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
C•••••• G•••• P•••••• C••••• S•••••••• I•••
Latest filing May 29, 2026
First filing on the tape Apr 20, 2021 · 27 filings
SEC status approved since May 20, 2021
RAUM
$43B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
74%
$32B individuals and HNW
Advisors
105
registered through the firm on IAPD
RAUM per advisor
$407M
derived; firm RAUM over IAPD count
Employees
189
96 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$43B as of May 29, 2026
Dec 2, 2021$36B then
HNW client RAUM$32B as of May 29, 2026
Dec 2, 2021$26B then
State-registered IARs (5.B.3)95 as of May 29, 2026
Dec 2, 202165 then
Employees (5.A)189 as of May 29, 2026
Dec 2, 2021169 then
Private funds1 as of May 29, 2026
Dec 2, 20211 then
RAUM +11% over the last fiscal year+11% a year over threeIARs 60 to 95
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $407MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 15.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +58%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $40B, 8,506 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$32B74%
- Charitable organizations$6.4B15%
- Corporations and businesses$4.4B10%
- Pension and profit-sharing plans$121M0.3%
- Pooled investment vehicles$111M0.3%
- Individual clients
- n/areported
- HNW clients
- 7,684reported
- Pension plan clients
- 47reported
- Charitable clients
- 627reported
- Accounts
- 12,073reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40B for 8,506 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.15 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
105 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• O••• A•••••••• | Los Angeles, Ca | Jul 1, 2021 | 11 y | 1 |
| L•••• M•••• K••• | Los Angeles, Ca | Jul 1, 2021 | 25 y | 3 |
| D••••• N••• R••••••Certified Financial Planner | New York, Ny | Jul 1, 2021 | 22 y | 3 |
| Z••••••• V••••••••• S••••••• | Los Angeles, Ca | Jul 1, 2021 | 20 y | 3 |
| E••• M••••• H••• | Los Angeles, Ca | Jul 1, 2021 | 21 y | 3 |
| D••• W•••••• C••••••• | Los Angeles, Ca | Jul 1, 2021 | 21 y | 3 |
| J•••••• A•••• R•••••••Certified Financial Planner | Los Angeles, Ca | Jul 1, 2021 | 20 y | 2 |
| D••• H•• K•••Chartered Financial Analyst | Los Angeles, Ca | Jul 1, 2021 | 20 y | 1 |
| J•••• B•••••• L•••••Certified Financial Planner | Los Angeles, Ca | Jul 1, 2021 | 20 y | 2 |
| T••••• N••••••• A••••••• | San Francisco, Ca | Jul 1, 2021 | 18 y | 2 |
| J••••• B•••••• | San Francisco, Ca | Jul 1, 2021 | 16 y | 2 |
| J••••• E••••••••Chartered Financial Analyst | Los Angeles, Ca | Jul 1, 2021 | 18 y | 1 |
| J••••• M•••••• L•••••• | Los Angeles, Ca | Jul 1, 2021 | 17 y | 2 |
| N••••• P••••• P•••• | Los Angeles, Ca | Jul 1, 2021 | 15 y | 2 |
| G•••• A••••• O••••••• | Los Angeles, Ca | Jul 1, 2021 | 14 y | 2 |
| S••••• M••••••• D••••••• | Atlanta, Ga | Jul 1, 2021 | 14 y | 2 |
| A••••• J•••• M••••••• | Los Angeles, Ca | Jul 1, 2021 | 13 y | 1 |
| S••••••• E•••• | Los Angeles, Ca | Jul 1, 2021 | 13 y | 3 |
| S•••• M••••••• S•••••• | Los Angeles, Ca | Jul 1, 2021 | 11 y | 2 |
| Y••••• L••• V••••• | Los Angeles, Ca | Jul 1, 2021 | 15 y | 2 |
| T••• N••••• R••• | Los Angeles, Ca | Jul 1, 2021 | 10 y | 1 |
| E••••• M••••• G•••••••Chartered Financial Analyst | Los Angeles, Ca | Jul 1, 2021 | 12 y | 1 |
| G•••• G•••• G•••• | Los Angeles, Ca | Jul 1, 2021 | 32 y | 2 |
| S••••• S•••••••• M•••••• | Los Angeles, Ca | Jul 1, 2021 | 35 y | 3 |
| M••••••• M•••••• J••••••Certified Financial Planner | Atlanta, Ga | Jul 1, 2021 | 33 y | 3 |
