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

Surevest Private Wealth

Former SEC-registered adviserLos Angeles, CaliforniaCRD 306872SEC 801-117935IAPD
Legal name Surevest, LLC
Latest filing Feb 28, 2023
First filing on the tape Dec 12, 2019 · 29 filings
RAUM
$541M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
97%
$527M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$541M as of Mar 29, 2022
Feb 11, 2021$451M then
HNW client RAUM$60.9M as of Mar 29, 2022
Feb 11, 2021$383M then
State-registered IARs (5.B.3)12 as of Mar 29, 2022
Feb 11, 202114 then
Employees (5.A)12 as of Mar 29, 2022
Feb 11, 202114 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 14 to 12offices 1 to 2
Practice profile
derived from the filing of Feb 28, 2023; every figure names its basis
RAUM per advisor
$45.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$411,648derivedHNW RAUM over HNW clients
Average account
$607,338derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+19%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 consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$124MreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$466M86%
  • High-net-worth individuals$60.9M11%
  • Pension and profit-sharing plans$14.5M2.7%
  • Charitable organizations$1,0000.0%
Individual clients
198reported
HNW clients
148reported
Pension plan clients
4reported
Charitable clients
1reported
Accounts
891reported
Financial planning clients
1-10reported
Wrap fee programs
$62.1M sponsored, $0 managedreported
Custody of client assets
noreported
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
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
  • A Jeremy Kisner · Director Of Financial Planningcontrol
    since 01/2020 · owns less than 5%
  • Triston Larry Nakamura · Chief Compliance Officercontrol
    since 02/2023 · owns less than 5%
Entity owners
  • Ci Private Wealth, LLC · Owner
    direct · owns 75% or more
  • Ci Financial Corp. · Owner
    indirect · owns 75% or more of Ci US Holdings, Inc
  • Ci US Holdings, Inc · Owner
    indirect · owns 75% or more of Cipw Holdings, LLC
  • Cipw Holdings, LLC · Owner
    indirect · owns 75% or more of Ci Private Wealth, LLC
Related persons
Schedule D 7.A
  • Corient
    investment adviseryRAUM $165B
Offices
Schedule D 1.F, the 25 largest
  • Phoenix, AZ4 employees
  • Cedar Rapids, IA1 employees
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Mar 29, 2022 to Jan 9, 2023
  • Accounts · 843 to 891
    Nov 3, 2021 to Mar 29, 2022
  • Advisory employees · 14 to 3
    Nov 3, 2021 to Mar 29, 2022
  • Charity clients · unset to 1.0
    Nov 3, 2021 to Mar 29, 2022
  • HNW clients · 115 to 148
    Nov 3, 2021 to Mar 29, 2022
  • Individual clients · 176 to 198
    Nov 3, 2021 to Mar 29, 2022
  • Pension plan clients · unset to 4.0
    Nov 3, 2021 to Mar 29, 2022
  • Employees · 14 to 12
    Nov 3, 2021 to Mar 29, 2022
  • State-registered IARs · 14 to 12
    Nov 3, 2021 to Mar 29, 2022
  • Discretionary RAUM · $418M to $499M
    Nov 3, 2021 to Mar 29, 2022
  • HNW RAUM · $383M to $60.9M
    Nov 3, 2021 to Mar 29, 2022
  • Individual RAUM · $55.4M to $466M
    Nov 3, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $33.4M to $42.3M
    Nov 3, 2021 to Mar 29, 2022
  • Pension RAUM · $12.5M to $14.5M
    Nov 3, 2021 to Mar 29, 2022
  • RAUM · $451M to $541M
    Nov 3, 2021 to Mar 29, 2022
  • Wrap assets (sponsor) · $61.5M to $62.1M
    Nov 3, 2021 to Mar 29, 2022
  • Other offices · 1 to 2
    Jul 2, 2021 to Jul 2, 2021
  • Accounts · 772 to 843
    Jan 15, 2021 to Feb 11, 2021
  • Advisory employees · 8 to 14
    Jan 15, 2021 to Feb 11, 2021
  • HNW clients · 93 to 115
    Jan 15, 2021 to Feb 11, 2021
  • Individual clients · 183 to 176
    Jan 15, 2021 to Feb 11, 2021
  • Employees · 8 to 14
