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
U•••• A•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 28, 2020 · 28 filings
SEC status approved since May 22, 2020
RAUM
$45.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$45.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$45.6M as of Apr 1, 2026
Jan 27, 2021$2.8M then
HNW client RAUM$0 as of Apr 1, 2026
Jan 27, 2021$0 then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Jan 27, 20211 then
Employees (5.A)1 as of Apr 1, 2026
Jan 27, 202114 then
Private funds: no history
RAUM +28% over the last fiscal year+37% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $45.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20,394derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2,235derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $35.7MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$45.6M100%
- Individual clients
- 20,394reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 20,394reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• L••••••• K•••••••Chartered Financial Analyst | Atlanta, Ga | Sep 10, 2025 | 16 y | 1 |
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 headcount3 left over 36 months
Left, latest
- B•••• C••••••• B••••••• to W••••••••• A••••••• L••Oct 4, 2024 · RIA to RIA
- B•••••• M•••••••• to C••••• I••••••••• A••••••• L••Feb 21, 2024 · RIA to affiliated broker-dealer or bank
- K••••• Y• Y••••• to M•••• I•••Nov 9, 2023 · RIA to a newly registered adviser
- M•••• V••••••• H••••••• to W••••••••• A••••••• L••Aug 30, 2022 · RIA to RIA
Joined, latest
- K••••• Y• Y••••• from U••••• H•••••••• I•••Mar 9, 2021 · RIA to RIA
- M•••• V••••••• H••••••• from A•••••Nov 25, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• B••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
Entity owners
- U•••• H•••••••• I•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- U•••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glendale, Co | 0 | 0 | 0 | ||
| Laramie, Wy · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19,144 to 20,394Mar 3, 2026 to Apr 1, 2026
- Advisory employees · 2 to 1Mar 3, 2026 to Apr 1, 2026
- Individual clients · 19,144 to 20,394Mar 3, 2026 to Apr 1, 2026
- Employees · 2 to 1Mar 3, 2026 to Apr 1, 2026
- Discretionary RAUM · $35.7M to $45.6MMar 3, 2026 to Apr 1, 2026
- Individual RAUM · $35.7M to $45.6MMar 3, 2026 to Apr 1, 2026
- RAUM · $35.7M to $45.6MMar 3, 2026 to Apr 1, 2026
- Financial planning clients · 0 to 0Apr 30, 2025 to Nov 22, 2025
- Accounts · 20,068 to 19,144Oct 22, 2024 to Apr 30, 2025
- Advisory employees · 1 to 2Oct 22, 2024 to Apr 30, 2025
- BD registered reps · 2 to 1Oct 22, 2024 to Apr 30, 2025
- Individual clients · 20,068 to 19,144Oct 22, 2024 to Apr 30, 2025
- Employees · 4 to 2Oct 22, 2024 to Apr 30, 2025
- HQ city · NORTH HOLLYWOOD to LARAMIEOct 22, 2024 to Apr 30, 2025
- HQ state · CA to WYOct 22, 2024 to Apr 30, 2025
- Discretionary RAUM · $26.4M to $35.7MOct 22, 2024 to Apr 30, 2025
- Individual RAUM · $26.4M to $35.7MOct 22, 2024 to Apr 30, 2025
- RAUM · $26.4M to $35.7MOct 22, 2024 to Apr 30, 2025
- Accounts · 33,983 to 20,068Dec 11, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Dec 11, 2023 to Mar 28, 2024
- BD registered reps · 3 to 2Dec 11, 2023 to Mar 28, 2024
- Individual clients · 33,983 to 20,068Dec 11, 2023 to Mar 28, 2024
- Employees · 6 to 4Dec 11, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Dec 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $25.4M to $26.4MDec 11, 2023 to Mar 28, 2024
- Individual RAUM · $25.4M to $26.4MDec 11, 2023 to Mar 28, 2024
- RAUM · $25.4M to $26.4MDec 11, 2023 to Mar 28, 2024
- Accounts · 20,338 to 33,983Nov 13, 2023 to Dec 11, 2023
- Advisory employees · 3 to 2Nov 13, 2023 to Dec 11, 2023
- BD registered reps · 4 to 3Nov 13, 2023 to Dec 11, 2023
- Individual clients · 20,338 to 33,983Nov 13, 2023 to Dec 11, 2023
- Employees · 7 to 6Nov 13, 2023 to Dec 11, 2023
- State-registered IARs · 3 to 2Nov 13, 2023 to Dec 11, 2023
- Discretionary RAUM · $24.9M to $25.4MNov 13, 2023 to Dec 11, 2023
- Individual RAUM · $24.9M to $25.4MNov 13, 2023 to Dec 11, 2023
- RAUM · $24.9M to $25.4MNov 13, 2023 to Dec 11, 2023
- Accounts · 33,140 to 20,338Mar 23, 2023 to Nov 13, 2023
- Individual clients · 33,140 to 20,338Mar 23, 2023 to Nov 13, 2023
- State-registered IARs · 2 to 3Mar 23, 2023 to Nov 13, 2023
- Discretionary RAUM · $17.7M to $24.9MMar 23, 2023 to Nov 13, 2023
Signals
10 dated events
- B•••• C••••••• B••••••• left U•••• A•••••••• L•• for W••••••••• A••••••• L•• (registered 2024-10-07)Oct 4, 2024 · Advisor changed firm · fact
- B••••• M•••••• M••••• (Chief Compliance Officer) appeared on Schedule A of U•••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- B•••••• M•••••••• left U•••• A•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-07)Feb 21, 2024 · Advisor changed firm · fact
- M•••••• D•••••• (Managing Director) no longer on Schedule A of U•••• A•••••••• L•• (listed 2023-11-13, absent 2023-12-11)Dec 11, 2023 · Control person left · inference
- Ksenia Yudina (Chief Executive Officer) no longer on Schedule A of U•••• A•••••••• L•• (listed 2023-03-23, absent 2023-11-13)Nov 13, 2023 · Control person left · inference
- K••••• Y• Y••••• left U•••• A•••••••• L•• for M•••• I••• (registered 2024-07-25)Nov 9, 2023 · Advisor changed firm · fact
- M•••• V••••••• H••••••• left U•••• A•••••••• L•• for W••••••••• A••••••• L•• (registered 2024-09-11)Aug 30, 2022 · Advisor changed firm · fact
- M•••••• D•••••• (Managing Director) appeared on Schedule A of U•••• A•••••••• L••Aug 30, 2022 · Control person joined · fact
- Unest reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2020 · Succession (Item 4) · fact
- Unest filed its initial SEC registration (Form ADV)Mar 28, 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/u-nestreportedpublic record, Form ADV, Sep 18, 2026
- Website
- unest.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (818) 275-0041reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- unest.co/contactreportedpublished by the firm, firm site, Sep 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
- $45.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026