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

Farmers Financial Solutions, LLC

Former SEC-registered adviserWestlake Village, CaliforniaCRD 103863SEC 801-108217IAPD
Latest filing Dec 23, 2019
First filing on the tape Jul 27, 2016 · 27 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)22 as of Jan 31, 2019
Mar 2, 201715 then
Employees (5.A)25 as of Jan 31, 2019
Mar 2, 201715 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 22 to 22
Practice profile
derived from the filing of Dec 23, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
22.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, selection of other advisersreportedItem 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)
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
n/areported
Financial planning clients
0reported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Sonia (Nmn) Ahuja · Vice President & Chief Operating Officercontrol
    since 03/2015 · owns less than 5%
  • Joshua Alan Borkin · Chief Financial Officercontrol
    since 04/2016 · owns less than 5%
  • Doren Eugene Hohl · Secretarycontrol
    since 12/1999 · owns less than 5%
  • Steven Kenneth Klein · Vice President And Chief Compliance Officercontrol
    since 12/1999 · owns less than 5%
  • John Charles Mueting · Presidentcontrol
    since 08/2013 · owns less than 5%
  • Taretha Ann Robinson · Director Of Operationscontrol
    since 11/2018 · owns less than 5%
  • Julio Areias Da Silva · Board Member
    since 06/2016 · owns less than 5%
  • Guy Meade Hanson · Board Member
    since 09/2019 · owns less than 5%
  • Dale Anne Marlin · Board Member
    since 06/2018 · owns less than 5%
  • Ronald Lee Marrone · Board Member
    since 09/2019 · owns less than 5%
  • Ottie Joel Wallace · Board Member
    since 06/2015 · owns less than 5%
Entity owners
  • Ffs Holding, LLC · Managing Member
    direct · owns 75% or more
  • Mid-Century Insurance · Shareholder
    indirect · owns 75% or more of Ffs Holding, LLC
Related persons
Schedule D 7.A
  • Farmers Insurance Exchange
    real estatey
  • Fire Insurance Exchange
    real estatey
  • Truck Insurance Exchange
    real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HQ city · AGOURA HILLS to WESTLAKE VILLAGE
    Jun 29, 2018 to Dec 13, 2018
  • Advisory employees · 15 to 25
    Jan 2, 2018 to Jan 23, 2018
  • BD registered reps · 15 to 25
    Jan 2, 2018 to Jan 23, 2018
  • Commission compensation · false to true
    Jan 2, 2018 to Jan 23, 2018
  • Employees · 15 to 25
    Jan 2, 2018 to Jan 23, 2018
  • State-registered IARs · 15 to 22
    Jan 2, 2018 to Jan 23, 2018
  • Other offices · unset to 0.0
    Sep 1, 2017 to Jan 2, 2018
  • State-registered IARs · 1 to 15
    Nov 21, 2016 to Nov 21, 2016
  • Advisory employees · 1 to 15
    Nov 21, 2016 to Nov 21, 2016
  • BD registered reps · 1 to 15
    Nov 21, 2016 to Nov 21, 2016
  • Employees · 1 to 15
    Nov 21, 2016 to Nov 21, 2016
Signals
1 dated events
  • Farmers Financial Solutions, Llc filed its initial SEC registration (Form ADV)
    Jul 27, 2016 · 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.
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