolsince 08/2020 · owns 25% to 50%
- S••••••••• T•••••• · Principalcontrolsince 04/2018 · owns 25% to 50%
Entity owners
- M••••••••• V••••••• L•• · Ownerdirect · owns 10% to 25%
- P••••• J• C•••••• R•••••••• T•••• D•••• D••••••• 1•• 1•••• P••••• J• C••••••• T•••••• · Ownerindirect · owns 75% or more of M••••••••• V••••••• L••
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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 26, 2026RAUM (Item 5.F) moved from $167,061,187 to $314,765,322 (+88.0%) between the annual amendments of 2025-02-11 and 2026-02-26; the peer median change was +15.0% (4549 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 98% percentile
- client mix shiftChange between filings · filing Feb 26, 2026private-client share of RAUM moved from 29.0% to 46.0% between the annual amendments of 2025-02-11 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Feb 26, 2026financial planning (Item 5.G.1): no on the filing of 2025-02-11, yes on the filing of 2026-02-26peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Feb 26, 2026HNW share of RAUM moved from 29.0% to 46.0% between the annual amendments of 2025-02-11 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Feb 26, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-02-11, yes on the filing of 2026-02-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 22 to 45Feb 11, 2025 to Feb 26, 2026
- Advisory activities · 3 to 4Feb 11, 2025 to Feb 26, 2026
- HNW clients · 8 to 17Feb 11, 2025 to Feb 26, 2026
- Individual clients · unset to 7.0Feb 11, 2025 to Feb 26, 2026
- Insurance-licensed employees · 0 to 2Feb 11, 2025 to Feb 26, 2026
- Financial planning clients · to 26-50Feb 11, 2025 to Feb 26, 2026
- Discretionary RAUM · $167M to $315MFeb 11, 2025 to Feb 26, 2026
- HNW RAUM · $48.2M to $144MFeb 11, 2025 to Feb 26, 2026
- Individual RAUM · $295,443 to $1.5MFeb 11, 2025 to Feb 26, 2026
- Pension RAUM · $336,233 to $616,874Feb 11, 2025 to Feb 26, 2026
- Pooled vehicle RAUM · $118M to $168MFeb 11, 2025 to Feb 26, 2026
- RAUM · $167M to $315MFeb 11, 2025 to Feb 26, 2026
- Accounts · 34 to 22Mar 29, 2024 to Feb 11, 2025
- HNW clients · 18 to 8Mar 29, 2024 to Feb 11, 2025
- Financial planning clients · unset to Mar 29, 2024 to Feb 11, 2025
- Discretionary RAUM · $624M to $167MMar 29, 2024 to Feb 11, 2025
- HNW RAUM · $241M to $48.2MMar 29, 2024 to Feb 11, 2025
- Individual RAUM · unset to 295443.0Mar 29, 2024 to Feb 11, 2025
- Pension RAUM · $136,278 to $336,233Mar 29, 2024 to Feb 11, 2025
- Pooled vehicle RAUM · $274M to $118MMar 29, 2024 to Feb 11, 2025
- RAUM · $624M to $167MMar 29, 2024 to Feb 11, 2025
- Accounts · 31 to 34Mar 31, 2023 to Mar 29, 2024
- HNW clients · 17 to 18Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $655M to $624MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $302M to $241MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · unset to 136278.0Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $249M to $274MMar 31, 2023 to Mar 29, 2024
- RAUM · $655M to $624MMar 31, 2023 to Mar 29, 2024
- Accounts · 28 to 31Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $793M to $655MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $486M to $302MMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $196M to $249MMar 29, 2022 to Mar 31, 2023
- RAUM · $793M to $655MMar 29, 2022 to Mar 31, 2023
- Accounts · 14 to 28May 3, 2021 to Mar 29, 2022
- Advisory employees · 3 to 2May 3, 2021 to Mar 29, 2022
- Advisory activities · 2 to 3May 3, 2021 to Mar 29, 2022
- HNW clients · 10 to 17May 3, 2021 to Mar 29, 2022
- Employees · 3 to 2May 3, 2021 to Mar 29, 2022
- Discretionary RAUM · $437M to $793MMay 3, 2021 to Mar 29, 2022
- HNW RAUM · $351M to $486MMay 3, 2021 to Mar 29, 2022
Signals
4 dated events
- N••••••••• C•••••• L•• reported RAUM $314.8M, up 88% from $167.1M (2025-02-11 to 2026-02-26)Feb 26, 2026 · RAUM change · derived
- N••••••••• C•••••• L•• reported RAUM $167.1M, down 73% from $623.5M (2024-03-29 to 2025-02-11)Feb 11, 2025 · RAUM change · derived
- N••••••••• C•••••• L•• reported RAUM $792.7M, up 82% from $436.7M (2021-05-03 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- N••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Feb 9, 2021 · 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
- contact@ninepointtwo.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 323-486-3600reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ninepointtwo.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 323-486-3600reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- ninepointtwo.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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026