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
A••••••• F••••••••
Legal name A••••••• F•••••••• F•••••••• G•••• L••
Latest filing Dec 25, 2025
First filing on the tape Jul 5, 2022 · 11 filings
SEC status approved since Aug 5, 2022
RAUM
$333M
reported, Item 5.F
Discretionary
5.7%
of RAUM
Private clients
57%
$191M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$22.2M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$333M as of Dec 25, 2025
Mar 22, 2023$115M then
HNW client RAUM$191M as of Dec 25, 2025
Mar 22, 2023$115M then
State-registered IARs (5.B.3)9 as of Dec 25, 2025
Mar 22, 202315 then
Employees (5.A)14 as of Dec 25, 2025
Mar 22, 202315 then
Private funds3 as of Dec 25, 2025
Jan 2, 20251 then
RAUM +88% over the last fiscal yearIARs 18 to 9
Practice profile
derived from the filing of Dec 25, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- RIA with private 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
- $22.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $452,928derivedHNW RAUM over HNW clients
- Average account
- $680,343derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 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
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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$191M57%
- Corporations and businesses$117M35%
- Pooled investment vehicles$25.0M7.5%
- Individual clients
- n/areported
- HNW clients
- 421reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 489reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.57 fund_share=0.08 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•• F••• | Irvine, Ca | Sep 10, 2021 | 14 y | 1 |
| Z•••• L•• | Irvine, Ca | Jan 19, 2022 | 10 y | 1 |
| L• S•• L•••••••• | Irvine, Ca | Mar 24, 2022 | 14 y | 0 |
| M••• Y••• | Irvine, Ca | Mar 24, 2022 | 11 y | 0 |
| Y••• W••• | Irvine, Ca | Aug 17, 2022 | 15 y | 0 |
| B••• W••• | Irvine, Ca | Feb 18, 2024 | 11 y | 0 |
| Y• Y••• | Irvine, Ca | Feb 21, 2024 | 17 y | 0 |
| X••• Q•• | Irvine, Ca | Feb 21, 2024 | 13 y | 0 |
| Y•• Y• | Irvine, Ca | May 8, 2024 | 12 y | 0 |
| K•••• Z••• | Irvine, Ca | Sep 16, 2025 | 27 y | 0 |
| C••••• F• | Irvine, Ca | Feb 25, 2026 | 12 y | 0 |
| X••••• Z•••• | Irvine, Ca | Mar 11, 2026 | 10 y | 0 |
| S••••• H•••••• L•• | Irvine, Ca | Apr 20, 2026 | 10 y | 0 |
| D•••• W••• | Irvine, Ca | Jul 10, 2026 | 11 y | 0 |
| J••••••• W• | Irvine, Ca | Jul 10, 2026 | 10 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- W•••••• Z•• to M• A••••••• U• L••Aug 4, 2026 · RIA to a newly registered adviser
- Y•••• T•• T••• to M• A••••••• U• L••Jun 18, 2026 · RIA to a newly registered adviser
Joined, latest
- Z•••• L•• from M••••• S••••••Jan 19, 2022 · Wirehouse to independent RIA
- F•• F••• from M••••• S••••••Sep 10, 2021 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• F•• · Chief Executive Officercontrolsince 06/2021 · owns less than 5%
- L••• Z•••• · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- W•••• Y••• · Presidentcontrolsince 05/2022 · owns less than 5%
- Z•••• L•• · Partnersince 12/2021 · owns less than 5%
Entity owners
- A••••••• S•••• G•••• I••• · Ownerdirect · owns 75% or more
- J•••• D•••••• T•••• · Ownerindirect · owns 75% or more of P•••• M••••••••• L••
- P•••• M••••••••• L•• · Shareholderindirect · owns 50% to 75% of A••••••• S•••• G•••• I•••
