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

F•••••••• C••••••• I•••

Former SEC-registered adviserMountain View, CaliforniaCRD 106010SEC 801-42200IAPD
Latest filing Mar 20, 2019
First filing on the tape Mar 8, 2012 · 15 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.4B as of Mar 20, 2019
Mar 8, 2012$1.1B then
HNW client RAUM$1.4B as of Mar 20, 2019
Feb 18, 2018$1.5B then
State-registered IARs (5.B.3)2 as of Mar 20, 2019
Mar 8, 20120 then
Employees (5.A)11 as of Mar 20, 2019
Mar 14, 20139 then
Private funds: no history
RAUM -1.5% over the last fiscal year+6.1% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 20, 2019; every figure names its basis
RAUM per advisor
$719MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$47.9MderivedHNW RAUM over HNW clients
Average account
$47.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.5%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.4B100%
Individual clients
n/areported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
30reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      • Y••••• S•••••••• T••••• · Chief Compliance Officercontrol
        since 07/2004 · 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 · 31 to 30
        Jan 14, 2019 to Mar 20, 2019
      • HNW clients · 31 to 30
        Jan 14, 2019 to Mar 20, 2019
      • State-registered IARs · 0 to 2
        Jan 14, 2019 to Mar 20, 2019
      • HNW RAUM · $1.5B to $1.4B
        Jan 14, 2019 to Mar 20, 2019
      • Non-discretionary RAUM · $1.5B to $1.4B
        Jan 14, 2019 to Mar 20, 2019
      • RAUM · $1.5B to $1.4B
        Jan 14, 2019 to Mar 20, 2019
      • Employees · 10 to 11
        Feb 18, 2018 to Jan 14, 2019
      • HNW clients · unset to 31.0
        Mar 7, 2017 to Feb 18, 2018
      • Other offices · unset to 1.0
        Mar 7, 2017 to Feb 18, 2018
      • HNW RAUM · unset to 1458972000.0
        Mar 7, 2017 to Feb 18, 2018
      • Non-discretionary RAUM · $1.3B to $1.5B
        Mar 7, 2017 to Feb 18, 2018
      • RAUM · $1.3B to $1.5B
        Mar 7, 2017 to Feb 18, 2018
      • Accounts · 28 to 31
        Sep 23, 2016 to Mar 7, 2017
      • Non-discretionary RAUM · $1.2B to $1.3B
        Sep 23, 2016 to Mar 7, 2017
      • RAUM · $1.2B to $1.3B
        Sep 23, 2016 to Mar 7, 2017
      • Accounts · 31 to 28
        Mar 13, 2015 to Mar 3, 2016
      • Non-discretionary RAUM · $1.3B to $1.2B
        Mar 13, 2015 to Mar 3, 2016
      • RAUM · $1.3B to $1.2B
        Mar 13, 2015 to Mar 3, 2016
      • Non-discretionary RAUM · $1.3B to $1.3B
        Mar 4, 2015 to Mar 13, 2015
      • RAUM · $1.3B to $1.3B
        Mar 4, 2015 to Mar 13, 2015
      • Employees · 9 to 10
        Nov 21, 2013 to Mar 14, 2014
      • Non-discretionary RAUM · $1.2B to $1.3B
        Nov 21, 2013 to Mar 14, 2014
      • RAUM · $1.2B to $1.3B
        Nov 21, 2013 to Mar 14, 2014
      • Accounts · 30 to 31
        Apr 17, 2012 to Mar 14, 2013
      • Advisory employees · unset to 2.0
        Apr 17, 2012 to Mar 14, 2013
      • Employees · unset to 9.0
        Apr 17, 2012 to Mar 14, 2013
      • Non-discretionary RAUM · $1.1B to $1.2B
        Apr 17, 2012 to Mar 14, 2013
      • RAUM · $1.1B to $1.2B
        Apr 17, 2012 to Mar 14, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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