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

Integrated Wealth Management, Inc.

Former SEC-registered adviserPalm Desert, CaliforniaCRD 106335SEC 801-50509IAPD
Latest filing Jul 12, 2017
First filing on the tape Mar 29, 2012 · 30 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
65%
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
27
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.2B as of Mar 1, 2017
Mar 29, 2012$421M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 1, 2017
Mar 29, 20120 then
Employees (5.A)29 as of Mar 1, 2017
Mar 27, 201315 then
Private funds: no history
RAUM +2.4% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 12, 2017; 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
$331,327derivedRAUM over accounts (5.F.2.f)
Discretionary
65%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+2.4%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, fixed fees, subscription, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
3,639reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Joined, 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
    • Anthony Pisano · Director And Ccocontrol
      since 05/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    • Integrated Casualty Insurance Services, LLC
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Anchorage, AK
    • Meridian, ID
    • Newport Beach, CA
    What changed
    consecutive filings, newest first
    • Advisory employees · 17 to 16
      Mar 30, 2017 to Jun 6, 2017
    • BD registered reps · 23 to 22
      Mar 30, 2017 to Jun 6, 2017
    • Employees · 29 to 27
      Mar 30, 2017 to Jun 6, 2017
    • Accounts · 3,770 to 3,639
      Nov 18, 2016 to Mar 1, 2017
    • BD registered reps · 24 to 23
      Nov 18, 2016 to Mar 1, 2017
    • Assets in custody · 41143.0 to unset
      Nov 18, 2016 to Mar 1, 2017
    • Custody of client assets · true to false
      Nov 18, 2016 to Mar 1, 2017
    • Financial planning clients · 26-50 to 51-100
      Nov 18, 2016 to Mar 1, 2017
    • Discretionary RAUM · $724M to $784M
      Nov 18, 2016 to Mar 1, 2017
    • Non-discretionary RAUM · $454M to $422M
      Nov 18, 2016 to Mar 1, 2017
    • RAUM · $1.2B to $1.2B
      Nov 18, 2016 to Mar 1, 2017
    • Accounts · 4,135 to 3,770
      Oct 23, 2015 to Mar 28, 2016
    • Advisory employees · 16 to 17
      Oct 23, 2015 to Mar 28, 2016
    • BD registered reps · 25 to 24
      Oct 23, 2015 to Mar 28, 2016
    • Assets in custody · $107,679 to $41,143
      Oct 23, 2015 to Mar 28, 2016
    • Employees · 32 to 29
      Oct 23, 2015 to Mar 28, 2016
    • Financial planning clients · 11-25 to 26-50
      Oct 23, 2015 to Mar 28, 2016
    • HQ city · PALM SPRINGS to PALM DESERT
      Oct 23, 2015 to Mar 28, 2016
    • Discretionary RAUM · $689M to $724M
      Oct 23, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $497M to $454M
      Oct 23, 2015 to Mar 28, 2016
    • RAUM · $1.2B to $1.2B
      Oct 23, 2015 to Mar 28, 2016
    • Accounts · 1,740 to 4,135
      Nov 11, 2014 to Feb 13, 2015
    • BD registered reps · 16 to 25
      Nov 11, 2014 to Feb 13, 2015
    • Assets in custody · $371,524 to $107,679
      Nov 11, 2014 to Feb 13, 2015
    • Employees · 31 to 32
      Nov 11, 2014 to Feb 13, 2015
    • Financial planning clients · 1-10 to 11-25
      Nov 11, 2014 to Feb 13, 2015
    • Discretionary RAUM · $357M to $689M
      Nov 11, 2014 to Feb 13, 2015
    • Non-discretionary RAUM · $266M to $497M
      Nov 11, 2014 to Feb 13, 2015
    • RAUM · $623M to $1.2B
      Nov 11, 2014 to Feb 13, 2015
    • Advisory employees · 9 to 16
      Mar 18, 2014 to Apr 28, 2014
    • BD registered reps · 9 to 16
      Mar 18, 2014 to Apr 28, 2014
    • Employees · 20 to 31
      Mar 18, 2014 to Apr 28, 2014
    • Accounts · 1,186 to 1,740
      Jan 14, 2014 to Feb 27, 2014
    • Advisory activities · 7 to 8
      Jan 14, 2014 to Feb 27, 2014
    • Assets in custody · $428,000 to $371,524
      Jan 14, 2014 to Feb 27, 2014
    • Discretionary RAUM · $349M to $357M
      Jan 14, 2014 to Feb 27, 2014
    • Non-discretionary RAUM · $131M to $266M
      Jan 14, 2014 to Feb 27, 2014
    • RAUM · $480M to $623M
      Jan 14, 2014 to Feb 27, 2014
    • Advisory employees · 7 to 9
      Nov 15, 2013 to Jan 14, 2014
    • BD registered reps · 7 to 9
      Nov 15, 2013 to Jan 14, 2014
    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