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.

Former SEC-registered adviser

Foothill Securities, Inc.

Former SEC-registered adviserSanta Clara, CaliforniaCRD 1027SEC 801-57293IAPD
Latest filing Dec 27, 2016
First filing on the tape Mar 30, 2012 · 25 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
268
104 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2016
Mar 30, 2012$666M then
HNW client RAUM: no history
State-registered IARs (5.B.3)211 as of Mar 30, 2016
Apr 1, 2013112 then
Employees (5.A)268 as of Mar 30, 2016
Apr 1, 2013270 then
Private funds: no history
RAUM +27% over the last fiscal year+32% a year over threeIARs 200 to 211
Practice profile
derived from the filing of Dec 27, 2016; every figure names its basis
RAUM per advisor
$5.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$166,522derivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
35.2derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
+5.5%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6,953reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
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
  • Stephen Henry Chipman · President And Ceocontrol
    since 04/2006 · owns 5% to 10%
  • Rodney Kresge · Ccocontrol
    since 07/2016 · owns less than 5%
  • John Cordell Burroughs · Board Member
    since 12/2005 · owns 5% to 10%
  • David A Rosenzweig · Options Principal
    since 09/2014 · owns less than 5%
  • Karyn Marie White · Finop/Cfo
    since 10/2015 · owns less than 5%
Entity owners
  • Cue Financial Group · Shareholder
    direct · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Half Moon Bay, CA
  • Los Gatos, CA
  • Roseville, CA
  • Sacramento, CA
  • San Jose, CA
What changed
consecutive filings, newest first
  • Accounts · 4,704 to 6,953
    Mar 4, 2016 to Mar 30, 2016
  • Advisory employees · 200 to 104
    Mar 4, 2016 to Mar 30, 2016
  • BD registered reps · 200 to 203
    Mar 4, 2016 to Mar 30, 2016
  • Employees · 261 to 268
    Mar 4, 2016 to Mar 30, 2016
  • Insurance-licensed employees · 103 to 107
    Mar 4, 2016 to Mar 30, 2016
  • State-registered IARs · 200 to 211
    Mar 4, 2016 to Mar 30, 2016
  • Discretionary RAUM · $587M to $837M
    Mar 4, 2016 to Mar 30, 2016
  • Non-discretionary RAUM · $325M to $320M
    Mar 4, 2016 to Mar 30, 2016
  • RAUM · $912M to $1.2B
    Mar 4, 2016 to Mar 30, 2016
  • Accounts · 4,236 to 4,704
    Feb 12, 2015 to Mar 31, 2015
  • Advisory employees · 106 to 200
    Feb 12, 2015 to Mar 31, 2015
  • BD registered reps · 106 to 200
    Feb 12, 2015 to Mar 31, 2015
  • Employees · 251 to 261
    Feb 12, 2015 to Mar 31, 2015
  • Insurance-licensed employees · 84 to 103
    Feb 12, 2015 to Mar 31, 2015
  • State-registered IARs · 106 to 200
    Feb 12, 2015 to Mar 31, 2015
  • Discretionary RAUM · $442M to $587M
    Feb 12, 2015 to Mar 31, 2015
  • Non-discretionary RAUM · $300M to $325M
    Feb 12, 2015 to Mar 31, 2015
  • RAUM · $742M to $912M
    Feb 12, 2015 to Mar 31, 2015
  • HQ city · MOUNTAIN VIEW to SANTA CLARA
    May 21, 2014 to Aug 29, 2014
  • Accounts · 2,510 to 4,236
    Jul 18, 2013 to Mar 31, 2014
  • Advisory employees · 112 to 106
    Jul 18, 2013 to Mar 31, 2014
  • BD registered reps · 112 to 106
    Jul 18, 2013 to Mar 31, 2014
  • Commission compensation · false to true
    Jul 18, 2013 to Mar 31, 2014
  • Employees · 270 to 251
    Jul 18, 2013 to Mar 31, 2014
  • Insurance-licensed employees · 11 to 84
    Jul 18, 2013 to Mar 31, 2014
  • Financial planning clients · 251-500 to 51-100
    Jul 18, 2013 to Mar 31, 2014
  • State-registered IARs · 112 to 106
    Jul 18, 2013 to Mar 31, 2014
  • Discretionary RAUM · $338M to $442M
    Jul 18, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $171M to $300M
    Jul 18, 2013 to Mar 31, 2014
  • RAUM · $509M to $742M
    Jul 18, 2013 to Mar 31, 2014
  • Accounts · 3,795 to 2,510
    May 1, 2012 to Apr 1, 2013
  • Advisory employees · unset to 112.0
    May 1, 2012 to Apr 1, 2013
  • BD registered reps · unset to 112.0
    May 1, 2012 to Apr 1, 2013
  • Employees · unset to 270.0
    May 1, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 112.0
    May 1, 2012 to Apr 1, 2013
  • Discretionary RAUM · $524M to $338M
    May 1, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $142M to $171M
    May 1, 2012 to Apr 1, 2013
  • RAUM · $666M to $509M
    May 1, 2012 to Apr 1, 2013
Signals
1 dated events
  • 2 advisors left Arbor Point Advisors (San Ramon, CA) for Foothill Securities, Inc. on the same day
    Nov 8, 2024 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026