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
A••• A•••••••• L••
Latest filing Jul 17, 2026
First filing on the tape Sep 30, 2020 · 21 filings
SEC status approved since Nov 20, 2020
RAUM
$1.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
93%
$939M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$83.9M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.0B as of Jul 17, 2026
Mar 25, 2021$111M then
HNW client RAUM$924M as of Jul 17, 2026
Mar 25, 2021$111M then
State-registered IARs (5.B.3)9 as of Jul 17, 2026
Mar 25, 20213 then
Employees (5.A)9 as of Jul 17, 2026
Mar 25, 20213 then
Private funds: no history
RAUM +11% over the last fiscal year+16% a year over threeIARs 8 to 9offices 0 to 1
Practice profile
derived from the filing of Jul 17, 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
- RAUM per advisor
- $83.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $865,378derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $302M, 184 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$924M93%
- Pension and profit-sharing plans$33.0M3.3%
- Corporations and businesses$19.5M2.0%
- Individuals$14.9M1.5%
- Charitable organizations$212,5240.0%
- Individual clients
- 40reported
- HNW clients
- 300reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 1,163reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $302M for 184 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• N•••••••••Certified Financial Planner | Beverly Hills, Ca | Nov 20, 2020 | 32 y | 3 |
| A••• A•• M•••••• | Beverly Hills, Ca | Nov 20, 2020 | 32 y | 2 |
| B••••••• P•••••• B••••• | Beverly Hills, Ca | Apr 30, 2021 | 14 y | 2 |
| P••••• H••• F•••••• | Beverly Hills, Ca | Jun 1, 2021 | 33 y | 2 |
| K••••••• C•••• D•••••• | Beverly Hills, Ca | Oct 18, 2021 | 19 y | 4 |
| J•••• C•••••• N•••• | Beverly Hills, Ca | Feb 14, 2022 | 33 y | 2 |
| N••••• M•••••• | Beverly Hills, Ca | Sep 10, 2024 | 12 y | 0 |
| L••• D•••••• M•••••• | Beverly Hills, Ca | Dec 10, 2024 | 10 y | 0 |
| D••••• P• E•••• | Beverly Hills, Ca | Jan 9, 2026 | 11 y | 2 |
| M••••• K•••••••• | Beverly Hills, Ca | Feb 17, 2026 | 14 y | 0 |
| N••• T••••• U••••Certified Financial Planner | Beverly Hills, Ca | Apr 26, 2026 | 15 y | 2 |
| S••••• L•• | Beverly Hills, Ca | Aug 5, 2026 | 20 y | 4 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T•••••• L••• K•••• to W••••••••• A••••••• P••••••• L••Apr 18, 2023 · RIA to RIA
Joined, latest
- S••••• L•• from W•••• F•••• A•••••••Aug 5, 2026 · Wirehouse to independent RIA
- N••• T••••• U•••• from A••••••• A••••••• • S••••••••• L••Apr 26, 2026 · RIA to RIA
- D••••• P• E•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 9, 2026 · Wirehouse to independent RIA
- J•••• C•••••• N•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 14, 2022 · Wirehouse to independent RIA
- K••••••• C•••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 18, 2021 · Wirehouse to independent RIA
- P••••• H••• F•••••• from W•••• F•••• A•••••••Jun 1, 2021 · Wirehouse to independent RIA
- B••••••• P•••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 30, 2021 · Wirehouse to independent RIA
- T•••••• L••• K•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 4, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••• A•• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 20, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• N••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 20, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 23, 2020 · Beverly Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A•••• A•• · Co-Foundercontrolsince 11/2020 · owns 75% or more
