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
M••••• C••••••• L••
Latest filing Feb 2, 2026
First filing on the tape Dec 3, 2021 · 17 filings
SEC status approved since Mar 14, 2022
RAUM
$240M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$235M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$240M as of Feb 2, 2026
Mar 3, 2023$166M then
HNW client RAUM$231M as of Feb 2, 2026
Mar 3, 2023$156M then
State-registered IARs (5.B.3)2 as of Feb 2, 2026
Mar 3, 20232 then
Employees (5.A)3 as of Feb 2, 2026
Mar 3, 20232 then
Private funds: no history
RAUM +10% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 2, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $79.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.4MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- +22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $240MreportedItem 5.I
- Custody
- $231M, 10 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$231M96%
- Corporations and businesses$5.3M2.2%
- Individuals$3.2M1.4%
- Individual clients
- 52reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 120reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $231M for 10 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• I•• C•••• | Encino, Ca | Mar 15, 2022 | 36 y | 4 |
| B••••••• D•••• C•••• | Encino, Ca | Oct 24, 2023 | 10 y | 0 |
| N•••••••• I•••• C•••• | Encino, Ca | Jun 1, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- P••• I•• C•••• from C••••••••• W•••••• L••Mar 15, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• P•••• I•• · Chairman & Ceo & Chief Compliance Officercontrolsince 12/2021 · 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 |
|---|---|---|---|---|---|
| Encino, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 123 to 120Jun 13, 2025 to Feb 2, 2026
- Corporate clients · 1 to 6Jun 13, 2025 to Feb 2, 2026
- HNW clients · 13 to 15Jun 13, 2025 to Feb 2, 2026
- Individual clients · 42 to 52Jun 13, 2025 to Feb 2, 2026
- Assets in custody · $207M to $231MJun 13, 2025 to Feb 2, 2026
- Discretionary RAUM · $218M to $240MJun 13, 2025 to Feb 2, 2026
- HNW RAUM · $202M to $231MJun 13, 2025 to Feb 2, 2026
- Individual RAUM · $11.4M to $3.2MJun 13, 2025 to Feb 2, 2026
- RAUM · $218M to $240MJun 13, 2025 to Feb 2, 2026
- Wrap assets (manager) · $218M to $0Jun 13, 2025 to Feb 2, 2026
- Wrap assets (sponsor) · $218M to $0Jun 13, 2025 to Feb 2, 2026
- Financial planning clients · 0 to 0Feb 7, 2025 to Jun 13, 2025
- HQ city · TARZANA to ENCINOFeb 7, 2025 to Jun 13, 2025
- Accounts · 112 to 123Mar 21, 2024 to Feb 7, 2025
- Advisory employees · 3 to 2Mar 21, 2024 to Feb 7, 2025
- Corporate clients · 3 to 1Mar 21, 2024 to Feb 7, 2025
- Individual clients · 41 to 42Mar 21, 2024 to Feb 7, 2025
- Assets in custody · $181M to $207MMar 21, 2024 to Feb 7, 2025
- Employees · 4 to 3Mar 21, 2024 to Feb 7, 2025
- State-registered IARs · 3 to 2Mar 21, 2024 to Feb 7, 2025
- Discretionary RAUM · $190M to $218MMar 21, 2024 to Feb 7, 2025
- HNW RAUM · $180M to $202MMar 21, 2024 to Feb 7, 2025
- Individual RAUM · $2.4M to $11.4MMar 21, 2024 to Feb 7, 2025
- RAUM · $190M to $218MMar 21, 2024 to Feb 7, 2025
- Wrap assets (manager) · $190M to $218MMar 21, 2024 to Feb 7, 2025
- Wrap assets (sponsor) · $190M to $218MMar 21, 2024 to Feb 7, 2025
- Accounts · 114 to 112Aug 23, 2023 to Mar 21, 2024
- Advisory employees · 2 to 3Aug 23, 2023 to Mar 21, 2024
- Advisory activities · 4 to 3Aug 23, 2023 to Mar 21, 2024
- Corporate clients · 9 to 3Aug 23, 2023 to Mar 21, 2024
- Individual clients · 37 to 41Aug 23, 2023 to Mar 21, 2024
- Assets in custody · $114M to $181MAug 23, 2023 to Mar 21, 2024
- Employees · 2 to 4Aug 23, 2023 to Mar 21, 2024
- State-registered IARs · 2 to 3Aug 23, 2023 to Mar 21, 2024
- Discretionary RAUM · $166M to $190MAug 23, 2023 to Mar 21, 2024
- HNW RAUM · $156M to $180MAug 23, 2023 to Mar 21, 2024
- Individual RAUM · $1.7M to $2.4MAug 23, 2023 to Mar 21, 2024
- RAUM · $166M to $190MAug 23, 2023 to Mar 21, 2024
- Wrap assets (manager) · $166M to $190MAug 23, 2023 to Mar 21, 2024
- Wrap assets (sponsor) · $166M to $190MAug 23, 2023 to Mar 21, 2024
Signals
1 dated events
- M••••• C••••••• L•• filed its initial SEC registration (Form ADV)Dec 3, 2021 · 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
- 818-479-3535reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/marest-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- marestcapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-216-4900reportedpublic record, Form ADV, Feb 2, 2026
- Contact form
- marestcapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- marestcapital.com/our-teamreportedpublished 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
- $79.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026