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

U•••• A••••••• G••••

Independent wealth managerIrvine, CaliforniaCRD 338775SEC 801-134701websiteIAPD
Legal name U•••• A••••••• G•••• L••
Latest filing Aug 31, 2026
First filing on the tape Oct 21, 2025 · 4 filings
SEC status approved since Nov 19, 2025
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$141M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$143M
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
4 filings and snapshots on the tape
RAUM$143M as of Aug 31, 2026
Oct 21, 2025$0 then
HNW client RAUM$128M as of Aug 31, 2026
Mar 18, 2026$128M then
State-registered IARs (5.B.3)1 as of Aug 31, 2026
Oct 21, 20251 then
Employees (5.A)1 as of Aug 31, 2026
Oct 21, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$143MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
73derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$472,218derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.4%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$143MreportedItem 5.I
Custody
$47.3M, 44 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$128M90%
  • Individuals$12.7M8.9%
  • Charitable organizations$2.0M1.4%
  • Corporations and businesses$1,3130.0%
Individual clients
38reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
302reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$47.3M for 44 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• C•••• G••••Irvine, CaNov 21, 202519 y4
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• B••••• C•••• · Cco And Managing Membercontrol
      since 09/2025 · 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 · 0 to 302
      Oct 21, 2025 to Mar 18, 2026
    • Charity clients · unset to 1.0
      Oct 21, 2025 to Mar 18, 2026
    • Corporate clients · unset to 1.0
      Oct 21, 2025 to Mar 18, 2026
    • HNW clients · unset to 35.0
      Oct 21, 2025 to Mar 18, 2026
    • Individual clients · unset to 38.0
      Oct 21, 2025 to Mar 18, 2026
    • Assets in custody · unset to 47341198.0
      Oct 21, 2025 to Mar 18, 2026
    • Custody of client assets · false to true
      Oct 21, 2025 to Mar 18, 2026
    • Discretionary RAUM · $0 to $143M
      Oct 21, 2025 to Mar 18, 2026
    • HNW RAUM · unset to 127915695.0
      Oct 21, 2025 to Mar 18, 2026
    • Individual RAUM · unset to 12693162.0
      Oct 21, 2025 to Mar 18, 2026
    • RAUM · $0 to $143M
      Oct 21, 2025 to Mar 18, 2026
    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
    Website
    ultraadvisorygroup.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    949-590-4923reportedpublic record, Form ADV, Aug 31, 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
    $143Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026