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.

Former SEC-registered adviser

San Francisco Sentry Investment Group

Former SEC-registered adviserSan Francisco, CaliforniaCRD 106257SEC 801-44325IAPD
Latest filing Mar 11, 2021
First filing on the tape Mar 29, 2012 · 23 filings
RAUM
$302M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$296M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$302M as of Mar 11, 2021
Mar 29, 2012$423M then
HNW client RAUM$257M as of Mar 11, 2021
Mar 27, 2018$304M then
State-registered IARs (5.B.3)4 as of Mar 11, 2021
Mar 26, 20138 then
Employees (5.A)6 as of Mar 11, 2021
Mar 26, 201316 then
Private funds: no history
RAUM +9.1% over the last fiscal year-6.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 2021; every figure names its basis
RAUM per advisor
$75.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$934,130derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.8%derived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$257M85%
  • Individuals$38.7M13%
  • Corporations and businesses$3.9M1.3%
  • Pension and profit-sharing plans$1.7M0.6%
Individual clients
91reported
HNW clients
56reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
323reported
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
Left, latest
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
    • Edward Richard Dirickson · Chairman/Director\Chief Compliance Officercontrol
      since 07/1990 · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list San Francisco Sentry Investment Group as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW clients · 57 to 56
      Jun 18, 2020 to Mar 11, 2021
    • Individual clients · 86 to 91
      Jun 18, 2020 to Mar 11, 2021
    • Discretionary RAUM · $266M to $287M
      Jun 18, 2020 to Mar 11, 2021
    • HNW RAUM · $242M to $257M
      Jun 18, 2020 to Mar 11, 2021
    • Individual RAUM · $29.6M to $38.7M
      Jun 18, 2020 to Mar 11, 2021
    • Non-discretionary RAUM · $10.4M to $14.5M
      Jun 18, 2020 to Mar 11, 2021
    • Pension RAUM · $1.6M to $1.7M
      Jun 18, 2020 to Mar 11, 2021
    • RAUM · $276M to $302M
      Jun 18, 2020 to Mar 11, 2021
    • Accounts · 321 to 323
      Jun 18, 2020 to Mar 11, 2021
    • Accounts · 308 to 321
      Jan 3, 2020 to Feb 13, 2020
    • HNW clients · 39 to 57
      Jan 3, 2020 to Feb 13, 2020
    • Individual clients · 65 to 86
      Jan 3, 2020 to Feb 13, 2020
    • Employees · 7 to 6
      Jan 3, 2020 to Feb 13, 2020
    • Discretionary RAUM · $226M to $266M
      Jan 3, 2020 to Feb 13, 2020
    • HNW RAUM · $193M to $242M
      Jan 3, 2020 to Feb 13, 2020
    • Individual RAUM · $25.0M to $29.6M
      Jan 3, 2020 to Feb 13, 2020
    • Non-discretionary RAUM · $8.1M to $10.4M
      Jan 3, 2020 to Feb 13, 2020
    • Pension RAUM · $1.7M to $1.6M
      Jan 3, 2020 to Feb 13, 2020
    • RAUM · $234M to $276M
      Jan 3, 2020 to Feb 13, 2020
    • Accounts · 603 to 308
      Oct 17, 2018 to Feb 28, 2019
    • BD registered reps · 7 to 4
      Oct 17, 2018 to Feb 28, 2019
    • HNW clients · 108 to 39
      Oct 17, 2018 to Feb 28, 2019
    • Individual clients · 190 to 65
      Oct 17, 2018 to Feb 28, 2019
    • Financial planning clients · 0 to unset
      Oct 17, 2018 to Feb 28, 2019
    • Discretionary RAUM · $364M to $226M
      Oct 17, 2018 to Feb 28, 2019
    • HNW RAUM · $304M to $193M
      Oct 17, 2018 to Feb 28, 2019
    • Individual RAUM · $52.8M to $25.0M
      Oct 17, 2018 to Feb 28, 2019
    • Non-discretionary RAUM · $10.5M to $8.1M
      Oct 17, 2018 to Feb 28, 2019
    • Pension RAUM · $1.7M to $1.7M
      Oct 17, 2018 to Feb 28, 2019
    • RAUM · $374M to $234M
      Oct 17, 2018 to Feb 28, 2019
    • Advisory employees · 5 to 3
      Mar 27, 2018 to May 2, 2018
    • BD registered reps · 9 to 7
      Mar 27, 2018 to May 2, 2018
    • Employees · 9 to 7
      Mar 27, 2018 to May 2, 2018
    • State-registered IARs · 5 to 4
      Mar 27, 2018 to May 2, 2018
    • Accounts · 313 to 603
      Dec 21, 2017 to Mar 27, 2018
    • Advisory employees · 8 to 5
      Dec 21, 2017 to Mar 27, 2018
    • BD registered reps · 10 to 9
      Dec 21, 2017 to Mar 27, 2018
    • HNW clients · unset to 108.0
      Dec 21, 2017 to Mar 27, 2018
    • Individual clients · unset to 190.0
      Dec 21, 2017 to Mar 27, 2018
    • Employees · 10 to 9
      Dec 21, 2017 to Mar 27, 2018
    Signals
    3 dated events
    • Arthur Leon Root (Cfo) no longer on Schedule A of San Francisco Sentry Investment Group (listed 2020-01-03, absent 2020-02-13)
      Feb 13, 2020 · Control person left · inference
    • San Francisco Sentry Investment Group reported RAUM $234.0M, down 38% from $374.4M (2018-10-17 to 2019-02-28)
      Feb 28, 2019 · RAUM change · derived
    • San Francisco Sentry Investment Group reported RAUM $374.4M, up 57% from $237.8M (2017-12-21 to 2018-03-27)
      Mar 27, 2018 · RAUM change · derived
    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