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
S•••••• W••••• A•••••••• L••
Latest filing Jun 16, 2026
First filing on the tape Jun 11, 2024 · 14 filings
SEC status approved since Jul 12, 2024
RAUM
$1.5B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$246M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.5B as of Jun 16, 2026
Mar 14, 2025$1.3B then
HNW client RAUM$1.5B as of Jun 16, 2026
Mar 14, 2025$1.3B then
State-registered IARs (5.B.3)6 as of Jun 16, 2026
Mar 14, 20255 then
Employees (5.A)6 as of Jun 16, 2026
Mar 14, 20255 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 5 to 6offices 0 to 1
Practice profile
derived from the filing of Jun 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $246MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.9MderivedHNW RAUM over HNW clients
- Average account
- $992,785derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $510M, 90 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B99%
- Individuals$7.9M0.5%
- Charitable organizations$1.3M0.1%
- Individual clients
- 18reported
- HNW clients
- 123reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,484reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $510M for 90 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• G••••••Certified Financial Planner, Chartered Financial Consultant | Santa Monica, Ca | Jul 15, 2024 | 14 y | 2 |
| R•••••• K••••••• S••• | Santa Monica, Ca | Jul 15, 2024 | 12 y | 1 |
| L•••• E•••••••• L••••••Certified Financial Planner | Santa Monica, Ca | Jul 15, 2024 | 10 y | 1 |
| K••• S•• B••••••• | Santa Monica, Ca | Jul 15, 2024 | 31 y | 2 |
| G••••• K• M•••• | Santa Monica, Ca | Dec 4, 2024 | 12 y | 2 |
| K•••••••• L• T•••••• | Santa Monica, Ca | Jun 24, 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
- G••••• K• M•••• from C•••••••• L••Dec 4, 2024 · RIA to RIA
- K••• S•• B••••••• from C•••••••• L••Jul 15, 2024 · RIA to a newly registered adviser
- D•••• G•••••• from C•••••••• L••Jul 15, 2024 · RIA to a newly registered adviser
- L•••• E•••••••• L•••••• from C•••••••• L••Jul 15, 2024 · RIA to a newly registered adviser
- R•••••• K••••••• S••• from C•••••••• L••Jul 15, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from C•••••••• L••Aug 12, 2024 · Santa Monica, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• K•••• S•• · Chief Executive Officer, Managing Partnercontrolsince 07/2024 · owns less than 5%
- G••••••• D•••• · Partnercontrolsince 06/2024 · owns 5% to 10%
- M••••• G•••••• K• · Partnercontrolsince 12/2024 · owns less than 5%
- B•••••••• K•••• S•• · Co-Trusteecontrolsince 12/2019 · owns F of B••••••• F••••• L••••• T••••
- B•••••••• M•••••• · Co-Trusteecontrolsince 12/2019 · owns F of B••••••• F••••• L••••• T••••
- E••••••••• L••••• S•••• · Chief Compliance Officersince 07/2024 · owns less than 5%
Entity owners
- K••••• H•••••••• L•• · Holding Companydirect · owns 50% to 75%
- B••••••• F••••• L••••• T•••• · Managing Memberindirect · owns 75% or more of K••••• H•••••••• L••
- K••• B••••••• I••••••••• G••• · Trustdirect · owns 10% to 25%
- M•••••• B••••••• I••••••••• · Trustdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 16, 2026B•••••••• M•••••• (CO-TRUSTEE) left Schedule A between the filings of 2024-12-10 and 2026-06-16peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,354 to 1,484Mar 14, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6Mar 14, 2025 to Mar 24, 2026
- HNW clients · 113 to 123Mar 14, 2025 to Mar 24, 2026
- Individual clients · 16 to 18Mar 14, 2025 to Mar 24, 2026
- Assets in custody · $459M to $510MMar 14, 2025 to Mar 24, 2026
- Employees · 5 to 6Mar 14, 2025 to Mar 24, 2026
- State-registered IARs · 5 to 6Mar 14, 2025 to Mar 24, 2026
- Other offices · 0 to 1Mar 14, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.0B to $1.2BMar 14, 2025 to Mar 24, 2026
- HNW RAUM · $1.3B to $1.5BMar 14, 2025 to Mar 24, 2026
- Individual RAUM · $6.7M to $7.9MMar 14, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $316M to $318MMar 14, 2025 to Mar 24, 2026
- RAUM · $1.3B to $1.5BMar 14, 2025 to Mar 24, 2026
- Accounts · 1,241 to 1,354Dec 10, 2024 to Mar 14, 2025
- Advisory employees · 4 to 5Dec 10, 2024 to Mar 14, 2025
- Charity clients · 1.0 to unsetDec 10, 2024 to Mar 14, 2025
- HNW clients · 101 to 113Dec 10, 2024 to Mar 14, 2025
- Individual clients · 8 to 16Dec 10, 2024 to Mar 14, 2025
- Assets in custody · $316M to $459MDec 10, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 101-250Dec 10, 2024 to Mar 14, 2025
- State-registered IARs · 4 to 5Dec 10, 2024 to Mar 14, 2025
- Discretionary RAUM · $904M to $1.0BDec 10, 2024 to Mar 14, 2025
- HNW RAUM · $1.2B to $1.3BDec 10, 2024 to Mar 14, 2025
- Individual RAUM · $2.8M to $6.7MDec 10, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $286M to $316MDec 10, 2024 to Mar 14, 2025
- RAUM · $1.2B to $1.3BDec 10, 2024 to Mar 14, 2025
- Accounts · 0 to 1,241Jul 17, 2024 to Nov 5, 2024
- Advisory employees · 1 to 4Jul 17, 2024 to Nov 5, 2024
- Advisory activities · 2 to 3Jul 17, 2024 to Nov 5, 2024
- Charity clients · unset to 1.0Jul 17, 2024 to Nov 5, 2024
- HNW clients · unset to 101.0Jul 17, 2024 to Nov 5, 2024
- Individual clients · unset to 8.0Jul 17, 2024 to Nov 5, 2024
- Assets in custody · unset to 316263573.0Jul 17, 2024 to Nov 5, 2024
- Custody of client assets · false to trueJul 17, 2024 to Nov 5, 2024
- Employees · 4 to 5Jul 17, 2024 to Nov 5, 2024
- State-registered IARs · 1 to 4Jul 17, 2024 to Nov 5, 2024
- Discretionary RAUM · $0 to $904MJul 17, 2024 to Nov 5, 2024
- HNW RAUM · unset to 1186151283.0Jul 17, 2024 to Nov 5, 2024
- Individual RAUM · unset to 2758810.0Jul 17, 2024 to Nov 5, 2024
- Non-discretionary RAUM · $0 to $286MJul 17, 2024 to Nov 5, 2024
Signals
5 dated events
- K Graham Mandl (Partner) appeared on Schedule A of S•••••• W••••• A•••••••• L••Dec 10, 2024 · Control person joined · fact
- 4 advisors left C•••••••• L•• (Santa Monica, CA) for S•••••• W••••• A•••••••• L•• on the same dayAug 12, 2024 · Team lift-out · derived
- Michael Boccella (Co-Trustee) appeared on Schedule A of S•••••• W••••• A•••••••• L••Jul 17, 2024 · Control person joined · fact
- Sue Kara Boccella (Chief Executive Officer) appeared on Schedule A of S•••••• W••••• A•••••••• L••Jul 15, 2024 · Control person joined · fact
- K•••••• L•• filed its initial SEC registration (Form ADV)Jun 11, 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
- Business phone
- 310-708-1706reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/serenus-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917-539-2411reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $246Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026