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 15 | 5 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 25, 2025RAUM (Item 5.F) moved from $177,119,330 to $276,608,065 (+56.0%) between the annual amendments of 2024-03-12 and 2025-04-25; the peer median change was +15.0% (4549 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 365 to 489Aug 7, 2025 to Dec 25, 2025
- BD registered reps · 3 to 9Aug 7, 2025 to Dec 25, 2025
- Corporate clients · unset to 39.0Aug 7, 2025 to Dec 25, 2025
- HNW clients · 345 to 421Aug 7, 2025 to Dec 25, 2025
- Pooled vehicle clients · 1 to 3Aug 7, 2025 to Dec 25, 2025
- Employees · 21 to 14Aug 7, 2025 to Dec 25, 2025
- State-registered IARs · 21 to 9Aug 7, 2025 to Dec 25, 2025
- Discretionary RAUM · $16.0M to $18.9MAug 7, 2025 to Dec 25, 2025
- HNW RAUM · $277M to $191MAug 7, 2025 to Dec 25, 2025
- Non-discretionary RAUM · $261M to $314MAug 7, 2025 to Dec 25, 2025
- Pooled vehicle RAUM · $0 to $25.0MAug 7, 2025 to Dec 25, 2025
- RAUM · $277M to $333MAug 7, 2025 to Dec 25, 2025
- Private funds · 2 to 3Apr 25, 2025 to Aug 7, 2025
- Financial planning clients · unset to Jan 2, 2025 to Apr 25, 2025
- HQ city · NEWPORT BEACH to IRVINEJan 2, 2025 to Apr 25, 2025
- Private funds · 1 to 2Jan 2, 2025 to Apr 25, 2025
- Accounts · 310 to 365Sep 10, 2024 to Jan 2, 2025
- Advisory employees · 6 to 9Sep 10, 2024 to Jan 2, 2025
- Advisory activities · 3 to 4Sep 10, 2024 to Jan 2, 2025
- HNW clients · 289 to 345Sep 10, 2024 to Jan 2, 2025
- Pooled vehicle clients · unset to 1.0Sep 10, 2024 to Jan 2, 2025
- Employees · 18 to 21Sep 10, 2024 to Jan 2, 2025
- State-registered IARs · 18 to 21Sep 10, 2024 to Jan 2, 2025
- Private funds · unset to 1Sep 10, 2024 to Jan 2, 2025
- Discretionary RAUM · $11.2M to $16.0MSep 10, 2024 to Jan 2, 2025
- HNW RAUM · $223M to $277MSep 10, 2024 to Jan 2, 2025
- Non-discretionary RAUM · $212M to $261MSep 10, 2024 to Jan 2, 2025
- Pooled vehicle RAUM · unset to 0.0Sep 10, 2024 to Jan 2, 2025
- RAUM · $223M to $277MSep 10, 2024 to Jan 2, 2025
- Accounts · 276 to 310Mar 12, 2024 to Jul 30, 2024
- HNW clients · 230 to 289Mar 12, 2024 to Jul 30, 2024
- Discretionary RAUM · $9.6M to $11.2MMar 12, 2024 to Jul 30, 2024
- HNW RAUM · $177M to $223MMar 12, 2024 to Jul 30, 2024
- Non-discretionary RAUM · $168M to $212MMar 12, 2024 to Jul 30, 2024
- RAUM · $177M to $223MMar 12, 2024 to Jul 30, 2024
- Accounts · 248 to 276Oct 11, 2023 to Mar 12, 2024
- Advisory employees · 5 to 6Oct 11, 2023 to Mar 12, 2024
- BD registered reps · 0 to 3Oct 11, 2023 to Mar 12, 2024
- HNW clients · 242 to 230Oct 11, 2023 to Mar 12, 2024
- Employees · 15 to 18Oct 11, 2023 to Mar 12, 2024
Signals
4 dated events
- W•••••• Z•• left A••••••• F•••••••• for M• A••••••• U• L•• (registered 2026-08-11)Aug 4, 2026 · Advisor changed firm · fact
- Y•••• T•• T••• left A••••••• F•••••••• for M• A••••••• U• L•• (registered 2026-07-20)Jun 18, 2026 · Advisor changed firm · fact
- A••••••• F•••••••• reported 9 state-registered advisory representatives, down from 21 (2025-08-07 to 2025-12-25)Dec 25, 2025 · Advisor headcount change · derived
- A••••••• F•••••••• filed its initial SEC registration (Form ADV)Jul 5, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• F•••••••• · Independent Sponsorsshared crd · capital_provider
- A••••••• F•••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-877-8838reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/98782663/admin/dashboardreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-877-8838reportedpublic record, Form ADV, Dec 25, 2025
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026