| A••• M• S•••••••• | New York, Ny | Jul 1, 2021 | 34 y | 3 |
| M••• W•••••• F••••• | Los Angeles, Ca | Jul 1, 2021 | 32 y | 4 |
| R••••• B••••• L•••• | Boca Raton, Fl | Jul 1, 2021 | 22 y | 3 |
| S••• P•• L•• | Los Angeles, Ca | Jul 1, 2021 | 18 y | 3 |
| G•••••• D•••• S••••• | New York, Ny | Jul 1, 2021 | 13 y | 1 |
| S••••• J••• L••••••• | New York, Ny | Jul 1, 2021 | 14 y | 2 |
| R••••• W•••• M•••••Certified Financial Planner | New York, Ny | Jul 1, 2021 | 16 y | 1 |
| M•••••• J•••• M•••••••• | Chicago, Il | Jul 1, 2021 | 12 y | 2 |
| J• B••••••• B••••• | Los Angeles, Ca | Jul 1, 2021 | 32 y | 2 |
| R•••• E•••••• H•••••• | Los Angeles, Ca | Jul 1, 2021 | 42 y | 2 |
| J••••••• B•••• C••• | Los Angeles, Ca | Jul 1, 2021 | 42 y | 2 |
| M•••••• E••••• S•••••Certified Financial Planner, Chartered Financial Analyst | Los Angeles, Ca | Jul 1, 2021 | 21 y | 2 |
| D•••• J••••• F•••• | New York, Ny | Jul 1, 2021 | 38 y | 2 |
| S•••••• P•••••••• P•• | Los Angeles, Ca | Jul 1, 2021 | 20 y | 1 |
| R••••• W•••••• K••••Chartered Financial Analyst | Los Angeles, Ca | Jul 1, 2021 | 33 y | 3 |
Advisor movement
1 left, 12 joined in 12 months
net +11 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 1.0% of current headcount7 left over 36 months
Left, latest
- J•••• L•••• M•••••• to S•• C•••••• M••••••••• L••Jul 2, 2026 · RIA to RIA
- N••••••• B••••• to K••••• P•••••• W••••• S•••••••• L••Sep 5, 2025 · RIA to affiliated broker-dealer or bank
- T••••• M•••••• R•••••• to N••••••••• W••••• P•••••••• L••Aug 18, 2025 · RIA to RIA
- N••••• Z••••••• O•••••••• to J••• M••••• S••••••••• L••Jul 24, 2025 · RIA to wirehouse
- G•••• R••••• W•••••• to K••••• P•••••• W••••• S•••••••• L••Jun 13, 2025 · RIA to affiliated broker-dealer or bank
- K•••• A••• P•••• to C•••••• C••••• G••••• I•••Dec 17, 2024 · Other
- J••••• W•••••• G•••••• to C••••••• P•••••••Jun 11, 2024 · RIA to RIA
- H••• E•••• to A••••••• W••••• A•••••••Sep 15, 2023 · RIA to affiliated broker-dealer or bank
- M••• P••••••• T••••• to B•••• W•••••• L••Jul 17, 2023 · RIA to RIA
- J•••• P•• L• to H••• S••••••••• •••• I•••Jan 25, 2023 · RIA to affiliated broker-dealer or bank
- J••••• J•••• to J••• M••••• S••••••••• L••Jan 18, 2023 · RIA to wirehouse
- C••••• A•••••••• B••••• to K•••• A••••••• R•••••• I••••••••• M••••••••• L••Mar 24, 2022 · Other
- X••••• P•••••• to N•••••••• B••••• B• L••Jan 7, 2022 · Other
- S•••• A••••• S••••• to O••••• F•••••••• G••••• L••Jul 20, 2021 · Other
Joined, latest
- J•••••• R•••••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 13, 2026 · Wirehouse to independent RIA
- N••••• S•••••••• from S•••••••• A••••••• L••Aug 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••••••• A•• C••••• from I•• C••••••• L••May 14, 2026 · RIA to RIA
- M•••••• B•••••• L••••••••• from W•••• F•••• I••••••••• L••Apr 30, 2026 · Other
- C••••••• M••••••• T•••••• from S•••••••• A••••••• L••Apr 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••••• J••••• K•••••• from R•• R•••••••• L••Apr 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• T••••• B•••••• from N•••••••• B••••• B• L••Mar 25, 2026 · Other
- M•••••• M•••••• C••• from F•••• F••••••••• A•••••••Jan 15, 2026 · RIA to RIA
- K••••• G••••• D•••••••• from J••• M••••• S••••••••• L••Jan 6, 2026 · Wirehouse to independent RIA
- N••••• R••••• M•••••• from B•• P•••••••• L••Dec 3, 2025 · RIA to RIA
