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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Former SEC-registered adviser

A•••••••• A••••• L••

STATE REGISTEREDBuena Park, CaliforniaCRD 309523websiteIAPD
Latest filing Sep 15, 2026
First filing on the tape Sep 15, 2026 · 1 filings
RAUM
$18.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$16.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
RAUM per advisor
$2.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
25derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$80,580derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.5derived2 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, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$13.9M73%
  • High-net-worth individuals$3.0M16%
  • Pension and profit-sharing plans$2.0M11%
Individual clients
227reported
HNW clients
2reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
234reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• L••Buena P•••, CaAug 31, 202014 y0
S•••• Y••• C••Certified Financial PlannerBuena P•••, CaNov 4, 202017 y1
W•••• P•••Buena P•••, CaMar 18, 202116 y5
C•••••••• H• K••Buena P•••, CaMar 19, 202128 y0
C•••••• H• S•••Buena P•••, CaJun 22, 202311 y0
C••••• M• K••Buena P•••, CaJan 16, 202515 y0
K•••• H• C•••Certified Financial PlannerBuena P•••, CaNov 4, 202523 y5
M•••••• M••••• K••Buena P•••, CaJan 2, 202611 y0
J••••••• L••Buena P•••, Ca Sep 18, 202617 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Buena P•••, Ca · principal1030
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    3 dated events
    • J••••••• L•• registered as an investment adviser representative at A•••••••• A••••• L••
      Sep 18, 2026 · Advisor registered · fact
    • A••• S•••••• H••• left A•••••••• A••••• L•• for N•• I•••••• W••••• A••••••• (registered 2025-04-30)
      Mar 31, 2025 · Advisor changed firm · fact
    • A•••••••• A•••• M••••••••• L••'s advisors moved to A•••••••• A••••• L•• (Los Angeles, CA): 3 of 3 registered, on the same day
      Dec 31, 2022 · Firm absorbed (people side) · derived
    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
    A••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    714-266-0000reportedpublic record, Form ADV, Sep 15, 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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026