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
M•••••• L••
Latest filing Mar 9, 2026
First filing on the tape May 16, 2024 · 7 filings
SEC status approved since Jun 13, 2024
RAUM
$197,892
reported, Item 5.F
Discretionary
5.5%
of RAUM
Private clients
100%
$197,892 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$197,892
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$197,892 as of Mar 9, 2026
May 2, 2025$20,000 then
HNW client RAUM$188,432 as of Mar 9, 2026
May 2, 2025$15,000 then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
May 2, 20251 then
Employees (5.A)1 as of Mar 9, 2026
May 2, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 9, 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
- $197,892derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $37,686derivedHNW RAUM over HNW clients
- Average account
- $28,270derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.5%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$188,43295%
- Individuals$9,4604.8%
- Individual clients
- 2reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- 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 |
|---|---|---|---|---|
| J••••• M••••• | Hermosa Beach, Ca | Jun 13, 2024 | 22 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
- M•••••• J•••••• M• · Ceo And Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- M•••••• J•••••• M• · Ceocontrolsince 04/2024 · owns 50% to 75% of C•••• I••••••••• I•••
Entity owners
- C•••• I••••••••• I••• · Holding Companydirect · owns 75% or more
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 · 2 to 7May 2, 2025 to Mar 9, 2026
- HNW clients · 1 to 5May 2, 2025 to Mar 9, 2026
- Individual clients · 1 to 2May 2, 2025 to Mar 9, 2026
- Discretionary RAUM · $0 to $10,972May 2, 2025 to Mar 9, 2026
- HNW RAUM · $15,000 to $188,432May 2, 2025 to Mar 9, 2026
- Individual RAUM · $5,000 to $9,460May 2, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $20,000 to $186,920May 2, 2025 to Mar 9, 2026
- RAUM · $20,000 to $197,892May 2, 2025 to Mar 9, 2026
- HNW clients · 0 to 1Nov 6, 2024 to May 2, 2025
- Individual clients · 2 to 1Nov 6, 2024 to May 2, 2025
- Financial planning clients · unset to Nov 6, 2024 to May 2, 2025
- HNW RAUM · $0 to $15,000Nov 6, 2024 to May 2, 2025
- Individual RAUM · $20,000 to $5,000Nov 6, 2024 to May 2, 2025
- Accounts · 0 to 2Oct 8, 2024 to Nov 6, 2024
- Charity clients · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- Corporate clients · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- HNW clients · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- Individual clients · unset to 2.0Oct 8, 2024 to Nov 6, 2024
- Pension plan clients · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- Pooled vehicle clients · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- HNW RAUM · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- Individual RAUM · unset to 20000.0Oct 8, 2024 to Nov 6, 2024
- Non-discretionary RAUM · $0 to $20,000Oct 8, 2024 to Nov 6, 2024
- Pension RAUM · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- Pooled vehicle RAUM · unset to 0.0Oct 8, 2024 to Nov 6, 2024
- RAUM · $0 to $20,000Oct 8, 2024 to Nov 6, 2024
Signals
1 dated events
- M•••••• L•• filed its initial SEC registration (Form ADV)May 16, 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
- Website
- m•••••.appreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-729-3421reportedpublic record, Form ADV, Mar 9, 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
- $197,892derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026