DFX Intelligence

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A•• M•••• A•••••••

No RAUM reportedSEC-registered· Newport Beach, Californiawebsite

No RAUM reported, based in Newport Beach, California.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-05-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-05-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 308481 · SEC 801-118951 · 22 filingsShow

CRD 308481SEC 801-118951Legal name A•• M•••• A•••••••• L••First filing on the tape May 20, 2020, latest May 19, 2026SEC status approved since Jun 22, 2020IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

Filed figures over time · the tape starts May 20, 2020

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of May 19, 2026

Mar 22, 2021$28,910 then

HNW client RAUM$0 as of May 19, 2026

Mar 22, 2021$0 then

State-registered IARs (5.B.3)0 as of May 19, 2026

Mar 22, 20211 then

Employees (5.A)12 as of May 19, 2026

Mar 22, 202112 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of May 19, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $0derivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 12.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed feesreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Custody: $607, 42 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $607 managedreported
Custody of client assets: $607 for 42 clientsreported
Compensation: fixedreported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
B•••• C••• O•••••••	Newport Beach, Ca	Sep 16, 2026	20 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• W•••••• W••••• · Chief Investment Officercontrol
since 04/2020 · owns less than 5%
D••••••• W••••••• G• · Chief Executive Officercontrol
since 10/2022 · owns less than 5%
T••••• W••••••• N• · Chief Compliance Officer
since 04/2022 · owns less than 5%

Entity owners

A•• F•••• I••• · Member
direct · owns 75% or more
A••••••• I••• · Shareholder
indirect · owns 50% to 75% of A•• F•••• I•••
B•••• I••••••••• G•••• I••• · Shareholder
indirect · owns 50% to 75% of A•• F•••• I•••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 42 to 0
Aug 8, 2025 to Mar 31, 2026
Individual clients · 42 to 0
Aug 8, 2025 to Mar 31, 2026
Discretionary RAUM · $607 to $0
Aug 8, 2025 to Mar 31, 2026
Individual RAUM · $607 to $0
Aug 8, 2025 to Mar 31, 2026
RAUM · $607 to $0
Aug 8, 2025 to Mar 31, 2026

Full history · 56 changes

Accounts · 29,445 to 42
Nov 6, 2024 to Jul 2, 2025
Individual clients · 29,445 to 42
Nov 6, 2024 to Jul 2, 2025
Assets in custody · $107,859 to $607
Nov 6, 2024 to Jul 2, 2025
Employees · 15 to 12
Nov 6, 2024 to Jul 2, 2025
Financial planning clients · unset to
Nov 6, 2024 to Jul 2, 2025
Discretionary RAUM · $107,859 to $607
Nov 6, 2024 to Jul 2, 2025
Individual RAUM · $107,859 to $607
Nov 6, 2024 to Jul 2, 2025
RAUM · $107,859 to $607
Nov 6, 2024 to Jul 2, 2025
Wrap assets (manager) · $107,859 to $607
Nov 6, 2024 to Jul 2, 2025
Accounts · 242,896 to 29,445
Jan 4, 2024 to Feb 12, 2024
Individual clients · 242,896 to 29,445
Jan 4, 2024 to Feb 12, 2024
Assets in custody · $28,910 to $107,859
Jan 4, 2024 to Feb 12, 2024
Discretionary RAUM · $0 to $107,859
Jan 4, 2024 to Feb 12, 2024
Individual RAUM · $392,635 to $107,859
Jan 4, 2024 to Feb 12, 2024
Non-discretionary RAUM · $392,635 to $0
Jan 4, 2024 to Feb 12, 2024
RAUM · $392,635 to $107,859
Jan 4, 2024 to Feb 12, 2024
Wrap assets (manager) · $392,635 to $107,859
Jan 4, 2024 to Feb 12, 2024
Accounts · 106,028 to 242,896
Dec 8, 2022 to Feb 15, 2023
Charity clients · unset to 0.0
Dec 8, 2022 to Feb 15, 2023
Corporate clients · unset to 0.0
Dec 8, 2022 to Feb 15, 2023
HNW clients · unset to 0.0
Dec 8, 2022 to Feb 15, 2023
Individual clients · 106,208 to 242,896
Dec 8, 2022 to Feb 15, 2023
Pension plan clients · unset to 0.0
Dec 8, 2022 to Feb 15, 2023
Discretionary RAUM · $685,954 to $0
Dec 8, 2022 to Feb 15, 2023
Individual RAUM · $685,954 to $392,635
Dec 8, 2022 to Feb 15, 2023
Non-discretionary RAUM · $0 to $392,635
Dec 8, 2022 to Feb 15, 2023
RAUM · $685,954 to $392,635
Dec 8, 2022 to Feb 15, 2023
Wrap assets (manager) · $28,910 to $392,635
Dec 8, 2022 to Feb 15, 2023
Business name · A•• M•••• A••••••• to A••••••• I•••
Dec 6, 2022 to Dec 8, 2022
Legal name · A•• M•••• A•••••••• L•• to A••••••• I•••
Dec 6, 2022 to Dec 8, 2022
Legal name · A••••••• I••• to A•• M•••• A•••••••• L••
Dec 8, 2022 to Dec 8, 2022
Business name · A••••••• I••• to A•• M•••• A•••••••
Dec 8, 2022 to Dec 8, 2022
Business name · A•• M•••• to A•• M•••• A•••••••
Mar 21, 2022 to Apr 29, 2022
Accounts · 140 to 106,028
Nov 19, 2021 to Mar 21, 2022
Advisory employees · 2 to 1
Nov 19, 2021 to Mar 21, 2022
Individual clients · 140 to 106,208
Nov 19, 2021 to Mar 21, 2022
Employees · 12 to 15
Nov 19, 2021 to Mar 21, 2022
Insurance-licensed employees · 1 to 0
Nov 19, 2021 to Mar 21, 2022
State-registered IARs · 1 to 0
Nov 19, 2021 to Mar 21, 2022
Discretionary RAUM · $28,910 to $685,954
Nov 19, 2021 to Mar 21, 2022
Individual RAUM · $28,910 to $685,954
Nov 19, 2021 to Mar 21, 2022
RAUM · $28,910 to $685,954
Nov 19, 2021 to Mar 21, 2022
Assets in custody · $0 to $28,910
Mar 22, 2021 to Nov 19, 2021
Accounts · 0 to 140
Oct 21, 2020 to Mar 22, 2021
Individual clients · unset to 140.0
Oct 21, 2020 to Mar 22, 2021
Pooled vehicle clients · unset to 0.0
Oct 21, 2020 to Mar 22, 2021
Employees · 6 to 12
Oct 21, 2020 to Mar 22, 2021
Discretionary RAUM · $0 to $28,910
Oct 21, 2020 to Mar 22, 2021
Individual RAUM · $0 to $28,910
Oct 21, 2020 to Mar 22, 2021
RAUM · $0 to $28,910
Oct 21, 2020 to Mar 22, 2021
Wrap assets (manager) · $0 to $28,910
Oct 21, 2020 to Mar 22, 2021

Signals

5 dated events

••• Locked
Sep 16, 2026 · Advisor registered · fact
••• Locked
Feb 15, 2023 · Control person left · inference
••• Locked
Nov 17, 2022 · Control person joined · fact
••• Locked
Nov 16, 2022 · Control person left · inference
••• Locked
May 20, 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

Website: ••• Lockedreportedpublic record, Form ADV, May 19, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 19, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.