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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•• W••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Oct 21, 2020 · 6 filings
SEC status approved since Apr 10, 2026
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$118M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.3M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$118M as of Mar 11, 2026
Oct 21, 2020$0 then
HNW client RAUM$95.2M as of Mar 11, 2026
Jan 15, 2021$16.0M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Oct 21, 20201 then
Employees (5.A)5 as of Mar 11, 2026
Oct 21, 20201 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $39.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $533,760derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices 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
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $14.4M, 9 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.2M81%
- Individuals$22.8M19%
- Individual clients
- 172reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 221reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.4M for 9 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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••••••••• A••• M••••• | Yorba Linda, Ca | Nov 20, 2020 | 11 y | 1 |
| N•••• G•••••• | Riverside, Ca | Apr 14, 2026 | 11 y | 0 |
| K•••• J••••• M••••• | Yorba Linda, Ca | Aug 31, 2026 | 19 y | 5 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- B•••• A••••• M••••• to C•••• C•••••• M•••••••••Oct 8, 2025 · RIA to RIA
Joined, latest
- K•••• J••••• M••••• from B••••• C•••••• C••••••••• L••Aug 31, 2026 · Other
- C••••••••• A••• M••••• from M••••• S••••••Nov 20, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••••••• A••• · Managing Member & Chief Compliance Officercontrolsince 10/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Yorba Linda, Ca · principal | 3 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 65 to 221Mar 10, 2021 to Mar 11, 2026
- Advisory activities · 5 to 4Mar 10, 2021 to Mar 11, 2026
- HNW clients · 50 to 49Mar 10, 2021 to Mar 11, 2026
- Individual clients · unset to 172.0Mar 10, 2021 to Mar 11, 2026
- Assets in custody · $16.0M to $14.4MMar 10, 2021 to Mar 11, 2026
- Employees · 1 to 5Mar 10, 2021 to Mar 11, 2026
- Financial planning clients · 0 to Mar 10, 2021 to Mar 11, 2026
- Discretionary RAUM · $16.0M to $118MMar 10, 2021 to Mar 11, 2026
- HNW RAUM · $16.0M to $95.2MMar 10, 2021 to Mar 11, 2026
- Individual RAUM · unset to 22796111.0Mar 10, 2021 to Mar 11, 2026
- RAUM · $16.0M to $118MMar 10, 2021 to Mar 11, 2026
- Accounts · 0 to 65Nov 20, 2020 to Jan 15, 2021
- HNW clients · unset to 50.0Nov 20, 2020 to Jan 15, 2021
- Assets in custody · unset to 16000000.0Nov 20, 2020 to Jan 15, 2021
- Custody of client assets · false to trueNov 20, 2020 to Jan 15, 2021
- Discretionary RAUM · $0 to $16.0MNov 20, 2020 to Jan 15, 2021
- HNW RAUM · unset to 16000000.0Nov 20, 2020 to Jan 15, 2021
- RAUM · $0 to $16.0MNov 20, 2020 to Jan 15, 2021
Signals
2 dated events
- B•••• A••••• M••••• left A•• W••••• A•••••••• L•• for C•••• C•••••• M••••••••• (registered 2025-10-01)Oct 8, 2025 · Advisor changed firm · fact
- A•• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 21, 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 email
- c••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 714-333-3550reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/ark-wealth-advisors?trk=public_profile_reportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-333-3550reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- a•••••••••.comreportedpublished 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
- $39.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026