    Jan 15, 2021 to Feb 11, 2021
  • State-registered IARs · 8 to 14
    Jan 15, 2021 to Feb 11, 2021
  • Discretionary RAUM · $356M to $418M
    Jan 15, 2021 to Feb 11, 2021
  • HNW RAUM · $291M to $383M
    Jan 15, 2021 to Feb 11, 2021
  • Individual RAUM · $91.0M to $55.4M
    Jan 15, 2021 to Feb 11, 2021
  • Non-discretionary RAUM · $26.3M to $33.4M
    Jan 15, 2021 to Feb 11, 2021
  • Pension RAUM · unset to 12539197.0
    Jan 15, 2021 to Feb 11, 2021
  • RAUM · $382M to $451M
    Jan 15, 2021 to Feb 11, 2021
  • Wrap assets (sponsor) · $68.5M to $61.5M
    Jan 15, 2021 to Feb 11, 2021
  • HQ city · PHOENIX to LOS ANGELES
    Sep 2, 2020 to Sep 3, 2020
  • HQ state · AZ to CA
    Sep 2, 2020 to Sep 3, 2020
  • Other offices · 3 to 2
    Sep 2, 2020 to Sep 3, 2020
  • Other offices · 2 to 1
    Sep 3, 2020 to Sep 3, 2020
  • Business name · SUREVEST WEALTH MANAGEMENT to SUREVEST PRIVATE WEALTH
    Jul 30, 2020 to Aug 6, 2020
  • Business name · SUREVEST, LLC to SUREVEST WEALTH MANAGEMENT
    Feb 4, 2020 to Apr 14, 2020
  • Accounts · 771 to 772
    Jan 9, 2020 to Jan 24, 2020
  • HNW clients · 91 to 93
    Jan 9, 2020 to Jan 24, 2020
  • Individual clients · 187 to 183
    Jan 9, 2020 to Jan 24, 2020
  • Other offices · 5 to 3
    Jan 9, 2020 to Jan 24, 2020
Signals
17 dated events
  • 2 advisors left Surevest Private Wealth (Los Angeles, CA) for Corient on the same day
    Mar 31, 2023 · Team lift-out · derived
  • Jeremy A Kisner left Surevest Private Wealth for Corient (registered 2023-01-09)
    Mar 31, 2023 · Advisor changed firm · fact
  • Alexander Harrison Keller left Surevest Private Wealth for Corient (registered 2024-04-18)
    Mar 31, 2023 · Advisor changed firm · fact
  • Luis A Galdamez left Surevest Private Wealth for Valtrion Capital Management, Llc (registered 2025-01-01)
    Mar 15, 2023 · Advisor changed firm · fact
  • Levi James Brown left Surevest Private Wealth for Corient (registered 2023-01-09)
    Mar 2, 2023 · Advisor changed firm · fact
  • J Robert Luna (Chief Compliance Officer) no longer on Schedule A of Surevest Private Wealth (listed 2023-01-09, absent 2023-02-28)
    Feb 28, 2023 · Control person left · inference
  • A Luis Galdamez (Managing Director - Investments) no longer on Schedule A of Surevest Private Wealth (listed 2023-01-09, absent 2023-02-28)
    Feb 28, 2023 · Control person left · inference
  • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Surevest Private Wealth
    Feb 28, 2023 · Control person joined · fact
  • Moriah Ranade left Surevest Private Wealth for Dfpg Investments, Llc (registered 2022-12-05)
    Dec 12, 2022 · Advisor changed firm · fact
  • Breanne Nicole Polonia left Surevest Private Wealth for Dfpg Investments, Llc (registered 2022-12-01)
    Dec 12, 2022 · Advisor changed firm · fact
  • Haddy Alexander Homampour left Surevest Private Wealth for Dfpg Investments, Llc (registered 2022-11-30)
    Dec 12, 2022 · Advisor changed firm · fact
  • 3 advisors left Surevest Private Wealth (Los Angeles, CA) for Dfpg Investments, LLC on the same day
    Dec 12, 2022 · Team lift-out · derived
  • Peter R Burnham left Surevest Private Wealth for Dfpg Investments, Llc (registered 2022-12-12)
    Dec 12, 2022 · Advisor changed firm · fact
  • A Luis Galdamez (Managing Director - Investments & Member) appeared on Schedule A of Surevest Private Wealth
    Jan 24, 2020 · Control person joined · fact
  • A Jeremy Kisner (Director Of Financial Planning & Member) appeared on Schedule A of Surevest Private Wealth
    Jan 24, 2020 · Control person joined · fact
  • Surevest, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Dec 12, 2019 · Succession (Item 4) · fact
  • Surevest, Llc filed its initial SEC registration (Form ADV)
    Dec 12, 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