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•• V••••• W••••• M••••••••• C••••
Latest filing Sep 16, 2026
First filing on the tape Dec 8, 2021 · 12 filings
SEC status approved since Jan 10, 2022
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$85.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$52.8M as of Mar 31, 2026
Feb 8, 2022$0 then
HNW client RAUM$39.9M as of Mar 31, 2026
Feb 8, 2022$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 8, 20221 then
Employees (5.A)2 as of Mar 31, 2026
Feb 8, 20222 then
Private funds: no history
RAUM -4.3% over the last fiscal year-3.6% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Sep 16, 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
- RAUM per advisor
- $33.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -50%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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$79.4M78%
- Corporations and businesses$16.3M16%
- Individuals$5.8M5.7%
- Individual clients
- 70reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 91reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• Z• L•• | Irvine, Ca | Jan 10, 2022 | 11 y | 0 |
| H••••• H••• Y• | Irvine, Ca | Jun 22, 2022 | 30 y | 3 |
| B••• C•• | Irvine, Ca | May 14, 2024 | 12 y | 2 |
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
- B••• C•• from P••••••• E•• C••••••• L••May 14, 2024 · Other
- H••••• H••• Y• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 22, 2022 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• K•••• Z• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- L••• R•••••• · Managing Membercontrolsince 08/2021 · owns 75% or more of C••••••• I••••••••• L••••••
- Q••• Z••••• · Managing Membercontrolsince 08/2021 · owns 75% or more of S•• V••••• M••••••••• L••••••
Entity owners
- C••••••• I••••••••• L•••••• · Memberdirect · owns 50% to 75%
- S•• V••••• M••••••••• L•••••• · Memberdirect · owns 50% to 75%
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $105,972,255 to $52,827,000 (-50.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +15.0% (4549 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 0.5% percentile
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 75.0% to 100.0% between the annual amendments of 2025-03-30 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- HNW clients · 11 to 12Sep 10, 2026 to Sep 16, 2026
- Individual clients · 71 to 70Sep 10, 2026 to Sep 16, 2026
- Other offices · 0 to 1Sep 10, 2026 to Sep 16, 2026
- Discretionary RAUM · $101M to $101MSep 10, 2026 to Sep 16, 2026
- HNW RAUM · $79.3M to $79.4MSep 10, 2026 to Sep 16, 2026
- Individual RAUM · $5.9M to $5.8MSep 10, 2026 to Sep 16, 2026
- RAUM · $101M to $101MSep 10, 2026 to Sep 16, 2026
- Accounts · 78 to 91Mar 31, 2026 to Sep 10, 2026
- Corporate clients · 2 to 4Mar 31, 2026 to Sep 10, 2026
- HNW clients · 16 to 11Mar 31, 2026 to Sep 10, 2026
- Individual clients · 60 to 71Mar 31, 2026 to Sep 10, 2026
- Financial planning clients · 0 to 0Mar 31, 2026 to Sep 10, 2026
- Discretionary RAUM · $52.8M to $101MMar 31, 2026 to Sep 10, 2026
- HNW RAUM · $39.9M to $79.3MMar 31, 2026 to Sep 10, 2026
- Individual RAUM · $5.1M to $5.9MMar 31, 2026 to Sep 10, 2026
- RAUM · $52.8M to $101MMar 31, 2026 to Sep 10, 2026
- Related adviser · false to unsetMar 31, 2026 to Sep 10, 2026
- Related bank · false to unsetMar 31, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetMar 31, 2026 to Sep 10, 2026
- Related insurance company · false to unsetMar 31, 2026 to Sep 10, 2026
- Succession · false to unsetMar 31, 2026 to Sep 10, 2026
- Accounts · 77 to 78Mar 30, 2025 to Mar 31, 2026
- HNW clients · 12 to 16Mar 30, 2025 to Mar 31, 2026
- Individual clients · 63 to 60Mar 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $79.0M to $52.8MMar 30, 2025 to Mar 31, 2026
- HNW RAUM · $89.1M to $39.9MMar 30, 2025 to Mar 31, 2026
- Individual RAUM · $8.0M to $5.1MMar 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $27.0M to $0Mar 30, 2025 to Mar 31, 2026
- RAUM · $106M to $52.8MMar 30, 2025 to Mar 31, 2026
- Accounts · 83 to 77Mar 31, 2024 to Mar 30, 2025
- Advisory employees · 3 to 2Mar 31, 2024 to Mar 30, 2025
- BD registered reps · 0 to 1Mar 31, 2024 to Mar 30, 2025
- Corporate clients · 5 to 2Mar 31, 2024 to Mar 30, 2025
- HNW clients · 23 to 12Mar 31, 2024 to Mar 30, 2025
- Individual clients · 60 to 63Mar 31, 2024 to Mar 30, 2025
- Pension plan clients · 2.0 to unsetMar 31, 2024 to Mar 30, 2025
- Employees · 3 to 2Mar 31, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Mar 31, 2024 to Mar 30, 2025
- State-registered IARs · 3 to 0Mar 31, 2024 to Mar 30, 2025
- Discretionary RAUM · $100M to $79.0MMar 31, 2024 to Mar 30, 2025
Signals
1 dated events
- S•• V••••• W••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)Dec 8, 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
- Principal office phone
- 626-437-1436reportedpublic record, Form ADV, 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
- $33.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026