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
B•••••••
Legal name B••••••• T••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape May 24, 2023 · 13 filings
SEC status approved since Jul 17, 2023
RAUM
$4.5M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
100%
$4.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$4.5M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$4.5M as of Mar 31, 2026
Mar 29, 2024$402,125 then
HNW client RAUM$283,278 as of Mar 31, 2026
Mar 29, 2024$353,353 then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 29, 20241 then
Employees (5.A)2 as of Mar 31, 2026
Mar 29, 20243 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $4.5MderivedRAUM 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
- $106,258derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.2M94%
- High-net-worth individuals$283,2786.3%
- Individual clients
- 39reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 42reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• G•••••• S••••Chartered Financial Analyst | Lake Forest, Ca | Sep 15, 2025 | 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• S••••• A•••••• · President, Ceo, Chief Compliance Officercontrolsince 08/2024 · owns 75% or more
- P••••••• C••••• · Ownercontrolsince 05/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 50 to 42Nov 7, 2025 to Mar 31, 2026
- HNW clients · 29.0 to unsetNov 7, 2025 to Mar 31, 2026
- Individual clients · 18 to 39Nov 7, 2025 to Mar 31, 2026
- HQ city · SANTA ANA to LAKE FORESTNov 7, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.1M to $3.2MNov 7, 2025 to Mar 31, 2026
- HNW RAUM · $3.3M to $283,278Nov 7, 2025 to Mar 31, 2026
- Individual RAUM · $233,008 to $4.2MNov 7, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $514,124 to $1.3MNov 7, 2025 to Mar 31, 2026
- RAUM · $3.6M to $4.5MNov 7, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Apr 8, 2025 to Nov 7, 2025
- Related adviser · false to trueApr 8, 2025 to Nov 7, 2025
- Accounts · 19 to 50Jan 10, 2025 to Apr 8, 2025
- HNW clients · 16 to 29Jan 10, 2025 to Apr 8, 2025
- Individual clients · 3 to 18Jan 10, 2025 to Apr 8, 2025
- Financial planning clients · unset to 0Jan 10, 2025 to Apr 8, 2025
- HQ city · to SANTA ANAJan 10, 2025 to Apr 8, 2025
- HQ state · to CAJan 10, 2025 to Apr 8, 2025
- Discretionary RAUM · $402,125 to $3.1MJan 10, 2025 to Apr 8, 2025
- HNW RAUM · $353,353 to $3.3MJan 10, 2025 to Apr 8, 2025
- Individual RAUM · $48,772 to $233,008Jan 10, 2025 to Apr 8, 2025
- Non-discretionary RAUM · $0 to $514,124Jan 10, 2025 to Apr 8, 2025
- RAUM · $402,125 to $3.6MJan 10, 2025 to Apr 8, 2025
- HQ city · unset to Aug 23, 2024 to Jan 10, 2025
- HQ state · unset to Aug 23, 2024 to Jan 10, 2025
- Employees · 3 to 2Jun 17, 2024 to Aug 23, 2024
- Accounts · 0 to 19Jul 13, 2023 to Mar 29, 2024
- HNW clients · 0 to 16Jul 13, 2023 to Mar 29, 2024
- Individual clients · 0 to 3Jul 13, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $402,125Jul 13, 2023 to Mar 29, 2024
- HNW RAUM · $0 to $353,353Jul 13, 2023 to Mar 29, 2024
- Individual RAUM · $0 to $48,772Jul 13, 2023 to Mar 29, 2024
- RAUM · $0 to $402,125Jul 13, 2023 to Mar 29, 2024
Signals
2 dated events
- Joseph Dominic Spinozzi (Chief Compliance Officer) no longer on Schedule A of Berilium (listed 2024-06-17, absent 2024-08-23)Aug 23, 2024 · Control person left · inference
- Berilium filed its initial SEC registration (Form ADV)May 24, 2023 · 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/berilium-altsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- b•••••••.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (640) 300-0475reportedpublic record, Form ADV, Mar 31, 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
- $4.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026