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

C•••••• S•••••• A•• C••••••• I•••

Former SEC-registered adviserAlbuquerque, New MexicoCRD 106916SEC 801-22681IAPD
Latest filing Mar 26, 2014
First filing on the tape Feb 22, 2012 · 5 filings
RAUM
$205M
reported, Item 5.F
Discretionary
61%
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
10
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$205M as of Mar 26, 2014
Mar 22, 2012$199M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 26, 2014
Mar 22, 20120 then
Employees (5.A)10 as of Mar 26, 2014
Mar 28, 20136 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Mar 26, 2014; every figure names its basis
RAUM per advisor
$51.3MderivedRAUM 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
$455,556derivedRAUM over accounts (5.F.2.f)
Discretionary
61%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
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
450reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • C•••••••• S••••••• J••••• · President/Chief Compliance Officercontrol
      since 05/2004 · 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
    • BD registered reps · 6 to 5
      Mar 28, 2013 to Mar 26, 2014
    • Accounts · 400 to 450
      Mar 28, 2013 to Mar 26, 2014
    • Advisory employees · 5 to 6
      Mar 28, 2013 to Mar 26, 2014
    • Commission compensation · false to true
      Mar 28, 2013 to Mar 26, 2014
    • Employees · 6 to 10
      Mar 28, 2013 to Mar 26, 2014
    • State-registered IARs · 5 to 4
      Mar 28, 2013 to Mar 26, 2014
    • Discretionary RAUM · $100M to $125M
      Mar 28, 2013 to Mar 26, 2014
    • Non-discretionary RAUM · $70.0M to $80.0M
      Mar 28, 2013 to Mar 26, 2014
    • RAUM · $170M to $205M
      Mar 28, 2013 to Mar 26, 2014
    • Accounts · 1,152 to 400
      Apr 25, 2012 to Mar 28, 2013
    • Advisory employees · unset to 5.0
      Apr 25, 2012 to Mar 28, 2013
    • Advisory activities · 5 to 6
      Apr 25, 2012 to Mar 28, 2013
    • BD registered reps · unset to 6.0
      Apr 25, 2012 to Mar 28, 2013
    • Employees · unset to 6.0
      Apr 25, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 5
      Apr 25, 2012 to Mar 28, 2013
    • Discretionary RAUM · $73.3M to $100M
      Apr 25, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $126M to $70.0M
      Apr 25, 2012 to Mar 28, 2013
    • RAUM · $199M to $170M
      Apr 25, 2012 to Mar 28, 2013
    • Related adviser · false to true
      Apr 25, 2012 to Mar 28, 2013
    • Commission compensation · true to false
      Mar 22, 2012 to Apr 25, 2012
    • Insurance-licensed employees · 4 to 0
      Mar 22, 2012 to Apr 25, 2012
    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