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
C•••••••••
Legal name C••••••••• A•••• M••••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Oct 15, 2019 · 24 filings
SEC status approved since Nov 15, 2019
RAUM
$28.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$28.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$14.2M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$28.3M as of Jul 7, 2026
Jun 29, 2020$0 then
HNW client RAUM$25.6M as of Jul 7, 2026
Feb 1, 2024$9.2M then
State-registered IARs (5.B.3)1 as of Jul 7, 2026
Jun 29, 20201 then
Employees (5.A)4 as of Jul 7, 2026
Jun 29, 20203 then
Private funds: no history
RAUM +89% over the last fiscal year+51% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $14.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $382,770derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +89%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $28.3MreportedItem 5.I
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$25.6M90%
- Individuals$2.7M9.7%
- Individual clients
- 44reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 74reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C•••••• | Hawthorne, Ca | Dec 18, 2025 | 10 y | 0 |
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• · Ceo / Chief Compliance Officercontrolsince 04/2020 · owns 50% to 75%
- C••••• D•••••• A••••• · Lead Data Scientistcontrolsince 06/2019 · owns 5% to 10%
- F•••••• L••••• I••••• · Chief Technology Officercontrolsince 06/2016 · owns 25% to 50%
- E••••• M••••••• P•••••• · Consulting Wealth Managersince 04/2020 · owns less than 5%
- I•••••• J••• · Director Of Marketingsince 06/2019 · owns less than 5%
Entity owners
- G••• S••••••• L•• · Investordirect · owns 10% to 25%
- V•• H••••••• I•• L•• · Investordirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Hawthorne, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 7, 2026 to Sep 11, 2026
- Succession · false to unsetJul 7, 2026 to Sep 11, 2026
- Related broker-dealer · false to trueMar 12, 2026 to May 28, 2026
- Accounts · 55 to 74Feb 9, 2026 to Mar 12, 2026
- HNW clients · 8 to 11Dec 18, 2025 to Feb 9, 2026
- Individual clients · 35 to 44Dec 18, 2025 to Feb 9, 2026
- Employees · 3 to 4Dec 18, 2025 to Feb 9, 2026
- Discretionary RAUM · $15.0M to $28.3MDec 18, 2025 to Feb 9, 2026
- HNW RAUM · $12.9M to $25.6MDec 18, 2025 to Feb 9, 2026
- Individual RAUM · $2.1M to $2.7MDec 18, 2025 to Feb 9, 2026
- RAUM · $15.0M to $28.3MDec 18, 2025 to Feb 9, 2026
- HQ city · to HAWTHORNEMar 26, 2025 to Dec 18, 2025
- HQ state · to CAMar 26, 2025 to Dec 18, 2025
- Accounts · 30 to 55Feb 1, 2024 to Mar 26, 2025
- Individual clients · 12 to 35Feb 1, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Feb 1, 2024 to Mar 26, 2025
- HQ city · unset to Feb 1, 2024 to Mar 26, 2025
- HQ state · unset to Feb 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $10.3M to $15.0MFeb 1, 2024 to Mar 26, 2025
- HNW RAUM · $9.2M to $12.9MFeb 1, 2024 to Mar 26, 2025
- Individual RAUM · $1.1M to $2.1MFeb 1, 2024 to Mar 26, 2025
- RAUM · $10.3M to $15.0MFeb 1, 2024 to Mar 26, 2025
- Accounts · 17 to 30Sep 8, 2023 to Feb 1, 2024
- BD registered reps · 1 to 2Sep 8, 2023 to Feb 1, 2024
- HNW clients · unset to 8.0Sep 8, 2023 to Feb 1, 2024
- Individual clients · 17 to 12Sep 8, 2023 to Feb 1, 2024
- Discretionary RAUM · $8.2M to $10.3MSep 8, 2023 to Feb 1, 2024
- HNW RAUM · unset to 9178948.0Sep 8, 2023 to Feb 1, 2024
- Individual RAUM · $8.2M to $1.1MSep 8, 2023 to Feb 1, 2024
- RAUM · $8.2M to $10.3MSep 8, 2023 to Feb 1, 2024
- Accounts · 9 to 17Apr 22, 2022 to Jan 3, 2023
- Individual clients · 9 to 17Apr 22, 2022 to Jan 3, 2023
- Discretionary RAUM · $1.6M to $8.2MApr 22, 2022 to Jan 3, 2023
- Individual RAUM · $1.6M to $8.2MApr 22, 2022 to Jan 3, 2023
- RAUM · $1.6M to $8.2MApr 22, 2022 to Jan 3, 2023
- HQ city · MANHATTAN BEACH to unsetFeb 22, 2022 to Apr 22, 2022
- HQ state · CA to unsetFeb 22, 2022 to Apr 22, 2022
- Accounts · 2 to 9Mar 8, 2021 to Feb 22, 2022
- Individual clients · unset to 9.0Mar 8, 2021 to Feb 22, 2022
- Discretionary RAUM · $120,000 to $1.6MMar 8, 2021 to Feb 22, 2022
Signals
1 dated events
- Cleveralpha filed its initial SEC registration (Form ADV)Oct 15, 2019 · 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
- s••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/cleveralpha-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-293-7837reportedpublic record, Form ADV, Sep 11, 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