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
1• E•••••
Legal name 1• E•••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 29, 2020 · 13 filings
SEC status approved since Oct 29, 2020
RAUM
$136M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
90%
$122M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.3M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$136M as of Mar 27, 2026
Mar 16, 2021$122M then
HNW client RAUM$109M as of Mar 27, 2026
Mar 16, 2021$93.0M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 16, 20212 then
Employees (5.A)7 as of Mar 27, 2026
Mar 16, 20212 then
Private funds: no history
RAUM +10% over the last fiscal year+8.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $57.6M, 27 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)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M80%
- Individuals$12.7M9.3%
- Corporations and businesses$10.6M7.8%
- Charitable organizations$2.1M1.6%
- Pension and profit-sharing plans$1.2M0.9%
- Individual clients
- 52reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 118reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.6M for 27 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• A•••••• L•••Chartered Financial Analyst | Santa Barbara, Ca | Dec 23, 2020 | 23 y | 3 |
| C••••••••• J• M•••••• | Santa Barbara, Ca | Sep 15, 2021 | 21 y | 2 |
| L•••• W•••••• H•••••• | Santa Barbara, Ca | Jan 1, 2026 | 11 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- P•••••• A••••• K••••• to L•• F•••••••• L••Feb 2, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- L•••• W•••••• H•••••• from L•••• C•••••• G••••Jan 1, 2026 · RIA to RIA
- P•••••• A••••• K••••• from G••••• I••••••••• M••••••••• I•••Feb 10, 2022 · Other
- C••••••••• J• M•••••• from H•••••••••Sep 15, 2021 · Other
- R••• A•••••• L••• from P•••••• C••••••• L••Dec 23, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• R••••••• J••••• · Ceocontrolsince 09/2020 · owns 50% to 75%
- A••••• M•••••••• S••••• · Ccosince 09/2020 · owns less than 5%
- H••••••• L••••• W•••••• · Membersince 01/2021 · owns less than 5%
- L•••• R•••• A•••••• · Membersince 01/2021 · owns less than 5%
- L••••• J•••••• P••• · Membersince 09/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 107 to 118Aug 25, 2025 to Mar 27, 2026
- HNW clients · 53 to 60Aug 25, 2025 to Mar 27, 2026
- Individual clients · 47 to 52Aug 25, 2025 to Mar 27, 2026
- Assets in custody · $13.5M to $57.6MAug 25, 2025 to Mar 27, 2026
- Employees · 3 to 7Aug 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $85.1M to $95.1MAug 25, 2025 to Mar 27, 2026
- HNW RAUM · $98.1M to $109MAug 25, 2025 to Mar 27, 2026
- Individual RAUM · $8.7M to $12.7MAug 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $38.1M to $40.8MAug 25, 2025 to Mar 27, 2026
- Pension RAUM · $1.1M to $1.2MAug 25, 2025 to Mar 27, 2026
- RAUM · $123M to $136MAug 25, 2025 to Mar 27, 2026
- Accounts · 146 to 107Jun 4, 2024 to Mar 31, 2025
- HNW clients · 50 to 53Jun 4, 2024 to Mar 31, 2025
- Individual clients · 90 to 47Jun 4, 2024 to Mar 31, 2025
- Assets in custody · $8.7M to $13.5MJun 4, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $80.9M to $85.1MJun 4, 2024 to Mar 31, 2025
- HNW RAUM · $91.3M to $98.1MJun 4, 2024 to Mar 31, 2025
- Individual RAUM · $11.1M to $8.7MJun 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $35.5M to $38.1MJun 4, 2024 to Mar 31, 2025
- Pension RAUM · $955,301 to $1.1MJun 4, 2024 to Mar 31, 2025
- RAUM · $116M to $123MJun 4, 2024 to Mar 31, 2025
- Accounts · 161 to 146Mar 30, 2023 to Mar 28, 2024
- HNW clients · 51 to 50Mar 30, 2023 to Mar 28, 2024
- Individual clients · 104 to 90Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $2.0M to $8.7MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $76.5M to $80.9MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $80.8M to $91.3MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $10.5M to $11.1MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $28.9M to $35.5MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $744,642 to $955,301Mar 30, 2023 to Mar 28, 2024
- RAUM · $105M to $116MMar 30, 2023 to Mar 28, 2024
- Accounts · 63 to 161Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 0 to 3Mar 31, 2022 to Mar 30, 2023
- Charity clients · 2.0 to unsetMar 31, 2022 to Mar 30, 2023
- Corporate clients · 2.0 to unsetMar 31, 2022 to Mar 30, 2023
- HNW clients · 48 to 51Mar 31, 2022 to Mar 30, 2023
- Individual clients · 10 to 104Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · 1.0 to unsetMar 31, 2022 to Mar 30, 2023
- Assets in custody · $7.5M to $2.0MMar 31, 2022 to Mar 30, 2023
Signals
2 dated events
- P•••••• A••••• K••••• left 1• E••••• for L•• F•••••••• L•• (registered 2024-03-13)Feb 2, 2026 · Advisor changed firm · fact
- 1• E••••• filed its initial SEC registration (Form ADV)Sep 29, 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
- 805-456-4426reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/15-equityreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 15equity.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-456-4426reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- 15equity.com/contactreportedpublished 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
- $45.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026