- J••••••• E• T••••• from R•• R•••••••• L••Oct 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••• C•••••••• M••••• from C•••••••• G••••• M•••••• I•••Oct 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- N••• C•••••••• M•••••••• from C•••••• C••••• G••••• I•••Sep 16, 2025 · Other
- L•••• N•••••••• T••••••• from C•••••• C••••• G••••• I•••Sep 15, 2025 · Other
- W•••••• C••••••••• J•••••• from C•••••• C••••• G••••• I•••Sep 15, 2025 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• G•••• A••••••••• S••••••••• M••••• F•••• L• | Other Private Fund | $111M | 2 | Sep 29, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••••••• T••••• · Director, Senior Vice President And Secretarycontrolsince 07/2020 · owns less than 5%
- K•••••••• M••••••• E•••• · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- N••••• N•••••• Z•••••• S•••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- O•••••••• M••••••• P••••• · Director, Chairmancontrolsince 07/2020 · owns less than 5%
- P••••• K••••• A••• · Directorcontrolsince 06/2023 · owns less than 5%
- S•••• K••••• M•••••• · Director, President And Treasurercontrolsince 07/2020 · owns less than 5%
- S••••••••• S•••• M•••••• · Chief Financial Officer And Treasurercontrolsince 10/2020 · owns less than 5%
Entity owners
- C•••••• G•••• I••••••••• I••• · Shareholderdirect · owns 75% or more
- C•••••• R••••••• A•• M••••••••• C•••••• · Shareholderindirect · owns 75% or more of C•••••• G•••• I••••••••• I•••
- T•• C•••••• G•••• C••••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• R••••••• A•• M••••••••• C••••••
Related persons
Schedule D 7.A
- C•••••• B••• A•• T•••• C••••••investment adviserbankpooled vehicle sponsornRAUM $139B
- C•••••• C••••• G••••• I•••broker-dealerinvestment adviserreal estaten
- C•••••• G•••• A••••••••• S••••••••• L••pooled vehicle sponsorn
- C•••••• G•••• I••••••••• M••••••••• P••• L•••investment advisern
- C•••••• G•••• U• M••••••••• C•••••• L••••••investment adviserbankpooled vehicle sponsorn
- C•••••• G••••••• •••••••• I•••investment advisern
- C•••••• I••••••••• L••••••investment advisern
- C•••••• I••••••••• M••••••••• C•••••• S•••investment adviserbankpooled vehicle sponsorn
- C•••••• I••••••••• S•••investment advisern
- C•••••• I••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $52B
- C•••••• R••••••• A•• M••••••••• C••••••investment adviserbanknRAUM $3754B
- C•••••• R••••••• C••••••investment advisern
Advisers that list C•••••• G•••• P•••••• C••••• S•••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 74 | 10 | 0 | ||
| New York, Ny | 22 | 6 | 1 | ||
| San F••••••Co, Ca | 16 | 2 | 0 | ||
| Atlanta, Ga | 9 | 1 | 0 | ||
| Chicago, Il | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San F••••••Co, CA11 employees
- New York, NY8 employees
- Los Angeles, CA7 employees
- Chicago, IL5 employees
- Atlanta, GA4 employees
- Menlo Park, CA1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 29, 2026K•••••••• M••••••• E•••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-06-03 and 2026-05-29peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing May 29, 2026S••••••••• S•••• M•••••• (CHIEF FINANCIAL OFFICER AND TREASURER) left Schedule A between the filings of 2024-06-03 and 2026-05-29peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing May 29, 2026N••••• N•••••• Z•••••• S•••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-06-03 and 2026-05-29peers: independent wealth managers, $20B and over (84)
