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
F••• O••••• A•••••••
Legal name F••• O••••• A••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Mar 23, 2020 · 24 filings
SEC status approved since Apr 23, 2020
RAUM
$456M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$450M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$456M as of Jan 23, 2026
Feb 25, 2021$314M then
HNW client RAUM$398M as of Jan 23, 2026
Feb 25, 2021$287M then
State-registered IARs (5.B.3)4 as of Jan 23, 2026
Feb 25, 20214 then
Employees (5.A)8 as of Jan 23, 2026
Feb 25, 20215 then
Private funds: no history
RAUM +12% over the last fiscal year-3.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $808,852derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $4.0M, 1 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
- 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)
- 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$398M87%
- Individuals$51.9M11%
- Corporations and businesses$5.7M1.3%
- Pension and profit-sharing plans$246,1250.1%
- Individual clients
- 43reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 564reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.0M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• G•••••••• G•••••••••Certified Financial Planner | Santa Monica, Ca | Sep 4, 2020 | 20 y | 5 |
| L••••• L••• M••••••Certified Financial Planner | Santa Monica, Ca | May 7, 2024 | 20 y | 3 |
| J•• P••••• M••••Certified Financial Planner | Santa Monica, Ca | Jan 21, 2026 | 16 y | 4 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- M••• C••••••• to F••••••Sep 11, 2026 · RIA to RIA
- J•••• T••••• P••••• to C••••••• P•••••••• I•••Apr 2, 2024 · RIA to RIA
- J•••••• R••• L•••• to A•• C••••••• L••Jan 8, 2023 · RIA to RIA
Joined, latest
- J•• P••••• M•••• from D•••• H••••• G•••••• W••••• A••••••• L••Jan 21, 2026 · RIA to RIA
- L••••• L••• M•••••• from G••••May 7, 2024 · RIA to RIA
- J•••• T••••• P••••• from A••••••••• L••Nov 3, 2020 · RIA to RIA
- C••••••••• G•••••••• G••••••••• from A••••••••• L••Sep 4, 2020 · RIA to RIA
- M••• C••••••• from T•• W••••• A•••••••• I•••Apr 23, 2020 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M••• · Membercontrolsince 02/2020 · owns 50% to 75%
- G••••••••• C••••••••• G•••••••• · Membercontrolsince 05/2020 · owns 50% to 75%
- R•••• S••••••• D•••• · Chief Compliance Officersince 06/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Santa Monica, Ca | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Jan 23, 2026RAUM per registered advisor of $152,064,146 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 532 to 564Feb 21, 2025 to Jan 23, 2026
- Corporate clients · 0.0 to unsetFeb 21, 2025 to Jan 23, 2026
- HNW clients · 43 to 74Feb 21, 2025 to Jan 23, 2026
- Individual clients · 71 to 43Feb 21, 2025 to Jan 23, 2026
- Pension plan clients · 0.0 to unsetFeb 21, 2025 to Jan 23, 2026
- Assets in custody · $1.0M to $4.0MFeb 21, 2025 to Jan 23, 2026
- Employees · 7 to 8Feb 21, 2025 to Jan 23, 2026
- Discretionary RAUM · $392M to $440MFeb 21, 2025 to Jan 23, 2026
- HNW RAUM · $372M to $398MFeb 21, 2025 to Jan 23, 2026
- Individual RAUM · $36.2M to $51.9MFeb 21, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $15.8M to $15.7MFeb 21, 2025 to Jan 23, 2026
- Pension RAUM · $0 to $246,125Feb 21, 2025 to Jan 23, 2026
- RAUM · $408M to $456MFeb 21, 2025 to Jan 23, 2026
- Accounts · 571 to 532Oct 10, 2024 to Feb 21, 2025
- Advisory employees · 6 to 4Oct 10, 2024 to Feb 21, 2025
- Corporate clients · unset to 0.0Oct 10, 2024 to Feb 21, 2025
- HNW clients · 50 to 43Oct 10, 2024 to Feb 21, 2025
- Individual clients · 87 to 71Oct 10, 2024 to Feb 21, 2025
- Financial planning clients · 101-250 to 101-250Oct 10, 2024 to Feb 21, 2025
- HQ city · unset to Oct 10, 2024 to Feb 21, 2025
- HQ state · unset to Oct 10, 2024 to Feb 21, 2025
- State-registered IARs · 6 to 4Oct 10, 2024 to Feb 21, 2025
- Other offices · 2 to 3Oct 10, 2024 to Feb 21, 2025
- Discretionary RAUM · $482M to $392MOct 10, 2024 to Feb 21, 2025
- HNW RAUM · $459M to $372MOct 10, 2024 to Feb 21, 2025
- Individual RAUM · $36.3M to $36.2MOct 10, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $13.8M to $15.8MOct 10, 2024 to Feb 21, 2025
- RAUM · $496M to $408MOct 10, 2024 to Feb 21, 2025
- Other offices · 1 to 2Feb 1, 2024 to Oct 10, 2024
- Accounts · 570 to 571Jan 8, 2024 to Feb 1, 2024
- Advisory employees · 4 to 6Jan 8, 2024 to Feb 1, 2024
- Corporate clients · 0.0 to unsetJan 8, 2024 to Feb 1, 2024
- HNW clients · 56 to 50Jan 8, 2024 to Feb 1, 2024
- Pension plan clients · unset to 0.0Jan 8, 2024 to Feb 1, 2024
- Employees · 6 to 7Jan 8, 2024 to Feb 1, 2024
- State-registered IARs · 5 to 6Jan 8, 2024 to Feb 1, 2024
- Discretionary RAUM · $485M to $482MJan 8, 2024 to Feb 1, 2024
- HNW RAUM · $469M to $459MJan 8, 2024 to Feb 1, 2024
- Individual RAUM · $26.7M to $36.3MJan 8, 2024 to Feb 1, 2024
- Non-discretionary RAUM · $14.7M to $13.8MJan 8, 2024 to Feb 1, 2024
Signals
7 dated events
- M••• C••••••• left F••• O••••• A••••••• for Farther (registered 2026-09-10)Sep 11, 2026 · Advisor changed firm · fact
- J•••• T••••• P••••• left F••• O••••• A••••••• for C••••••• P•••••••• I••• (registered 2026-01-14)Apr 2, 2024 · Advisor changed firm · fact
- F••• O••••• A••••••• reported RAUM $499.3M, up 30% from $384.0M (2022-02-11 to 2023-01-31)Jan 31, 2023 · RAUM change · derived
- J•••••• R••• L•••• left F••• O••••• A••••••• for A•• C••••••• L•• (registered 2023-01-26)Jan 8, 2023 · Advisor changed firm · fact
- F••• O••••• A••••••• reported RAUM $314.3M, up 48% from $213.0M (2020-11-23 to 2021-02-25)Feb 25, 2021 · RAUM change · derived
- Guillermo Christopher Girbes-Pierce (Managing Member & Chief Compliance Officer) appeared on Schedule A of F••• O••••• A•••••••Jun 5, 2020 · Control person joined · fact
- F••• O••••• A••••••• filed its initial SEC registration (Form ADV)Mar 23, 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
- Business phone
- 310-525-5165reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-525-5155reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/fiveoceansadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fiveoceansadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (310) 507-9180reportedpublic record, Form ADV, Jan 23, 2026
- Contact form
- fiveoceansadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- fiveoceansadvisors.com/team/philip-moserreportedpublished by the firm, firm site, Sep 16, 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026