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•••••••• I••••••••• S•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 29, 2022 · 5 filings
SEC status approved since Jan 27, 2023
RAUM
$17B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$17B as of Mar 30, 2026
Mar 28, 2024$13B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 28, 2024$0 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20243 then
Employees (5.A)27 as of Mar 30, 2026
Mar 28, 202421 then
Private funds: no history
RAUM +2.1% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $17BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $786MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 27.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, 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
- 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
- Investment companies$17B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=10.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R•••••• · Managing Directorcontrolsince 04/2023 · owns less than 5%
- F•••••••• T•••••• J••••• · Chief Legal Officercontrolsince 01/2023 · owns less than 5%
- L•••••••• J•••••• G•••••• · Deputy Chief Legal Officercontrolsince 04/2023 · owns less than 5%
- N••••• D••••••• D•• · Chief Executive Officercontrolsince 04/2023 · owns less than 5%
- R•••••• C••••• E••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- S•••••• J•••••• B•••• · Chief Financial Officercontrolsince 04/2023 · owns less than 5%
- S• H••••••• K••• M•••• · Chief Operating Officercontrolsince 11/2022 · owns less than 5%
- B•••••••• S•••••• M••• · Owner, Presidentcontrolsince 07/2011 · owns F of A•••••••• C•••••• M••••••••• L••
- G•••••••• H•••••• R•• · Owner, Chief Executive Officer, Chief Investment Officercontrolsince 07/2011 · owns F of A•••••••• C•••••• M••••••••• L••
- H••••••••• R••••••• S•••• · Owner, Chairman Of The Boardcontrolsince 09/2012 · owns F of A•••••••• C•••••• M••••••••• L••
- L•••••••• G•••• W•••• · Owner, Vice Chairmancontrolsince 01/2022 · owns F of A•••••••• C•••••• M••••••••• L••
- S••••••••• R••••••• H••••• · Owner, Chief Financial Officer, Chief Operating Officercontrolsince 07/2011 · owns F of A•••••••• C•••••• M••••••••• L••
Entity owners
- A•••••••• C•••••• M••••••••• L•• · Owner/Memberdirect · owns 75% or more
- G••••••• H•••••••• L•• · Ownerindirect · owns 25% to 50% of A•••••••• C•••••• M••••••••• L••
- R•• A••••••••• C••••••• L•• · Ownerindirect · owns 25% to 50% of A•••••••• C•••••• M••••••••• L••
- P•••••• L••• I•••••••• C•••••• · Ownerindirect · owns F of A•••••••• C•••••• M••••••••• L••
Related persons
Schedule D 7.A
- A•• A•••• D••••••••• I• L•investment advisernRAUM $2.3B
- A•• A•••• D••••••••• I•• L•investment advisernRAUM $2.1B
- A•• A•••• G• I• L••pooled vehicle sponsorn
- A•• A•••• G• I•• L••pooled vehicle sponsorn
- A•• H• B••• G•• L••pooled vehicle sponsorn
- A•• S•••• D••••••• H• G•• L••pooled vehicle sponsorn
- A•••••••• A••••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $2.2B
- A•••••••• C•••••• B•••••• L••investment adviserpooled vehicle sponsornRAUM $1.8B
- A•••••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsoryRAUM $44B
- A•••••••• C••••• P•••••••• L••investment advisernRAUM $81.1M
- A•••••••• P•••••• C••••••• L••investment adviserpooled vehicle sponsornRAUM $27B
- M•••••• F••• M••••••• L••pooled vehicle sponsorn
- M•••••• R••••• A•••••••• L••investment advisern
- P•• B••• L••• F••• G• L••pooled vehicle sponsorn
- P•• C•• O••••••••• G• L••pooled vehicle sponsorn
- S••• F••• G•• L••pooled vehicle sponsorn
Advisers that list A•••••••• I••••••••• S•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-28, yes on the filing of 2026-03-30peers: ASSET_M••••••, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 19 to 21Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 8 to 7Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 1 to 2Mar 28, 2025 to Mar 30, 2026
- BD registered reps · 11 to 10Mar 28, 2025 to Mar 30, 2026
- Employees · 26 to 27Mar 28, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 1Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $16B to $17BMar 28, 2025 to Mar 30, 2026
- RAUM · $16B to $17BMar 28, 2025 to Mar 30, 2026
- Employees · 21 to 26Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $13B to $16BMar 28, 2024 to Mar 28, 2025
- RAUM · $13B to $16BMar 28, 2024 to Mar 28, 2025
- Accounts · 1 to 19May 5, 2023 to Mar 28, 2024
- BD registered reps · 4 to 11May 5, 2023 to Mar 28, 2024
- Employees · 11 to 21May 5, 2023 to Mar 28, 2024
- State-registered IARs · 1 to 3May 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $11B to $13BMay 5, 2023 to Mar 28, 2024
- RAUM · $11B to $13BMay 5, 2023 to Mar 28, 2024
- Accounts · 0 to 1Nov 29, 2022 to May 5, 2023
- Advisory employees · 1 to 8Nov 29, 2022 to May 5, 2023
- BD registered reps · 0 to 4Nov 29, 2022 to May 5, 2023
- Employees · 9 to 11Nov 29, 2022 to May 5, 2023
- HQ city · LOS ANGELES to NEWPORT BEACHNov 29, 2022 to May 5, 2023
- State-registered IARs · 0 to 1Nov 29, 2022 to May 5, 2023
- Discretionary RAUM · $0 to $11BNov 29, 2022 to May 5, 2023
- RAUM · $0 to $11BNov 29, 2022 to May 5, 2023
Signals
10 dated events
- A•••••••• I••••••••• S•••••••• L•• reported RAUM $13.4B, up 25% from $10.7B (2023-05-05 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Ricardo Costa (Managing Director) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••Mar 28, 2024 · Control person joined · fact
- Elaine Carol Rumsey (Chief Compliance Officer) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••May 5, 2023 · Control person joined · fact
- Gustave Joseph Lallande (Deputy Chief Legal Officer) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••May 5, 2023 · Control person joined · fact
- Dao Dominic Nolan (Chief Executive Officer) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••May 5, 2023 · Control person joined · fact
- B•••• J••••• S••••• (Chief Financial Officer) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••May 5, 2023 · Control person joined · fact
- Joseph Thomas Fuccillo (Chief Legal Officer) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••May 5, 2023 · Control person joined · fact
- Marie Kim St Hilaire (Chief Operating Officer) appeared on Schedule A of A•••••••• I••••••••• S•••••••• L••May 5, 2023 · Control person joined · fact
- Monsalud Michelle Gosom (Owner, Chief Compliance Officer) no longer on Schedule A of A•••••••• I••••••••• S•••••••• L•• (listed 2022-11-29, absent 2023-05-05)May 5, 2023 · Control person left · inference
- A•••••••• I••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 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
- Firm profile
- linkedin.com/company/aristotlecapreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (949) 681-2100reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026