- advisor count surgeChange between filings · filing Mar 2, 2026advisory representatives (Item 5.B.3) moved from 60.0 to 95.0 (+58.0%) between the annual amendments of 2025-01-23 and 2026-03-02; the peer median change was +5.0% (64 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $20B and over (64) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 11,233 to 12,073Jul 1, 2025 to Sep 26, 2025
- Advisory employees · 60 to 96Jul 1, 2025 to Sep 26, 2025
- BD registered reps · 1 to 0Jul 1, 2025 to Sep 26, 2025
- Charity clients · 586 to 627Jul 1, 2025 to Sep 26, 2025
- Corporate clients · 282 to 279Jul 1, 2025 to Sep 26, 2025
- HNW clients · 7,047 to 7,684Jul 1, 2025 to Sep 26, 2025
- Pension plan clients · 51 to 47Jul 1, 2025 to Sep 26, 2025
- Assets in custody · $35B to $40BJul 1, 2025 to Sep 26, 2025
- Employees · 176 to 189Jul 1, 2025 to Sep 26, 2025
- Insurance-licensed employees · 1 to 0Jul 1, 2025 to Sep 26, 2025
- State-registered IARs · 60 to 95Jul 1, 2025 to Sep 26, 2025
- Discretionary RAUM · $35B to $39BJul 1, 2025 to Sep 26, 2025
- HNW RAUM · $28B to $32BJul 1, 2025 to Sep 26, 2025
- Non-discretionary RAUM · $3.6B to $4.2BJul 1, 2025 to Sep 26, 2025
- Pension RAUM · $127M to $121MJul 1, 2025 to Sep 26, 2025
- Pooled vehicle RAUM · $107M to $111MJul 1, 2025 to Sep 26, 2025
- RAUM · $38B to $43BJul 1, 2025 to Sep 26, 2025
- Financial planning clients · unset to May 1, 2025 to Jul 1, 2025
- Accounts · 10,998 to 11,233Jun 7, 2024 to Sep 27, 2024
- Advisory employees · 65 to 60Jun 7, 2024 to Sep 27, 2024
- BD registered reps · 0 to 1Jun 7, 2024 to Sep 27, 2024
- Charity clients · 560 to 586Jun 7, 2024 to Sep 27, 2024
- HNW clients · 6,569 to 7,047Jun 7, 2024 to Sep 27, 2024
- Individual clients · 0.0 to unsetJun 7, 2024 to Sep 27, 2024
- Pension plan clients · 53 to 51Jun 7, 2024 to Sep 27, 2024
- Assets in custody · $31B to $35BJun 7, 2024 to Sep 27, 2024
- Insurance-licensed employees · 0 to 1Jun 7, 2024 to Sep 27, 2024
- State-registered IARs · 61 to 60Jun 7, 2024 to Sep 27, 2024
- Discretionary RAUM · $31B to $35BJun 7, 2024 to Sep 27, 2024
- HNW RAUM · $24B to $28BJun 7, 2024 to Sep 27, 2024
- Non-discretionary RAUM · $3.0B to $3.6BJun 7, 2024 to Sep 27, 2024
- Pension RAUM · $130M to $127MJun 7, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $100M to $107MJun 7, 2024 to Sep 27, 2024
- RAUM · $34B to $38BJun 7, 2024 to Sep 27, 2024
- Accounts · 9,785 to 10,998Jul 6, 2023 to Sep 28, 2023
- Advisory employees · 68 to 65Jul 6, 2023 to Sep 28, 2023
- Charity clients · 523 to 560Jul 6, 2023 to Sep 28, 2023
- Corporate clients · 277 to 282Jul 6, 2023 to Sep 28, 2023
- HNW clients · 6,099 to 6,569Jul 6, 2023 to Sep 28, 2023
- Pension plan clients · 58 to 53Jul 6, 2023 to Sep 28, 2023
Signals
24 dated events
- J•••• L•••• M•••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for S•• C•••••• M••••••••• L•• (registered 2026-08-12)Jul 2, 2026 · Advisor changed firm · fact
- C•••••• G•••• P•••••• C••••• S•••••••• I••• reported 95 state-registered advisory representatives, up from 60 (2025-07-01 to 2025-09-26)Sep 26, 2025 · Advisor headcount change · derived
- N••••••• B••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2025-09-03)Sep 5, 2025 · Advisor changed firm · fact
- T••••• M•••••• R•••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for N••••••••• W••••• P•••••••• L•• (registered 2025-08-13)Aug 18, 2025 · Advisor changed firm · fact
- N••••• Z••••••• O•••••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2026-03-24)Jul 24, 2025 · Advisor changed firm · fact
- G•••• R••••• W•••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2025-06-02)Jun 13, 2025 · Advisor changed firm · fact
