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••••• W••••• A••••••• I••••••••• M••••••••• ••••••
Legal name A••••• W••••• P••••••••• • I•••••••• S•••••••• L•••
Latest filing Jul 23, 2026
First filing on the tape May 9, 2022 · 31 filings
SEC status approved since Jun 9, 2022
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$209M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.1M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$224M as of Jul 23, 2026
Mar 13, 2023$129M then
HNW client RAUM$187M as of Jul 23, 2026
Mar 13, 2023$95.0M then
State-registered IARs (5.B.3)4 as of Jul 23, 2026
Mar 13, 20233 then
Employees (5.A)5 as of Jul 23, 2026
Mar 13, 20235 then
Private funds1 as of Jul 23, 2026
Jun 8, 20261 then
RAUM +33% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $56.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $656,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$187M83%
- Individuals$22.6M10%
- Pension and profit-sharing plans$12.6M5.6%
- Corporations and businesses$2.4M1.1%
- Charitable organizations$90,6010.0%
- Individual clients
- 104reported
- HNW clients
- 105reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 342reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•••••• W••••• | Los Angeles, Ca | Jun 13, 2022 | 10 y | 1 |
| I••• M••••• I•••• | Los Angeles, Ca | Jun 13, 2022 | 24 y | 3 |
| J•••• B•• L•• | Los Angeles, Ca | Sep 26, 2022 | 42 y | 1 |
| X• Z•••• | Los Angeles, Ca | Jul 6, 2023 | 12 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 headcount1 left over 36 months
Left, latest
- R••••• K•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Aug 23, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••••• K•••••••• from L•• F•••••••• L••May 26, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• B•• L•• from M•• I•••••••• S•••••••• L••Sep 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- I••• M••••• I•••• from M•• I•••••••• S•••••••• L••Jun 13, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• R•••••• W••••• from M•• I•••••••• S•••••••• L••Jun 13, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•• I•••••••• S•••••••• L••Jun 16, 2022 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••• I•••• M••••• · Cco, Founder, Cio, Membercontrolsince 03/2012 · 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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 4 | 0 | 0 | ||
| Santa Monica, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 4 to 0Jun 8, 2026 to Jul 23, 2026
- Private funds · unset to 1Mar 25, 2026 to Jun 8, 2026
- Related adviser · false to trueJan 21, 2026 to Mar 25, 2026
- Accounts · 311 to 342Dec 10, 2025 to Jan 21, 2026
- Charity clients · 0 to 1Dec 10, 2025 to Jan 21, 2026
- HNW clients · 99 to 105Dec 10, 2025 to Jan 21, 2026
- Individual clients · 105 to 104Dec 10, 2025 to Jan 21, 2026
- Pension plan clients · 6 to 5Dec 10, 2025 to Jan 21, 2026
- Financial planning clients · 26-50 to 11-25Dec 10, 2025 to Jan 21, 2026
- Discretionary RAUM · $169M to $224MDec 10, 2025 to Jan 21, 2026
- HNW RAUM · $136M to $187MDec 10, 2025 to Jan 21, 2026
- Individual RAUM · $21.0M to $22.6MDec 10, 2025 to Jan 21, 2026
- Pension RAUM · $9.3M to $12.6MDec 10, 2025 to Jan 21, 2026
- RAUM · $169M to $224MDec 10, 2025 to Jan 21, 2026
- Accounts · 307 to 311Aug 28, 2024 to Feb 21, 2025
- Corporate clients · unset to 5.0Aug 28, 2024 to Feb 21, 2025
- HNW clients · 94 to 99Aug 28, 2024 to Feb 21, 2025
- Individual clients · 110 to 105Aug 28, 2024 to Feb 21, 2025
- Pension plan clients · 7 to 6Aug 28, 2024 to Feb 21, 2025
- Financial planning clients · 1-10 to 26-50Aug 28, 2024 to Feb 21, 2025
- Discretionary RAUM · $165M to $169MAug 28, 2024 to Feb 21, 2025
- HNW RAUM · $131M to $136MAug 28, 2024 to Feb 21, 2025
- Individual RAUM · $21.7M to $21.0MAug 28, 2024 to Feb 21, 2025
- Pension RAUM · $10.6M to $9.3MAug 28, 2024 to Feb 21, 2025
- RAUM · $165M to $169MAug 28, 2024 to Feb 21, 2025
- BD registered reps · 5 to 4Aug 23, 2024 to Aug 26, 2024
- Advisory employees · 5 to 4Aug 1, 2024 to Aug 23, 2024
- Employees · 6 to 5Aug 1, 2024 to Aug 23, 2024
- State-registered IARs · 5 to 4Aug 1, 2024 to Aug 23, 2024
- Other offices · 1 to 0Aug 1, 2024 to Aug 23, 2024
- Advisory employees · 7 to 5Apr 3, 2024 to Apr 25, 2024
- Employees · 8 to 6Apr 3, 2024 to Apr 25, 2024
- State-registered IARs · 7 to 5Apr 3, 2024 to Apr 25, 2024
- Advisory employees · 8 to 7Mar 8, 2024 to Apr 3, 2024
- BD registered reps · 6 to 5Mar 8, 2024 to Apr 3, 2024
- Employees · 9 to 8Mar 8, 2024 to Apr 3, 2024
- State-registered IARs · 8 to 7Mar 8, 2024 to Apr 3, 2024
- Other offices · 2 to 1Mar 8, 2024 to Apr 3, 2024
- Employees · 10 to 9Feb 15, 2024 to Mar 8, 2024
- Accounts · 291 to 307Sep 18, 2023 to Jan 31, 2024
Signals
3 dated events
- R••••• K•••••••• left A••••• W••••• A••••••• I••••••••• M••••••••• •••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-10-30)Aug 23, 2024 · Advisor changed firm · fact
- 2 advisors left M•• I•••••••• S•••••••• L•• (Los Angeles, CA) for A••••• W••••• A••••••• I••••••••• M••••••••• •••••• on the same dayJun 16, 2022 · Team lift-out · derived
- A••••• W••••• A••••••• I••••••••• M••••••••• •••••• filed its initial SEC registration (Form ADV)May 9, 2022 · 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
- 310-795-0622reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/aligne-wealth-preservation-&-insurance-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- alignewealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (310) 795-0622reportedpublic record, Form ADV, Jul 23, 2026
- Contact form
- alignewealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- alignewealth.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
- $56.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026