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.
SEC-registered adviser
Blue Zone Wealth Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Sep 26, 2019 · 20 filings
SEC status approved since Oct 28, 2019
RAUM
$770M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$770M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$770M as of Mar 30, 2026
Mar 5, 2020$229M then
HNW client RAUM$744M as of Mar 30, 2026
Mar 5, 2020$216M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 5, 20203 then
Employees (5.A)7 as of Mar 30, 2026
Mar 5, 20204 then
Private funds4 as of Mar 30, 2026
Mar 30, 20221 then
RAUM +36% over the last fiscal year+28% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $27.1M, 62 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$744M97%
- Individuals$26.1M3.4%
- Individual clients
- 77reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 574reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.1M for 62 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Judith Maria Lu | Los Angeles, Ca | Jun 30, 2020 | 22 y | 5 |
| Jay Carl Sanders | Los Angeles, Ca | Nov 16, 2023 | 10 y | 0 |
| Anderson Jansen LafontantCertified Financial Planner | Los Angeles, Ca | Jun 25, 2024 | 12 y | 1 |
| Joshua Martin SailarCertified Financial Planner | Los Angeles, Ca | Jan 1, 2025 | 13 y | 2 |
| Bryan James LeeChartered Financial Analyst | Los Angeles, Ca | Apr 25, 2025 | 13 y | 1 |
| Justin Junho YooChartered Financial Analyst | Los Angeles, Ca | Oct 23, 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
- Bryan James Lee from Private Management Group IncApr 25, 2025 · RIA to RIA
- Joshua Martin Sailar from Composition Wealth, LLCJan 1, 2025 · RIA to RIA
- Anderson Jansen Lafontant from Composition Wealth, LLCJun 25, 2024 · RIA to RIA
- Judith Maria Lu from Composition Wealth, LLCJun 30, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Composition Wealth, LLCDec 9, 2019 · Los Angeles, Ca
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Glide Direct Series LLC - Bzwa Whitehorse V Secondaries Access Fund Sp | Liquidity Fund | $13.5M | 43 | Oct 31, 2023 |
| Blue Zone Wealth Advisors Spv I Simplifya | Private Equity Fund | $3.3M | 30 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Maria Judith Lu · Owner & Chief Compliance Officercontrolsince 12/2019 · owns 75% or more
- James Bryan Lee · Chief Investment Officersince 02/2020 · owns less than 5%
- Martin Joshua Sailar · Ownersince 01/2022 · 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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 538 to 574Nov 20, 2025 to Mar 30, 2026
- Advisory employees · 5 to 6Nov 20, 2025 to Mar 30, 2026
- HNW clients · 90 to 104Nov 20, 2025 to Mar 30, 2026
- Individual clients · 80 to 77Nov 20, 2025 to Mar 30, 2026
- Assets in custody · $17.3M to $27.1MNov 20, 2025 to Mar 30, 2026
- Employees · 6 to 7Nov 20, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 1-10Nov 20, 2025 to Mar 30, 2026
- State-registered IARs · 5 to 6Nov 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $565M to $770MNov 20, 2025 to Mar 30, 2026
- HNW RAUM · $536M to $744MNov 20, 2025 to Mar 30, 2026
- Individual RAUM · $28.6M to $26.1MNov 20, 2025 to Mar 30, 2026
- RAUM · $565M to $770MNov 20, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Nov 20, 2025
- Private funds · 3 to 4Mar 31, 2025 to Nov 20, 2025
- Accounts · 414 to 538Mar 25, 2024 to Mar 31, 2025
- Advisory employees · 4 to 5Mar 25, 2024 to Mar 31, 2025
- HNW clients · 84 to 90Mar 25, 2024 to Mar 31, 2025
- Individual clients · 62 to 80Mar 25, 2024 to Mar 31, 2025
- Pension plan clients · 22.0 to unsetMar 25, 2024 to Mar 31, 2025
- Assets in custody · $10.7M to $17.3MMar 25, 2024 to Mar 31, 2025
- Employees · 5 to 6Mar 25, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 5Mar 25, 2024 to Mar 31, 2025
- Private funds · 2 to 3Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $462M to $565MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $426M to $536MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $17.2M to $28.6MMar 25, 2024 to Mar 31, 2025
- Pension RAUM · 18927751.0 to unsetMar 25, 2024 to Mar 31, 2025
- RAUM · $462M to $565MMar 25, 2024 to Mar 31, 2025
- Accounts · 359 to 414Oct 31, 2023 to Mar 25, 2024
- Advisory employees · 3 to 4Oct 31, 2023 to Mar 25, 2024
- HNW clients · 72 to 84Oct 31, 2023 to Mar 25, 2024
- Individual clients · 60 to 62Oct 31, 2023 to Mar 25, 2024
- Pension plan clients · 15 to 22Oct 31, 2023 to Mar 25, 2024
- Assets in custody · unset to 10742500.0Oct 31, 2023 to Mar 25, 2024
- Custody of client assets · false to trueOct 31, 2023 to Mar 25, 2024
- Employees · 4 to 5Oct 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $363M to $462MOct 31, 2023 to Mar 25, 2024
- HNW RAUM · $330M to $426MOct 31, 2023 to Mar 25, 2024
- Individual RAUM · $15.7M to $17.2MOct 31, 2023 to Mar 25, 2024
- Pension RAUM · $17.4M to $18.9MOct 31, 2023 to Mar 25, 2024
Signals
5 dated events
- Blue Zone Wealth Advisors, Llc reported RAUM $770.0M, up 36% from $564.8M (2025-11-20 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Blue Zone Wealth Advisors, Llc reported RAUM $399.2M, up 36% from $294.0M (2021-03-19 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Marc Bencivenga (Chief Compliance Officer) no longer on Schedule A of Blue Zone Wealth Advisors, Llc (listed 2019-11-14, absent 2019-12-06)Dec 6, 2019 · Control person left · inference
- Maria Judith Lu (Owner & Chief Compliance Officer) appeared on Schedule A of Blue Zone Wealth Advisors, LlcDec 6, 2019 · Control person joined · fact
- Blue Zone Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Sep 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Blue Zone Wealth Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Blue Zone Wealth Advisors, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 310-310-2789reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/67559584/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- bluezoneadvisory.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (310) 310-2789reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- bluezoneadvisory.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bluezoneadvisory.com/teamreportedpublished 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026