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
S•••••• B•••• W•••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 28, 2025 · 3 filings
SEC status approved since Apr 28, 2025
RAUM
$190M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$190M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$95.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$190M as of Mar 12, 2026
Mar 28, 2025$144M then
HNW client RAUM$145M as of Mar 12, 2026
Mar 28, 2025$39.1M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 28, 20251 then
Employees (5.A)5 as of Mar 12, 2026
Mar 28, 20253 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 12, 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
- $95.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $238,213derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M76%
- Individuals$44.9M24%
- Individual clients
- 147reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 798reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L••• V•••••Certified Financial Planner | Marina Del Rey, Ca | Aug 18, 2020 | 24 y | 3 |
| J•••• F•••••Certified Financial Planner | Marina Del Rey, Ca | Sep 25, 2025 | 14 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• F••••• from S•••Sep 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• L••• V••••• from B••••••• C••••••Aug 18, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••• J•••• L••• · Managing Member & Chief Compliance Officercontrolsince 07/2020 · 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 |
|---|---|---|---|---|---|
| Marina Del Rey, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 12, 2026financial planning (Item 5.G.1): yes on the filing of 2025-11-12, no on the filing of 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 27.0% to 76.0% between the annual amendments of 2025-03-28 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Individual RAUM · $105M to $44.9MNov 12, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $7.2M to $13.0MNov 12, 2025 to Mar 12, 2026
- RAUM · $144M to $190MNov 12, 2025 to Mar 12, 2026
- Accounts · 670 to 798Nov 12, 2025 to Mar 12, 2026
- Advisory activities · 3 to 2Nov 12, 2025 to Mar 12, 2026
- HNW clients · 37 to 44Nov 12, 2025 to Mar 12, 2026
- Individual clients · 129 to 147Nov 12, 2025 to Mar 12, 2026
- Employees · 3 to 5Nov 12, 2025 to Mar 12, 2026
- State-registered IARs · 1 to 2Nov 12, 2025 to Mar 12, 2026
- Discretionary RAUM · $137M to $177MNov 12, 2025 to Mar 12, 2026
- HNW RAUM · $39.1M to $145MNov 12, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 12, 2025
Signals
No event on the tape.
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
- info@siliconbeachwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-948-2226reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/siliconbeachwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- siliconbeachwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (424) 272-1638reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- siliconbeachwealth.com/who-we-arereportedpublished 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
- $95.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026