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

C••••••••• • R••• I••

Former SEC-registered adviserWoodland Hills, CaliforniaCRD 104839SEC 801-15482IAPD
Latest filing Mar 14, 2016
First filing on the tape Mar 21, 2012 · 6 filings
RAUM
$96.5M
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
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$96.5M as of Mar 14, 2016
Mar 21, 2012$90.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2016
Mar 21, 20120 then
Employees (5.A)8 as of Mar 14, 2016
Apr 1, 20136 then
Private funds: no history
RAUM -8.8% over the last fiscal year+0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2016; 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
$784,164derivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
123reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, 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
      • R•••• D•••••• D•• · President/Chief Compliance Officercontrol
        since 08/1979 · owns 75% or more
      • R•••• J•••••••• C••••••••• · Vice Presidentcontrol
        since 08/2010 · owns less than 5%
      • S••••••••• L•••• I•••• · Chief Operations Officercontrol
        since 07/1983 · owns less than 5%
      • A••••• C••••• M••••••• · Vice President
        since 01/2014 · owns less than 5%
      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 · 136 to 123
        Mar 25, 2015 to Mar 14, 2016
      • Discretionary RAUM · $106M to $96.5M
        Mar 25, 2015 to Mar 14, 2016
      • RAUM · $106M to $96.5M
        Mar 25, 2015 to Mar 14, 2016
      • Accounts · 134 to 136
        Mar 14, 2014 to Mar 25, 2015
      • Advisory employees · 2 to 3
        Mar 14, 2014 to Mar 25, 2015
      • Discretionary RAUM · $90.7M to $106M
        Mar 14, 2014 to Mar 25, 2015
      • RAUM · $90.7M to $106M
        Mar 14, 2014 to Mar 25, 2015
      • Accounts · 135 to 134
        Apr 1, 2013 to Mar 14, 2014
      • Employees · 6 to 8
        Apr 1, 2013 to Mar 14, 2014
      • Discretionary RAUM · $90.3M to $90.7M
        Apr 1, 2013 to Mar 14, 2014
      • Non-discretionary RAUM · $3.8M to $0
        Apr 1, 2013 to Mar 14, 2014
      • RAUM · $94.1M to $90.7M
        Apr 1, 2013 to Mar 14, 2014
      • Accounts · 133 to 135
        Sep 7, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Sep 7, 2012 to Apr 1, 2013
      • Employees · unset to 6.0
        Sep 7, 2012 to Apr 1, 2013
      • Discretionary RAUM · $87.4M to $90.3M
        Sep 7, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $3.6M to $3.8M
        Sep 7, 2012 to Apr 1, 2013
      • RAUM · $90.9M to $94.1M
        Sep 7, 2012 to Apr 1, 2013
      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