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•••••••• I••
Latest filing Mar 6, 2026
First filing on the tape Mar 7, 2022 · 9 filings
SEC status approved since Apr 6, 2022
RAUM
$371M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
98%
$363M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$371M as of Mar 6, 2026
Feb 15, 2023$173M then
HNW client RAUM$358M as of Mar 6, 2026
Feb 15, 2023$165M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Feb 15, 20233 then
Employees (5.A)3 as of Mar 6, 2026
Feb 15, 20233 then
Private funds3 as of Mar 6, 2026
Oct 6, 20251 then
RAUM +16% over the last fiscal year+29% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- 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
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$358M97%
- Charitable organizations$8.1M2.2%
- Individuals$4.4M1.2%
- Individual clients
- 21reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 248reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••• S•••• | Calabasas, Ca | Feb 1, 2023 | 10 y | 1 |
| S•••• S••••• P••• | Calabasas, Ca | Nov 19, 2024 | 24 y | 6 |
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
- M•••••• A•••• S•••• from P••••••••• C••••••• L••Feb 1, 2023 · Other
- S•••• S••••• P••• from M•• C••Jun 8, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• S••••• S••••• · Ceo, Ccocontrolsince 01/2022 · 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 |
|---|---|---|---|---|---|
| Calabasas, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 6, 2026HNW RAUM per HNW client of $7,786,573 against a peer median of $2,402,920 (4942 comparable advisers, 98.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 98% percentile
- compensation changedChange between filings · filing Mar 6, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-10-06, yes on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 255 to 248Oct 6, 2025 to Mar 6, 2026
- HNW clients · 44 to 46Oct 6, 2025 to Mar 6, 2026
- Individual clients · 19 to 21Oct 6, 2025 to Mar 6, 2026
- Financial planning clients · 26-50 to 11-25Oct 6, 2025 to Mar 6, 2026
- Private funds · 1 to 3Oct 6, 2025 to Mar 6, 2026
- Discretionary RAUM · $290M to $340MOct 6, 2025 to Mar 6, 2026
- HNW RAUM · $308M to $358MOct 6, 2025 to Mar 6, 2026
- Individual RAUM · $4.2M to $4.4MOct 6, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $29.1M to $30.6MOct 6, 2025 to Mar 6, 2026
- RAUM · $319M to $371MOct 6, 2025 to Mar 6, 2026
- Private funds · unset to 1Feb 3, 2025 to Oct 6, 2025
- Accounts · 222 to 255Aug 14, 2024 to Feb 3, 2025
- HNW clients · 43 to 44Aug 14, 2024 to Feb 3, 2025
- Individual clients · 13 to 19Aug 14, 2024 to Feb 3, 2025
- Financial planning clients · 1-10 to 26-50Aug 14, 2024 to Feb 3, 2025
- Discretionary RAUM · $250M to $290MAug 14, 2024 to Feb 3, 2025
- HNW RAUM · $269M to $308MAug 14, 2024 to Feb 3, 2025
- Individual RAUM · $2.6M to $4.2MAug 14, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $28.7M to $29.1MAug 14, 2024 to Feb 3, 2025
- RAUM · $279M to $319MAug 14, 2024 to Feb 3, 2025
- Accounts · 155 to 222Dec 7, 2023 to Feb 7, 2024
- HNW clients · 41 to 43Dec 7, 2023 to Feb 7, 2024
- Individual clients · 7 to 13Dec 7, 2023 to Feb 7, 2024
- Discretionary RAUM · $173M to $250MDec 7, 2023 to Feb 7, 2024
- HNW RAUM · $165M to $269MDec 7, 2023 to Feb 7, 2024
- Individual RAUM · $2.1M to $2.6MDec 7, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $0 to $28.7MDec 7, 2023 to Feb 7, 2024
- RAUM · $173M to $279MDec 7, 2023 to Feb 7, 2024
- Advisory employees · 3 to 2Feb 15, 2023 to Dec 7, 2023
- Insurance-licensed employees · 1 to 0Feb 15, 2023 to Dec 7, 2023
- State-registered IARs · 3 to 2Feb 15, 2023 to Dec 7, 2023
- State-registered IARs · 1 to 3Aug 2, 2022 to Feb 15, 2023
- Other offices · 0 to 1Aug 2, 2022 to Feb 15, 2023
- Discretionary RAUM · $161M to $173MAug 2, 2022 to Feb 15, 2023
- HNW RAUM · $154M to $165MAug 2, 2022 to Feb 15, 2023
- Individual RAUM · $181,047 to $2.1MAug 2, 2022 to Feb 15, 2023
- RAUM · $161M to $173MAug 2, 2022 to Feb 15, 2023
- Accounts · 150 to 155Aug 2, 2022 to Feb 15, 2023
- Advisory employees · 2 to 3Aug 2, 2022 to Feb 15, 2023
- Charity clients · unset to 1.0Aug 2, 2022 to Feb 15, 2023
Signals
2 dated events
- A•••• F•••••••• I•• reported RAUM $278.5M, up 61% from $173.1M (2023-12-07 to 2024-02-07)Feb 7, 2024 · RAUM change · derived
- A•••• F•••••••• I•• filed its initial SEC registration (Form ADV)Mar 7, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••• F•••••••• I•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310.570.2573reportedpublic record, Form ADV, Mar 6, 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
- $185Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026