DFX Intelligence

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E••••••• W••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Roseville, California

Former SEC-registered adviser, based in Roseville, California, reporting $238M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2023-04-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $238M
RAUM change, 1 year: -3.3%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2023-04-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Apr 2023, RAUM $246M to $238M (-3.3%) on the Form ADV filed 28 Apr 2023.

Every filed figure, and the identifiersCRD 105888 · SEC 801-36794 · 25 filingsShow

CRD 105888SEC 801-36794First filing on the tape Mar 14, 2012, latest Apr 28, 2023IAPD

RAUM

$238M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$238M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM +5.3% a year over three years · the tape starts Mar 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$238M as of Mar 22, 2023

Mar 14, 2012$127M then

HNW client RAUM$238M as of Mar 22, 2023

Mar 19, 2018$133M then

State-registered IARs (5.B.3)1 as of Mar 22, 2023

Mar 14, 20120 then

Employees (5.A)2 as of Mar 22, 2023

Mar 20, 20133 then

Private funds: no history

RAUM -3.3% over the last fiscal year+5.3% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Apr 28, 2023; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $238MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $664,804derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -3.3%derivedbetween 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 feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$238M100%

Individual clients: n/areported
HNW clients: 106reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 358reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

M••••• G••••• A••••••• I•••1 advisor

Left, latest

K••••••• L••••• F••• to M••••• G••••• A••••••• I•••
Dec 31, 2022 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••• K•••••••• L••••• · President, Ceo, Ccocontrol
since 09/1999 · owns less than 5%

Entity owners

M••••• G••••• A••••••• I••• · Parent Company
direct · owns 75% or more

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 · 87 to 358
Jan 9, 2023 to Mar 22, 2023
Advisory activities · 3 to 2
Jan 9, 2023 to Mar 22, 2023
HNW clients · 87 to 106
Jan 9, 2023 to Mar 22, 2023
Employees · 3 to 2
Jan 9, 2023 to Mar 22, 2023
Discretionary RAUM · $246M to $238M
Jan 9, 2023 to Mar 22, 2023

