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
D•• P•••• C••••••
Legal name D•• P•••• C••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Aug 16, 2021 · 14 filings
SEC status approved since Sep 16, 2021
RAUM
$513M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$464M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$513M as of Mar 27, 2026
Mar 21, 2022$147M then
HNW client RAUM$407M as of Mar 27, 2026
Mar 21, 2022$82.9M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 21, 20222 then
Employees (5.A)2 as of Mar 27, 2026
Mar 21, 20222 then
Private funds: no history
RAUM +40% over the last fiscal year+60% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $495,404derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$407M79%
- Individuals$57.0M11%
- Pension and profit-sharing plans$47.9M9.3%
- Charitable organizations$1.6M0.3%
- Individual clients
- 378reported
- HNW clients
- 131reported
- Pension plan clients
- 109reported
- Charitable clients
- n/areported
- Accounts
- 1,036reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• P••• C••••• | Los Angeles, Ca | Oct 21, 2019 | 15 y | 3 |
| H•••••• Y• | Los Angeles, Ca | Aug 13, 2024 | 12 y | 0 |
| D•••• M•••••• D••••••• | Los Angeles, Ca | Dec 24, 2025 | 15 y | 6 |
| E•••• X•••Chartered Financial Analyst | Los Angeles, Ca | Feb 1, 2026 | 13 y | 0 |
| P••••• T••••••• | Los Angeles, Ca | May 21, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A••••• M•••••• to P•••• S••••••••• L••Sep 14, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• M•••••• D••••••• from A•••••••• C•••••• A•••••••• L••Dec 24, 2025 · RIA to RIA
- A••••• M•••••• from M••••• S••••••Feb 3, 2022 · Wirehouse to independent RIA
- S••••• P••• C••••• from S•••••••• W•••••• L••Oct 21, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• S•••••• P••• · Managing Director And Ccocontrolsince 07/2019 · owns 75% or more
Related persons
Schedule D 7.A
- D•• P•••• C••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $366,631,000 to $513,238,282 (+40.0%) between the annual amendments of 2025-04-29 and 2026-03-27; the peer median change was +16.0% (1385 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 919 to 1,036Apr 29, 2025 to Mar 27, 2026
- HNW clients · 100 to 131Apr 29, 2025 to Mar 27, 2026
- Individual clients · 345 to 378Apr 29, 2025 to Mar 27, 2026
- Pension plan clients · 105 to 109Apr 29, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to More than 500Apr 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $362M to $512MApr 29, 2025 to Mar 27, 2026
- HNW RAUM · $250M to $407MApr 29, 2025 to Mar 27, 2026
- Individual RAUM · $81.9M to $57.0MApr 29, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $4.6M to $1.2MApr 29, 2025 to Mar 27, 2026
- Pension RAUM · $33.0M to $47.9MApr 29, 2025 to Mar 27, 2026
- RAUM · $367M to $513MApr 29, 2025 to Mar 27, 2026
- Accounts · 654 to 919Nov 22, 2024 to Apr 29, 2025
- Advisory activities · 5 to 4Nov 22, 2024 to Apr 29, 2025
- HNW clients · 91 to 100Nov 22, 2024 to Apr 29, 2025
- Individual clients · 209 to 345Nov 22, 2024 to Apr 29, 2025
- Pension plan clients · 83 to 105Nov 22, 2024 to Apr 29, 2025
- Financial planning clients · 251-500 to 251-500Nov 22, 2024 to Apr 29, 2025
- Discretionary RAUM · $155M to $362MNov 22, 2024 to Apr 29, 2025
- HNW RAUM · $93.4M to $250MNov 22, 2024 to Apr 29, 2025
- Individual RAUM · $39.4M to $81.9MNov 22, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $6.4M to $4.6MNov 22, 2024 to Apr 29, 2025
- Pension RAUM · $26.9M to $33.0MNov 22, 2024 to Apr 29, 2025
- RAUM · $162M to $367MNov 22, 2024 to Apr 29, 2025
- Accounts · 683 to 654Oct 20, 2023 to Mar 27, 2024
- HNW clients · 69 to 91Oct 20, 2023 to Mar 27, 2024
- Individual clients · 223 to 209Oct 20, 2023 to Mar 27, 2024
- Pension plan clients · 67 to 83Oct 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $124M to $155MOct 20, 2023 to Mar 27, 2024
- HNW RAUM · $67.8M to $93.4MOct 20, 2023 to Mar 27, 2024
- Individual RAUM · $35.3M to $39.4MOct 20, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $355,000 to $6.4MOct 20, 2023 to Mar 27, 2024
- Pension RAUM · $17.8M to $26.9MOct 20, 2023 to Mar 27, 2024
- RAUM · $124M to $162MOct 20, 2023 to Mar 27, 2024
- Advisory activities · 4 to 5Mar 28, 2023 to Oct 20, 2023
- Accounts · 578 to 683Dec 20, 2022 to Mar 28, 2023
- HNW clients · 64 to 69Dec 20, 2022 to Mar 28, 2023
- Individual clients · 148 to 223Dec 20, 2022 to Mar 28, 2023
- Pension plan clients · 54 to 67Dec 20, 2022 to Mar 28, 2023
- Discretionary RAUM · $141M to $124MDec 20, 2022 to Mar 28, 2023
- HNW RAUM · $82.9M to $67.8MDec 20, 2022 to Mar 28, 2023
Signals
4 dated events
- D•• P•••• C•••••• reported RAUM $513.2M, up 40% from $366.6M (2025-04-29 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- D•• P•••• C•••••• reported RAUM $366.6M, up 127% from $161.5M (2024-11-22 to 2025-04-29)Apr 29, 2025 · RAUM change · derived
- A••••• M•••••• left D•• P•••• C•••••• for P•••• S••••••••• L•• (registered 2022-07-21)Sep 14, 2022 · Advisor changed firm · fact
- D•• P•••• C•••••• filed its initial SEC registration (Form ADV)Aug 16, 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
- i•••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-490-7248reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-930-5441reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-258-2174reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-258-2174reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026