- N••••••••• S••••• · Co-Founder & Senior Partner & Chief Compliance Officercontrolsince 01/2026 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Beverly Hills, Ca · principal | 12 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,029 to 1,163Jan 8, 2026 to Feb 9, 2026
- Advisory employees · 8 to 9Jan 8, 2026 to Feb 9, 2026
- Corporate clients · unset to 14.0Jan 8, 2026 to Feb 9, 2026
- HNW clients · 242 to 300Jan 8, 2026 to Feb 9, 2026
- Individual clients · 87 to 40Jan 8, 2026 to Feb 9, 2026
- Pension plan clients · unset to 15.0Jan 8, 2026 to Feb 9, 2026
- Assets in custody · $451M to $302MJan 8, 2026 to Feb 9, 2026
- Employees · 8 to 9Jan 8, 2026 to Feb 9, 2026
- Financial planning clients · 0 to 251-500Jan 8, 2026 to Feb 9, 2026
- State-registered IARs · 8 to 9Jan 8, 2026 to Feb 9, 2026
- Discretionary RAUM · $891M to $986MJan 8, 2026 to Feb 9, 2026
- HNW RAUM · $872M to $924MJan 8, 2026 to Feb 9, 2026
- Individual RAUM · $12.9M to $14.9MJan 8, 2026 to Feb 9, 2026
- Non-discretionary RAUM · $14.9M to $20.5MJan 8, 2026 to Feb 9, 2026
- Pension RAUM · $346,669 to $33.0MJan 8, 2026 to Feb 9, 2026
- RAUM · $905M to $1.0BJan 8, 2026 to Feb 9, 2026
- Other offices · 0 to 1Mar 20, 2025 to Jan 8, 2026
- Accounts · 931 to 1,029Mar 7, 2024 to Mar 20, 2025
- Advisory employees · 7 to 8Mar 7, 2024 to Mar 20, 2025
- HNW clients · 220 to 242Mar 7, 2024 to Mar 20, 2025
- Individual clients · 123 to 87Mar 7, 2024 to Mar 20, 2025
- Assets in custody · $898M to $451MMar 7, 2024 to Mar 20, 2025
- Employees · 11 to 8Mar 7, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Mar 20, 2025
- State-registered IARs · 7 to 8Mar 7, 2024 to Mar 20, 2025
- Discretionary RAUM · $827M to $891MMar 7, 2024 to Mar 20, 2025
- HNW RAUM · $798M to $872MMar 7, 2024 to Mar 20, 2025
- Individual RAUM · $29.1M to $12.9MMar 7, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $0 to $14.9MMar 7, 2024 to Mar 20, 2025
- Pension RAUM · unset to 346669.0Mar 7, 2024 to Mar 20, 2025
- RAUM · $827M to $905MMar 7, 2024 to Mar 20, 2025
- Accounts · 2,013 to 931Sep 26, 2023 to Mar 7, 2024
- Advisory employees · 8 to 7Sep 26, 2023 to Mar 7, 2024
- Advisory activities · 4 to 5Sep 26, 2023 to Mar 7, 2024
- HNW clients · 235 to 220Sep 26, 2023 to Mar 7, 2024
- Individual clients · 59 to 123Sep 26, 2023 to Mar 7, 2024
- Assets in custody · $590M to $898MSep 26, 2023 to Mar 7, 2024
- State-registered IARs · 8 to 7Sep 26, 2023 to Mar 7, 2024
- Discretionary RAUM · $640M to $827MSep 26, 2023 to Mar 7, 2024
- HNW RAUM · $632M to $798MSep 26, 2023 to Mar 7, 2024
Signals
6 dated events
- A••• A•••••••• L•• reported RAUM $827.4M, up 29% from $640.1M (2023-09-26 to 2024-03-07)Mar 7, 2024 · RAUM change · derived
- T•••••• L••• K•••• left A••• A•••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2023-04-17)Apr 18, 2023 · Advisor changed firm · fact
- A••• A•••••••• L•• reported RAUM $640.1M, up 47% from $436.7M (2022-04-29 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- A••• A•••••••• L•• reported RAUM $436.7M, up 61% from $271.8M (2021-10-21 to 2022-02-07)Feb 7, 2022 · RAUM change · derived
- A••• A•••••••• L•• reported RAUM $271.8M, up 144% from $111.2M (2021-03-25 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- P•••••• N•••• L•• filed its initial SEC registration (Form ADV)Sep 30, 2020 · 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
- Firm profile
- linkedin.com/company/aireadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-277-2473reportedpublic record, Form ADV, Jul 17, 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
- $83.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026