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••••• P•••• F••••••••
Legal name A••••• P•••• F•••••••• L••
Latest filing Feb 16, 2026
First filing on the tape Feb 14, 2025 · 3 filings
SEC status approved since Feb 5, 2025
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$174M
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
3 filings and snapshots on the tape
RAUM$174M as of Feb 16, 2026
Feb 14, 2025$0 then
HNW client RAUM$152M as of Feb 16, 2026
Apr 7, 2025$103M then
State-registered IARs (5.B.3)1 as of Feb 16, 2026
Feb 14, 20251 then
Employees (5.A)1 as of Feb 16, 2026
Feb 14, 20251 then
Private funds: no history
RAUM -6.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 171derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $289,866derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- -6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +50%derived
- 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$152M87%
- Individuals$22.1M13%
- Individual clients
- 119reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 599reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- J••• D••••• A•••• from E••••• J••••Mar 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Feb 16, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $186,254,410 to $173,629,593, advisors 1 to 1, private clients 114 to 171, offices 0 to 0 (2025-04-07 to 2026-02-16)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Feb 16, 2026accounts (Item 5.F.2.f) moved from 316.0 to 599.0 (+90.0%) between the annual amendments of 2025-04-07 and 2026-02-16; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- client count surgeChange between filings · filing Feb 16, 2026individual and HNW clients (Item 5.D) moved from 114.0 to 171.0 (+50.0%) between the annual amendments of 2025-04-07 and 2026-02-16; the peer median change was +3.0% (3309 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 97% percentile
- discretionary share shiftChange between filings · filing Feb 16, 2026discretionary share of RAUM moved from 65.0% to 100.0% between the annual amendments of 2025-04-07 and 2026-02-16peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Feb 16, 2026private-client share of RAUM moved from 61.0% to 100.0% between the annual amendments of 2025-04-07 and 2026-02-16peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Feb 16, 2026HNW share of RAUM moved from 55.0% to 87.0% between the annual amendments of 2025-04-07 and 2026-02-16peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Feb 16, 2026institutional share of RAUM moved from 39.0% to 0.0% between the annual amendments of 2025-04-07 and 2026-02-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 316 to 599Apr 7, 2025 to Feb 16, 2026
- Corporate clients · 1.0 to unsetApr 7, 2025 to Feb 16, 2026
- HNW clients · 64 to 52Apr 7, 2025 to Feb 16, 2026
- Individual clients · 50 to 119Apr 7, 2025 to Feb 16, 2026
- Pension plan clients · 29.0 to unsetApr 7, 2025 to Feb 16, 2026
- Financial planning clients · 0 to Apr 7, 2025 to Feb 16, 2026
- Discretionary RAUM · $120M to $174MApr 7, 2025 to Feb 16, 2026
- HNW RAUM · $103M to $152MApr 7, 2025 to Feb 16, 2026
- Individual RAUM · $11.1M to $22.1MApr 7, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $65.8M to $0Apr 7, 2025 to Feb 16, 2026
- Pension RAUM · 70461378.0 to unsetApr 7, 2025 to Feb 16, 2026
- RAUM · $186M to $174MApr 7, 2025 to Feb 16, 2026
- Accounts · 0 to 316Feb 14, 2025 to Apr 7, 2025
- Corporate clients · unset to 1.0Feb 14, 2025 to Apr 7, 2025
- HNW clients · unset to 64.0Feb 14, 2025 to Apr 7, 2025
- Individual clients · unset to 50.0Feb 14, 2025 to Apr 7, 2025
- Pension plan clients · unset to 29.0Feb 14, 2025 to Apr 7, 2025
- Financial planning clients · 0 to 0Feb 14, 2025 to Apr 7, 2025
- Discretionary RAUM · $0 to $120MFeb 14, 2025 to Apr 7, 2025
- HNW RAUM · unset to 103152393.0Feb 14, 2025 to Apr 7, 2025
- Individual RAUM · unset to 11071437.0Feb 14, 2025 to Apr 7, 2025
- Non-discretionary RAUM · $0 to $65.8MFeb 14, 2025 to Apr 7, 2025
- Pension RAUM · unset to 70461378.0Feb 14, 2025 to Apr 7, 2025
- RAUM · $0 to $186MFeb 14, 2025 to Apr 7, 2025
Signals
No event on the tape.
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
- 661-596-7961reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- a•••••••••.financialreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 661-484-7712reportedpublic record, Form ADV, Feb 16, 2026
- Contact form
- a•••••••••.financialreportedpublished by the firm, firm site, Sep 17, 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
- $174Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026