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•••• L••••• A••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jan 26, 2024 · 7 filings
SEC status approved since Feb 29, 2024
RAUM
$715M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
92%
$657M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$715M as of Mar 16, 2026
Mar 17, 2025$630M then
HNW client RAUM$649M as of Mar 16, 2026
Mar 17, 2025$571M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Mar 17, 20254 then
Employees (5.A)5 as of Mar 16, 2026
Mar 17, 20256 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 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
- $179MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$649M91%
- Pension and profit-sharing plans$26.7M3.7%
- Corporations and businesses$16.7M2.3%
- Charitable organizations$14.5M2.0%
- Individuals$8.5M1.2%
- Individual clients
- 21reported
- HNW clients
- 110reported
- Pension plan clients
- 10reported
- Charitable clients
- 7reported
- Accounts
- 701reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 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 |
|---|---|---|---|---|
| S•••• W••• M•••• | Los Angeles, Ca | Jun 4, 2024 | 14 y | 1 |
| B•••• G•••••• M••••••Certified Financial Planner | Los Angeles, Ca | Jun 4, 2024 | 11 y | 2 |
| M•••••• C••• F•••••Certified Financial Planner | Los Angeles, Ca | Jun 4, 2024 | 11 y | 1 |
| M••• M• R•••••••• | Los Angeles, Ca | Jun 4, 2024 | 39 y | 4 |
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•••• G•••••• M•••••• from W•••• F•••• A•••••••Jun 4, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• C••• F••••• from W•••• F•••• A•••••••Jun 4, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• W••• M•••• from W•••• F•••• A•••••••Jun 4, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••• M• R•••••••• from W•••• F•••• A•••••••Jun 4, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Jun 7, 2024 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• S••••• W••• · Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- M••••••• B••••• G•••••• · Member/Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- R••••••••• M•••• M• · Member/Founder/Managing Partnercontrolsince 01/2024 · owns less than 5%
- M••••••• B••••• G•••••• · Membercontrolsince 05/2024 · owns 50% to 75% of B• A•••• L•••••• I•••
- R••••••••• M•••• M• · Grantor/Trusteecontrolsince 05/2024 · owns 50% to 75% of R•••••••• F••••• T•••• U• D•• 0•••••••••
- M••••••• S••••••• · Membersince 05/2024 · owns 50% to 75% of B• A•••• L•••••• I•••
- R••••••••• M••••••• · Grantor/Trusteesince 05/2024 · owns 50% to 75% of R•••••••• F••••• T•••• U• D•• 0•••••••••
Entity owners
- B• A•••• L•••••• I••• · Memberdirect · owns 5% to 10%
- M• A•••• L••••• I••• · Managing Memberdirect · owns 75% or more
- R•••••••• F••••• T•••• U• D•• 0••••••••• · Memberindirect · owns 75% or more of M• A•••• L••••• I•••
Related persons
Schedule D 7.A
- S••••• P•••••• W•••••• L••investment advisernRAUM $29.9M
Advisers that list A•••• L••••• A••••••• L•• as a related person
- 334161 n
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 |
Offices
Schedule D 1.F, the 25 largest
- Westlake Village, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 730 to 701Mar 17, 2025 to Mar 16, 2026
- Employees · 6 to 5Mar 17, 2025 to Mar 16, 2026
- Discretionary RAUM · $622M to $629MMar 17, 2025 to Mar 16, 2026
- HNW RAUM · $571M to $649MMar 17, 2025 to Mar 16, 2026
- Individual RAUM · $7.5M to $8.5MMar 17, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $8.2M to $86.0MMar 17, 2025 to Mar 16, 2026
- Pension RAUM · $23.5M to $26.7MMar 17, 2025 to Mar 16, 2026
- RAUM · $630M to $715MMar 17, 2025 to Mar 16, 2026
- Accounts · 703 to 730Dec 6, 2024 to Mar 17, 2025
- Employees · 5 to 6Dec 6, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Dec 6, 2024 to Mar 17, 2025
- Discretionary RAUM · $458M to $622MDec 6, 2024 to Mar 17, 2025
- HNW RAUM · $532M to $571MDec 6, 2024 to Mar 17, 2025
- Individual RAUM · $6.9M to $7.5MDec 6, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $128M to $8.2MDec 6, 2024 to Mar 17, 2025
- Pension RAUM · $21.8M to $23.5MDec 6, 2024 to Mar 17, 2025
- RAUM · $586M to $630MDec 6, 2024 to Mar 17, 2025
- Related adviser · false to trueJun 17, 2024 to Dec 6, 2024
- Accounts · unset to 703.0May 29, 2024 to Jun 17, 2024
- Charity clients · unset to 7.0May 29, 2024 to Jun 17, 2024
- Corporate clients · unset to 7.0May 29, 2024 to Jun 17, 2024
- HNW clients · unset to 110.0May 29, 2024 to Jun 17, 2024
- Individual clients · unset to 21.0May 29, 2024 to Jun 17, 2024
- Pension plan clients · unset to 10.0May 29, 2024 to Jun 17, 2024
- HQ city · unset to LOS ANGELESMay 29, 2024 to Jun 17, 2024
- HQ state · unset to CAMay 29, 2024 to Jun 17, 2024
- Other offices · 0 to 2May 29, 2024 to Jun 17, 2024
- Discretionary RAUM · unset to 458056834.0May 29, 2024 to Jun 17, 2024
- HNW RAUM · unset to 531722409.0May 29, 2024 to Jun 17, 2024
- Individual RAUM · unset to 6949367.0May 29, 2024 to Jun 17, 2024
- Non-discretionary RAUM · unset to 127998677.0May 29, 2024 to Jun 17, 2024
- Pension RAUM · unset to 21849221.0May 29, 2024 to Jun 17, 2024
- RAUM · unset to 586055511.0May 29, 2024 to Jun 17, 2024
- Financial planning clients · unset to 0Jan 26, 2024 to Feb 26, 2024
Signals
2 dated events
- 3 advisors left W•••• F•••• A••••••• (Los Angeles, CA) for A•••• L••••• A••••••• L•• within 3 daysJun 7, 2024 · Team lift-out · derived
- A•••• L••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 26, 2024 · 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/atlas-legacy-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-707-1275reportedpublic record, Form ADV, Mar 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
- $179Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026