- K•••• A••• P•••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for C•••••• C••••• G••••• I••• (registered 2025-01-02)Dec 17, 2024 · Advisor changed firm · fact
- J••••• W•••••• G•••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for C••••••• P••••••• (registered 2024-06-17)Jun 11, 2024 · Advisor changed firm · fact
- Zarifeh Sahar Naseem Nixon (Chief Compliance Officer) appeared on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I•••Jun 3, 2024 · Control person joined · fact
- Y•••••• H•••••• P••• (Chief Compliance Officer) no longer on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I••• (listed 2024-03-01, absent 2024-06-03)Jun 3, 2024 · Control person left · inference
- Stephen John Armour (Director) no longer on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I••• (listed 2023-12-06, absent 2024-01-08)Jan 8, 2024 · Control person left · inference
- Moran Jessica Zerges (Chief Compliance Officer) no longer on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I••• (listed 2023-09-28, absent 2023-12-06)Dec 6, 2023 · Control person left · inference
- Y•••••• H•••••• P••• (Chief Compliance Officer) appeared on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I•••Dec 6, 2023 · Control person joined · fact
- H••• E•••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for A••••••• W••••• A••••••• (registered 2023-10-04)Sep 15, 2023 · Advisor changed firm · fact
- M••• P••••••• T••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for B•••• W•••••• L•• (registered 2023-07-14)Jul 17, 2023 · Advisor changed firm · fact
- A••• K•••• P•••• (President) appeared on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I•••Jul 6, 2023 · Control person joined · fact
- J•••• P•• L• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for H••• S••••••••• •••• I••• (registered 2023-12-13)Jan 25, 2023 · Advisor changed firm · fact
- J••••• J•••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-01-13)Jan 18, 2023 · Advisor changed firm · fact
- M••••••• Jennifer Lukic (Director, Senior Vice President) no longer on Schedule A of C•••••• G•••• P•••••• C••••• S•••••••• I••• (listed 2022-09-28, absent 2022-10-06)Oct 6, 2022 · Control person left · inference
- C••••• A•••••••• B••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for K•••• A••••••• R•••••• I••••••••• M••••••••• L•• (registered 2025-01-01)Mar 24, 2022 · Advisor changed firm · fact
- X••••• P•••••• left C•••••• G•••• P•••••• C••••• S•••••••• I••• for N•••••••• B••••• B• L•• (registered 2022-06-20)Jan 7, 2022 · Advisor changed firm · fact
- C•••••• G•••• P•••••• C••••• S•••••••• I••• reported 6 offices beyond its principal office, up from 0 (2021-07-20 to 2021-08-23)Aug 23, 2021 · Office count change · derived
- C•••••• G•••• P•••••• C••••• S•••••••• I••• reported 65 state-registered advisory representatives, up from 0 (2021-07-20 to 2021-08-23)Aug 23, 2021 · Advisor headcount change · derived
- C•••••• G•••• P•••••• C••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Apr 20, 2021 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- C•••••• G•••• P•••••• C••••• S•••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/capital-groupreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/capital-group-private-client-servicesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- capitalgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 213-486-9200reportedpublic record, Form ADV, May 29, 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
- $407Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026