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

S••••••• C•••••• M•••••••••

Former SEC-registered adviserAuburn, CaliforniaCRD 105830SEC 801-29349websiteIAPD
Latest filing Mar 29, 2024
First filing on the tape Mar 29, 2012 · 15 filings
SEC status approved since Apr 10, 1987
RAUM
$108M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
57%
$61.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
15 filings and snapshots on the tape
RAUM$108M as of Mar 29, 2024
Mar 29, 2012$64.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Apr 1, 20130 then
Employees (5.A)1 as of Mar 29, 2024
Apr 1, 20131 then
Private funds: no history
RAUM +2.9% over the last fiscal year-7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
43%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
+2.9%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 institutions, pension consultingreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$61.4M57%
  • Pension and profit-sharing plans$42.3M39%
  • Charitable organizations$4.0M3.7%
Individual clients
39reported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
44reported
Financial planning clients
0reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• J•••••• · Chief Compliance Officercontrol
        since 06/2005 · owns 25% to 50%
      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 · 41 to 44
        Mar 31, 2023 to Mar 29, 2024
      • Individual clients · 36 to 39
        Mar 31, 2023 to Mar 29, 2024
      • Pension plan clients · 4 to 2
        Mar 31, 2023 to Mar 29, 2024
      • Discretionary RAUM · $44.2M to $44.8M
        Mar 31, 2023 to Mar 29, 2024
      • Individual RAUM · $40.5M to $61.4M
        Mar 31, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $60.5M to $62.9M
        Mar 31, 2023 to Mar 29, 2024
      • Pension RAUM · $60.5M to $42.3M
        Mar 31, 2023 to Mar 29, 2024
      • RAUM · $105M to $108M
        Mar 31, 2023 to Mar 29, 2024
      • Accounts · 63 to 41
        Mar 28, 2022 to Mar 31, 2023
      • Charity clients · unset to 1.0
        Mar 28, 2022 to Mar 31, 2023
      • Individual clients · 59 to 36
        Mar 28, 2022 to Mar 31, 2023
      • Discretionary RAUM · $67.5M to $44.2M
        Mar 28, 2022 to Mar 31, 2023
      • Individual RAUM · $77.4M to $40.5M
        Mar 28, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $60.6M to $60.5M
        Mar 28, 2022 to Mar 31, 2023
      • Pension RAUM · $50.7M to $60.5M
        Mar 28, 2022 to Mar 31, 2023
      • RAUM · $128M to $105M
        Mar 28, 2022 to Mar 31, 2023
      • Accounts · 65 to 63
        Mar 30, 2021 to Mar 28, 2022
      • Individual clients · 60 to 59
        Mar 30, 2021 to Mar 28, 2022
      • Discretionary RAUM · $78.0M to $67.5M
        Mar 30, 2021 to Mar 28, 2022
      • Individual RAUM · $92.1M to $77.4M
        Mar 30, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $55.9M to $60.6M
        Mar 30, 2021 to Mar 28, 2022
      • Pension RAUM · $41.8M to $50.7M
        Mar 30, 2021 to Mar 28, 2022
      • RAUM · $134M to $128M
        Mar 30, 2021 to Mar 28, 2022
      • Accounts · 77 to 65
        Jun 30, 2020 to Mar 30, 2021
      • Individual clients · 73 to 60
        Jun 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $76.1M to $78.0M
        Jun 30, 2020 to Mar 30, 2021
      • Individual RAUM · $93.3M to $92.1M
        Jun 30, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $56.0M to $55.9M
        Jun 30, 2020 to Mar 30, 2021
      • Pension RAUM · $38.7M to $41.8M
        Jun 30, 2020 to Mar 30, 2021
      • RAUM · $132M to $134M
        Jun 30, 2020 to Mar 30, 2021
      • Accounts · 70 to 77
        Apr 1, 2019 to Mar 30, 2020
      • Individual clients · 66 to 73
        Apr 1, 2019 to Mar 30, 2020
      • Discretionary RAUM · $71.9M to $76.1M
        Apr 1, 2019 to Mar 30, 2020
      • Individual RAUM · $84.4M to $93.3M
        Apr 1, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $44.6M to $56.0M
        Apr 1, 2019 to Mar 30, 2020
      • Pension RAUM · $32.1M to $38.7M
        Apr 1, 2019 to Mar 30, 2020
      • RAUM · $116M to $132M
        Apr 1, 2019 to Mar 30, 2020
      • Accounts · 65 to 70
        Mar 30, 2018 to Apr 1, 2019
      • Individual clients · 65 to 66
        Mar 30, 2018 to Apr 1, 2019
      • Pension plan clients · unset to 4.0
        Mar 30, 2018 to Apr 1, 2019
      Signals
      1 dated events
      • S••••••• C•••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $107.7M)
        May 2, 2025 · Left the SEC roster · 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