DFX Intelligence

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SEC-registered adviser

A•••••• F••••• O•••••

Bank affiliated wealth managerSanta Monica, CaliforniaCRD 338266SEC 801-134854IAPD
Legal name A•••••• F••••• O•••••• L••
Latest filing Aug 26, 2026
First filing on the tape Jan 6, 2026 · 4 filings
SEC status approved since Jan 8, 2026
RAUM
$182M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
79%
$143M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.7M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$182M as of Aug 26, 2026
Jan 6, 2026$0 then
HNW client RAUM$143M as of Aug 26, 2026
May 6, 2026$143M then
State-registered IARs (5.B.3)2 as of Aug 26, 2026
Jan 6, 20262 then
Employees (5.A)5 as of Aug 26, 2026
Jan 6, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
RAUM per advisor
$60.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.9MderivedHNW RAUM over HNW clients
Average account
$805,193derivedRAUM over accounts (5.F.2.f)
Discretionary
27%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
0.8derived4 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$2.8M, 16 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$143M79%
  • Corporations and businesses$36.5M20%
  • Charitable organizations$2.5M1.4%
Individual clients
n/areported
HNW clients
18reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
226reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.8M for 16 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.79 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• R••••• O••••••Santa Monica, CaJun 3, 202626 y2
A••• B•••• S••••Snowmass, Co Jun 3, 202633 y1
A•••••• K• F••••Dallas, Tx Jun 15, 202621 y1
Advisor movement
0 left, 3 joined in 12 months
net +3 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• E•••••• J••• · Chief Compliance Officercontrol
        since 09/2025 · owns less than 5%
      • O••••••• J••••• R••••• · Ownercontrol
        since 09/2025 · owns 25% to 50%
      • S••••• A•••• B•••• · Ownercontrol
        since 09/2025 · owns 25% to 50%
      Entity owners
      • A•••••• W••••• M••••••••• L•• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Santa Monica, Ca · principal330
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 3
        May 6, 2026 to Jun 3, 2026
      • Accounts · 0 to 226
        Jan 6, 2026 to May 6, 2026
      • Charity clients · unset to 1.0
        Jan 6, 2026 to May 6, 2026
      • Corporate clients · unset to 4.0
        Jan 6, 2026 to May 6, 2026
      • HNW clients · unset to 18.0
        Jan 6, 2026 to May 6, 2026
      • Assets in custody · unset to 2843219.0
        Jan 6, 2026 to May 6, 2026
      • Custody of client assets · false to true
        Jan 6, 2026 to May 6, 2026
      • Employees · 4 to 5
        Jan 6, 2026 to May 6, 2026
      • Other offices · 2 to 1
        Jan 6, 2026 to May 6, 2026
      • Discretionary RAUM · $0 to $49.0M
        Jan 6, 2026 to May 6, 2026
      • HNW RAUM · unset to 142910383.0
        Jan 6, 2026 to May 6, 2026
      • Non-discretionary RAUM · $0 to $133M
        Jan 6, 2026 to May 6, 2026
      • RAUM · $0 to $182M
        Jan 6, 2026 to May 6, 2026
      Signals
      1 dated events
      • 2 advisors left X• C•••••• L•• (Los A••••••, CA) for A•••••• F••••• O••••• on the same day
        Jun 16, 2026 · Team lift-out · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      310-393-6300reportedpublic record, Form ADV, Aug 26, 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
      Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $60.7Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026