Full history · 79 changes

HNW RAUM · $246M to $238M
Jan 9, 2023 to Mar 22, 2023
RAUM · $246M to $238M
Jan 9, 2023 to Mar 22, 2023
Accounts · 83 to 87
Oct 20, 2021 to Feb 15, 2022
HNW clients · 50 to 87
Oct 20, 2021 to Feb 15, 2022
Individual clients · 33.0 to unset
Oct 20, 2021 to Feb 15, 2022
Discretionary RAUM · $222M to $246M
Oct 20, 2021 to Feb 15, 2022
HNW RAUM · $194M to $246M
Oct 20, 2021 to Feb 15, 2022
Individual RAUM · 28014450.0 to unset
Oct 20, 2021 to Feb 15, 2022
RAUM · $222M to $246M
Oct 20, 2021 to Feb 15, 2022
Accounts · 314 to 83
Nov 4, 2020 to Mar 10, 2021
HNW clients · 49 to 50
Nov 4, 2020 to Mar 10, 2021
Individual clients · 34 to 33
Nov 4, 2020 to Mar 10, 2021
Employees · 2 to 3
Nov 4, 2020 to Mar 10, 2021
Discretionary RAUM · $204M to $222M
Nov 4, 2020 to Mar 10, 2021
HNW RAUM · $177M to $194M
Nov 4, 2020 to Mar 10, 2021
Individual RAUM · $27.1M to $28.0M
Nov 4, 2020 to Mar 10, 2021
RAUM · $204M to $222M
Nov 4, 2020 to Mar 10, 2021
Accounts · 323 to 314
Dec 19, 2019 to Mar 18, 2020
Advisory activities · 2 to 3
Dec 19, 2019 to Mar 18, 2020
HNW clients · 51 to 49
Dec 19, 2019 to Mar 18, 2020
Individual clients · 35 to 34
Dec 19, 2019 to Mar 18, 2020
Employees · 3 to 2
Dec 19, 2019 to Mar 18, 2020
Discretionary RAUM · $188M to $204M
Dec 19, 2019 to Mar 18, 2020
HNW RAUM · $163M to $177M
Dec 19, 2019 to Mar 18, 2020
Individual RAUM · $25.0M to $27.1M
Dec 19, 2019 to Mar 18, 2020
RAUM · $188M to $204M
Dec 19, 2019 to Mar 18, 2020
Accounts · 80 to 323
Mar 19, 2018 to Mar 13, 2019
Advisory activities · 3 to 2
Mar 19, 2018 to Mar 13, 2019
HNW clients · 52 to 51
Mar 19, 2018 to Mar 13, 2019
Individual clients · 27 to 35
Mar 19, 2018 to Mar 13, 2019
Discretionary RAUM · $152M to $188M
Mar 19, 2018 to Mar 13, 2019
HNW RAUM · $133M to $163M
Mar 19, 2018 to Mar 13, 2019
Individual RAUM · $18.5M to $25.0M
Mar 19, 2018 to Mar 13, 2019
Non-discretionary RAUM · $137,664 to $0
Mar 19, 2018 to Mar 13, 2019
RAUM · $152M to $188M
Mar 19, 2018 to Mar 13, 2019
Accounts · 463 to 80
May 12, 2017 to Mar 19, 2018
HNW clients · unset to 52.0
May 12, 2017 to Mar 19, 2018
Individual clients · unset to 27.0
May 12, 2017 to Mar 19, 2018
Other offices · unset to 0.0
May 12, 2017 to Mar 19, 2018
Discretionary RAUM · $151M to $152M
May 12, 2017 to Mar 19, 2018
HNW RAUM · unset to 133488816.0
May 12, 2017 to Mar 19, 2018
Individual RAUM · unset to 18464671.0
May 12, 2017 to Mar 19, 2018
Non-discretionary RAUM · $129,896 to $137,664
May 12, 2017 to Mar 19, 2018
RAUM · $151M to $152M
May 12, 2017 to Mar 19, 2018
Accounts · 445 to 463
Mar 21, 2016 to Mar 26, 2017
Discretionary RAUM · $135M to $151M
Mar 21, 2016 to Mar 26, 2017
Non-discretionary RAUM · $134,684 to $129,896
Mar 21, 2016 to Mar 26, 2017
RAUM · $135M to $151M
Mar 21, 2016 to Mar 26, 2017
Accounts · 450 to 445
Mar 23, 2015 to Mar 21, 2016
Discretionary RAUM · $135M to $135M
Mar 23, 2015 to Mar 21, 2016
Non-discretionary RAUM · $94,232 to $134,684
Mar 23, 2015 to Mar 21, 2016
RAUM · $135M to $135M
Mar 23, 2015 to Mar 21, 2016
Accounts · 501 to 450
Sep 26, 2014 to Mar 23, 2015
Advisory employees · 2 to 1
Sep 26, 2014 to Mar 23, 2015
Employees · 4 to 3
Sep 26, 2014 to Mar 23, 2015
Financial planning clients · 0 to 1-10
Sep 26, 2014 to Mar 23, 2015
State-registered IARs · 2 to 1
Sep 26, 2014 to Mar 23, 2015
Discretionary RAUM · $128M to $135M
Sep 26, 2014 to Mar 23, 2015
Non-discretionary RAUM · $88,760 to $94,232
Sep 26, 2014 to Mar 23, 2015
RAUM · $128M to $135M
Sep 26, 2014 to Mar 23, 2015
Accounts · 300 to 501
Mar 20, 2013 to Mar 21, 2014
Advisory employees · 1 to 2
Mar 20, 2013 to Mar 21, 2014
Employees · 3 to 4
Mar 20, 2013 to Mar 21, 2014
Financial planning clients · 1-10 to 0
Mar 20, 2013 to Mar 21, 2014
State-registered IARs · 0 to 2
Mar 20, 2013 to Mar 21, 2014
Discretionary RAUM · $123M to $128M
Mar 20, 2013 to Mar 21, 2014
Non-discretionary RAUM · $62,434 to $88,760
Mar 20, 2013 to Mar 21, 2014
RAUM · $123M to $128M
Mar 20, 2013 to Mar 21, 2014
Accounts · 308 to 300
May 21, 2012 to Mar 20, 2013
Advisory employees · unset to 1.0
May 21, 2012 to Mar 20, 2013
Employees · unset to 3.0
May 21, 2012 to Mar 20, 2013
Discretionary RAUM · $127M to $123M
May 21, 2012 to Mar 20, 2013
Non-discretionary RAUM · $52,310 to $62,434
May 21, 2012 to Mar 20, 2013
RAUM · $127M to $123M
May 21, 2012 to Mar 20, 2013

Signals

4 dated events

••• Locked
Jan 9, 2023 · Control person left · inference
••• Locked
Dec 31, 2022 · Advisor changed firm · fact
••• Locked
Oct 20, 2021 · Control person joined · fact
••• Locked
Oct 20, 2021 · Control person left · inference

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026