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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Former SEC-registered adviser
W•••••••• A•••• M••••••••• I••
Latest filing Nov 30, 2011
First filing on the tape Nov 30, 2011 · 1 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $1.1B
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Nov 30, 2011; 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
- $439,444derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
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
- 2,553reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
- M•••••• J••••• A•••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- J•••• E•••• B••••••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- A•••• S•••••• Y•• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- A••••• B• C••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- M•••••• T••••• C•••••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- T••••••• M•••••• D••••••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- D••••• W•• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- S••• C•••••••• C••••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- D•••••• J•••• K••••••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
- C••••••••• M•••• W••••• to W•••••••• P•••••••• L••Dec 5, 2011 · Other
Joined, latest
- A••••• B• C••• from T• A••••••••• I•••Apr 27, 2011 · Other
- A•••• S•••••• Y•• from C•••••• S••••• • C••• I•••Jan 20, 2010 · Other
- T••••••• M•••••• D••••••• from C•••••••• G••••• M•••••• I•••Jun 4, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••••• E•••• · Presidentcontrolsince 01/1990 · owns 50% to 75%
- B•••••••• R•••••• A•••• · Chairmancontrolsince 11/1988 · owns 50% to 75%
- F••••••• S••••• M••• · Chief Compliance Officercontrolsince 11/2008 · owns less than 5%
- W•••••• C••••••••• M•••• · Chief Operations Officercontrolsince 01/2010 · owns less than 5%
- A••••• M••••••• J••••• · Senior Vice Presidentsince 01/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Pasadena, CA
What changed
consecutive filings, newest first
One filing, no change to show.
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.
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