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•••••• I••••••••• A••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Jun 18, 2019 · 20 filings
SEC status approved since Jul 16, 2019
RAUM
$91.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$91.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$91.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$91.1M as of Jun 2, 2026
Feb 26, 2020$120M then
HNW client RAUM$121M as of Feb 15, 2024
Feb 26, 2020$118M then
State-registered IARs (5.B.3)1 as of Jun 2, 2026
Feb 26, 20201 then
Employees (5.A)1 as of Jun 2, 2026
Feb 26, 20201 then
Private funds: no history
RAUM -28% over the last fiscal year-11% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jun 2, 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
- $91.1MderivedRAUM 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
- $138,476derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$91.1M100%
- Individual clients
- 178reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 658reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• R•••••• | Guaynabo, Pr | Jul 23, 2019 | 23 y | 8 |
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
- A•••••• R•••••• from I•••••••• F•• W••••• C••••••••• I•••Jul 23, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• A•••••• · Ceo, Ccocontrolsince 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Feb 18, 2026 to Jun 2, 2026
- Accounts · 171 to 658May 21, 2025 to Feb 18, 2026
- Individual clients · 171 to 178May 21, 2025 to Feb 18, 2026
- Discretionary RAUM · $127M to $91.1MMay 21, 2025 to Feb 18, 2026
- Individual RAUM · $127M to $91.1MMay 21, 2025 to Feb 18, 2026
- RAUM · $127M to $91.1MMay 21, 2025 to Feb 18, 2026
- Financial planning clients · 0 to 0Mar 13, 2025 to May 21, 2025
- Accounts · 829 to 171Feb 15, 2024 to Mar 13, 2025
- HNW clients · 163.0 to unsetFeb 15, 2024 to Mar 13, 2025
- Individual clients · 4 to 171Feb 15, 2024 to Mar 13, 2025
- HQ city · unset to Feb 15, 2024 to Mar 13, 2025
- HQ state · unset to Feb 15, 2024 to Mar 13, 2025
- Discretionary RAUM · $130M to $127MFeb 15, 2024 to Mar 13, 2025
- HNW RAUM · 121284682.0 to unsetFeb 15, 2024 to Mar 13, 2025
- Individual RAUM · $9.0M to $127MFeb 15, 2024 to Mar 13, 2025
- RAUM · $130M to $127MFeb 15, 2024 to Mar 13, 2025
- Accounts · 129 to 829Nov 8, 2023 to Feb 15, 2024
- HNW clients · 127 to 163Nov 8, 2023 to Feb 15, 2024
- Individual clients · 2 to 4Nov 8, 2023 to Feb 15, 2024
- Discretionary RAUM · $129M to $130MNov 8, 2023 to Feb 15, 2024
- HNW RAUM · $121M to $121MNov 8, 2023 to Feb 15, 2024
- Individual RAUM · $8.0M to $9.0MNov 8, 2023 to Feb 15, 2024
- RAUM · $129M to $130MNov 8, 2023 to Feb 15, 2024
- Accounts · 29 to 129Feb 22, 2022 to Feb 24, 2023
- Discretionary RAUM · $113M to $129MFeb 22, 2022 to Feb 24, 2023
- HNW RAUM · $110M to $121MFeb 22, 2022 to Feb 24, 2023
- Individual RAUM · $3.0M to $8.0MFeb 22, 2022 to Feb 24, 2023
- RAUM · $113M to $129MFeb 22, 2022 to Feb 24, 2023
- Organization form · Corporation to Limited Liability CompanyFeb 4, 2022 to Feb 22, 2022
- Accounts · 129 to 29Mar 18, 2021 to Feb 4, 2022
- Discretionary RAUM · $110M to $113MMar 18, 2021 to Feb 4, 2022
- HNW RAUM · $108M to $110MMar 18, 2021 to Feb 4, 2022
- Individual RAUM · $2.0M to $3.0MMar 18, 2021 to Feb 4, 2022
- RAUM · $110M to $113MMar 18, 2021 to Feb 4, 2022
- Business name · C•••••• I••••••••• A••••••• I•• to C•••••• I••••••••• A••••••• L••Feb 4, 2022 to Feb 4, 2022
- Legal name · C•••••• I••••••••• A••••••• I•• to C•••••• I••••••••• A••••••• L••Feb 4, 2022 to Feb 4, 2022
- Discretionary RAUM · $120M to $110MSep 29, 2020 to Mar 18, 2021
- HNW RAUM · $118M to $108MSep 29, 2020 to Mar 18, 2021
- RAUM · $120M to $110MSep 29, 2020 to Mar 18, 2021
- HQ city · ALHAMBRA to unsetJun 24, 2020 to Sep 29, 2020
Signals
1 dated events
- A•••••• R•••••• I••• filed its initial SEC registration (Form ADV)Jun 18, 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 phone
- 626-755-3613reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-755-3613reportedpublic record, Form ADV, Jun 2, 2026
- Contact form
- concertadvisors.com/contact/index.htmlreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- concertadvisors.com/our-team/index.htmlreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $91.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026