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.

Former SEC-registered adviser

Running Point Capital Advisors LLC

Former SEC-registered adviserEl Segundo, CaliforniaCRD 306275SEC 801-117793websiteIAPD
Latest filing Mar 19, 2026
First filing on the tape Nov 14, 2019 · 17 filings
SEC status approved since Dec 12, 2019
RAUM
$746M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$743M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$746M as of Mar 19, 2026
Mar 30, 2020$218M then
HNW client RAUM$725M as of Mar 19, 2026
Mar 30, 2020$204M then
State-registered IARs (5.B.3)5 as of Mar 19, 2026
Mar 30, 20203 then
Employees (5.A)9 as of Mar 19, 2026
Mar 30, 20205 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
RAUM per advisor
$149MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.4MderivedHNW RAUM over HNW clients
Average account
$887,649derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$27.3M, 29 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$725M97%
  • Individuals$18.2M2.4%
  • Corporations and businesses$2.2M0.3%
Individual clients
42reported
HNW clients
134reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
840reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$27.3M for 29 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
5 left, 0 joined in 12 months
net -5 in 12 months1 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Frederick James Schlager · Ceo And Cco, Managercontrol
      since 09/2019 · owns 75% or more
    • Ashley Michael Schulman · Chief Investment Officer
      since 10/2019 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • Running Point Capital Insurance Agency, LLC
      real estaten
    • Running Point Tax & Consulting LLC
      insurancen
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    El Segundo, Ca · principal005
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 748 to 840
      Dec 22, 2025 to Mar 19, 2026
    • HNW clients · 125 to 134
      Dec 22, 2025 to Mar 19, 2026
    • Individual clients · 33 to 42
      Dec 22, 2025 to Mar 19, 2026
    • Pension plan clients · 1 to 0
      Dec 22, 2025 to Mar 19, 2026
    • Assets in custody · $41.5M to $27.3M
      Dec 22, 2025 to Mar 19, 2026
    • Discretionary RAUM · $643M to $730M
      Dec 22, 2025 to Mar 19, 2026
    • HNW RAUM · $648M to $725M
      Dec 22, 2025 to Mar 19, 2026
    • Individual RAUM · $5.7M to $18.2M
      Dec 22, 2025 to Mar 19, 2026
    • Non-discretionary RAUM · $13.6M to $15.5M
      Dec 22, 2025 to Mar 19, 2026
    • Pension RAUM · $1.0M to $0
      Dec 22, 2025 to Mar 19, 2026
    • RAUM · $657M to $746M
      Dec 22, 2025 to Mar 19, 2026
    • Accounts · 612 to 748
      Mar 28, 2024 to Mar 31, 2025
    • Advisory employees · 5 to 6
      Mar 28, 2024 to Mar 31, 2025
    • Corporate clients · 1 to 4
      Mar 28, 2024 to Mar 31, 2025
    • HNW clients · 103 to 125
      Mar 28, 2024 to Mar 31, 2025
    • Individual clients · 26 to 33
      Mar 28, 2024 to Mar 31, 2025
    • Assets in custody · $53.0M to $41.5M
      Mar 28, 2024 to Mar 31, 2025
    • Employees · 8 to 9
      Mar 28, 2024 to Mar 31, 2025
    • Financial planning clients · 101-250 to 101-250
      Mar 28, 2024 to Mar 31, 2025
    • Discretionary RAUM · $484M to $643M
      Mar 28, 2024 to Mar 31, 2025
    • HNW RAUM · $483M to $648M
      Mar 28, 2024 to Mar 31, 2025
    • Individual RAUM · $5.9M to $5.7M
      Mar 28, 2024 to Mar 31, 2025
    • Non-discretionary RAUM · $25.7M to $13.6M
      Mar 28, 2024 to Mar 31, 2025
    • Pension RAUM · $933,734 to $1.0M
      Mar 28, 2024 to Mar 31, 2025
    • RAUM · $509M to $657M
      Mar 28, 2024 to Mar 31, 2025
    • Accounts · 601 to 612
      Mar 28, 2023 to Mar 28, 2024
    • BD registered reps · 0 to 2
      Mar 28, 2023 to Mar 28, 2024
    • Corporate clients · 0 to 1
      Mar 28, 2023 to Mar 28, 2024
    • HNW clients · 104 to 103
      Mar 28, 2023 to Mar 28, 2024
    • Assets in custody · $38.8M to $53.0M
      Mar 28, 2023 to Mar 28, 2024
    • Discretionary RAUM · $436M to $484M
      Mar 28, 2023 to Mar 28, 2024
    • HNW RAUM · $464M to $483M
      Mar 28, 2023 to Mar 28, 2024
    • Individual RAUM · $5.8M to $5.9M
      Mar 28, 2023 to Mar 28, 2024
    • Non-discretionary RAUM · $38.1M to $25.7M
      Mar 28, 2023 to Mar 28, 2024
    • Pension RAUM · $809,579 to $933,734
      Mar 28, 2023 to Mar 28, 2024
    • RAUM · $474M to $509M
      Mar 28, 2023 to Mar 28, 2024
    • Accounts · 668 to 601
      Apr 21, 2022 to Mar 28, 2023
    • Advisory employees · 4 to 5
      Apr 21, 2022 to Mar 28, 2023
    • Advisory activities · 4 to 3
      Apr 21, 2022 to Mar 28, 2023
    • Charity clients · 10 to 0
      Apr 21, 2022 to Mar 28, 2023
    Signals
    12 dated events
    • Running Point Capital Advisors Llc no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $745.6M)
      Sep 1, 2026 · Left the SEC roster · derived
    • James Frederick Schlager left Running Point Capital Advisors Llc for Cerity Partners Llc (registered 2026-03-06)
      Aug 3, 2026 · Advisor changed firm · fact
    • Abraham Daniel Israeli left Running Point Capital Advisors Llc for Cerity Partners Llc (registered 2026-03-06)
      Mar 30, 2026 · Advisor changed firm · fact
    • Daniel Andrew Kerr left Running Point Capital Advisors Llc for Cerity Partners Llc (registered 2026-03-06)
      Mar 30, 2026 · Advisor changed firm · fact
    • Michael Ashley Schulman left Running Point Capital Advisors Llc for Cerity Partners Llc (registered 2026-03-09)
      Mar 30, 2026 · Advisor changed firm · fact
    • Elizabeth Boles Desousa left Running Point Capital Advisors Llc for Cerity Partners Llc (registered 2026-03-09)
      Mar 30, 2026 · Advisor changed firm · fact
    • Running Point Capital Advisors LLC's advisors moved to Cerity Partners LLC (EL Segundo, CA): 4 of 5 registered, on the same day
      Mar 30, 2026 · Firm absorbed (people side) · derived
    • Running Point Capital Advisors Llc reported RAUM $656.9M, up 29% from $509.4M (2024-03-28 to 2025-03-31)
      Mar 31, 2025 · RAUM change · derived
    • Joshua Darrin Mudse left Running Point Capital Advisors Llc for Family Financial (registered 2022-03-21)
      Aug 3, 2022 · Advisor changed firm · fact
    • Tammy Anne Trenta left Running Point Capital Advisors Llc for Family Financial (registered 2022-12-09)
      Jan 3, 2022 · Advisor changed firm · fact
    • Running Point Capital Advisors Llc reported RAUM $387.7M, up 78% from $218.2M (2020-12-04 to 2021-03-30)
      Mar 30, 2021 · RAUM change · derived
    • Running Point Capital Advisors Llc filed its initial SEC registration (Form ADV)
      Nov 14, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026