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
R•••••• I••••••••• A••••••• I••
Latest filing Mar 12, 2026
First filing on the tape Mar 21, 2012 · 54 filings
SEC status approved since Jul 27, 1993
RAUM
$1.1B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
69%
$784M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$1.1B as of Mar 12, 2026
Mar 21, 2012$186M then
HNW client RAUM$646M as of Mar 12, 2026
Mar 29, 2018$171M then
State-registered IARs (5.B.3)8 as of Mar 12, 2026
Jan 11, 20133 then
Employees (5.A)15 as of Mar 12, 2026
Jan 11, 20137 then
Private funds: no history
RAUM +13% over the last fiscal year+19% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $599,773derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $255M, 459 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$646M57%
- Pension and profit-sharing plans$224M20%
- Individuals$138M12%
- Corporations and businesses$77.2M6.8%
- Charitable organizations$58.2M5.1%
- Individual clients
- 505reported
- HNW clients
- 211reported
- Pension plan clients
- 53reported
- Charitable clients
- 22reported
- Accounts
- 1,906reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $255M for 459 clientsreported
- Compensation
- % of AUM, fixed, 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
6 left, 0 joined in 12 months
net -6 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- W••• A•••• W•••••• to P•••••••• L••Apr 7, 2026 · RIA to RIA
- N••• J••••• M•••••• to P•••••••• L••Apr 7, 2026 · RIA to RIA
- J••••• R•• M•••• to P•••••••• L••Apr 7, 2026 · RIA to RIA
- C••••••••• L•••• C••••••• to P•••••••• L••Apr 7, 2026 · RIA to RIA
- R••• J••• B••••• to P•••••••• L••Apr 7, 2026 · RIA to RIA
- R•••••• S••••• M••••• to S•••••••••Nov 7, 2025 · RIA to a state-registered adviser
- S•••• J••••• N••••• to H•• I••••••••• P•••••••• L••Jun 14, 2021 · Other
- E•••••••• M•••• L•••• to U•• A•••••••Nov 23, 2020 · Other
- A•••••••• A••••••• to M•••••• A•••••• N••••••Mar 1, 2019 · RIA to RIA
- A••••• W•••• M••••••• to P•••••••• F••••••••May 21, 2014 · Other
Joined, latest
- R••• J••• B••••• from C•••••••• G••••• M•••••• I•••Aug 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••••• S••••• M••••• from T••••••••• R••••••••• A•••••••• L••Dec 6, 2019 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• A••••••• from S•• I••••••••• A•••••••• I•••Feb 4, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for P•••••••• L••Apr 7, 2026 · Fresno, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C••••••••• L•••• · Director / Vice Presidentcontrolsince 04/2014 · owns less than 5%
- D•••• M••••• L•••• · Director/Chief Compliance Officer/Cfo/Secretarycontrolsince 10/2004 · owns less than 5%
- F••••• A••••••• D•••••• · Chief Executive Officer / Directorcontrolsince 07/2020 · owns less than 5%
- L•••••••• R•••••• J•••• · Directorcontrolsince 07/2005 · owns less than 5%
- M••••• J•••••• R•• · Director / Ownercontrolsince 09/2015 · owns 10% to 25%
- P••••••••• M•••• L•••• · Directorcontrolsince 04/2010 · owns less than 5%
- R••• P•••••• D••••• · Director & Presidentcontrolsince 10/2004 · owns less than 5%
- C•••••••• C••••••••• L•••• · Indirect Ownercontrolsince 12/2013 · owns F of C••••••••• C•••••••• S•••••• T•••••• O• T•• C••••••••• A•• K•••••••• C••••••• R•• F••••• T•••• D•• 1•••••••••
- D•••• M••••• L•••• · Indirect Ownercontrolsince 09/2013 · owns F of M•••• D•••, T•••••• T••• And M•••• D••• R•••••••• Family Trust D•••• 11/23/2010
- R••• P•••••• D••••• · Indirect Ownercontrolsince 10/2013 · owns F of P••••• R••• T•••••• P••••• • K•••• R•• D••••••••• O• T•••• D•••• 8•••••••
- W••••• J•••••• J• · Ownersince 01/2022 · owns less than 5%
- W••••••• K••••• M••••••• · Ownersince 01/2022 · owns less than 5%
Entity owners
- P••••• R••• T•••••• P••••• • K•••• R•• D••••••••• O• T•••• D•••• 8••••••• · Ownerdirect · owns 25% to 50%
- C••••••••• C•••••••• S•••••• T•••••• O• T•• C••••••••• A•• K•••••••• C••••••• R•• F••••• T•••• D•• 1••••••••• · Ownerdirect · owns 10% to 25%
- M•••• D•••• T•••••• T••• A•• M•••• D••• R•• F••••• T•••• D•••• 1••••••••• · Ownerdirect · owns 10% to 25%
- R•••••• S• M•••••• S•••••• T•••••• O• M••••• F••••• T•••• D•••• 4•••••••• · Ownerdirect · owns 5% to 10%
- W••• W••••••• T•••••• O• T•• W••• A•••• W•••••• R•••••••• T•••• D•• 5•••••••• · Ownerdirect · owns less than 5%
Related persons
Schedule D 7.A
- M••• P•••••••••investment adviserinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fresno, Ca · principal | 0 | 0 | 6 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,914 to 1,906Dec 17, 2025 to Mar 12, 2026
- Charity clients · 20 to 22Dec 17, 2025 to Mar 12, 2026
- Corporate clients · 15 to 12Dec 17, 2025 to Mar 12, 2026
- HNW clients · 200 to 211Dec 17, 2025 to Mar 12, 2026
- Individual clients · 506 to 505Dec 17, 2025 to Mar 12, 2026
- Pension plan clients · 51 to 53Dec 17, 2025 to Mar 12, 2026
- Assets in custody · $211M to $255MDec 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $955M to $1.1BDec 17, 2025 to Mar 12, 2026
- HNW RAUM · $550M to $646MDec 17, 2025 to Mar 12, 2026
- Individual RAUM · $156M to $138MDec 17, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $57.9M to $76.9MDec 17, 2025 to Mar 12, 2026
- Pension RAUM · $193M to $224MDec 17, 2025 to Mar 12, 2026
- RAUM · $1.0B to $1.1BDec 17, 2025 to Mar 12, 2026
- Related adviser · true to falseDec 17, 2025 to Mar 12, 2026
- Related insurance company · true to falseDec 17, 2025 to Mar 12, 2026
- Accounts · 1,752 to 1,914Apr 16, 2024 to Mar 18, 2025
- Charity clients · 19 to 20Apr 16, 2024 to Mar 18, 2025
- Corporate clients · 16 to 15Apr 16, 2024 to Mar 18, 2025
- HNW clients · 170 to 200Apr 16, 2024 to Mar 18, 2025
- Individual clients · 486 to 506Apr 16, 2024 to Mar 18, 2025
- Pension plan clients · 54 to 51Apr 16, 2024 to Mar 18, 2025
- Assets in custody · $148M to $211MApr 16, 2024 to Mar 18, 2025
- Employees · 14 to 15Apr 16, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 11-25Apr 16, 2024 to Mar 18, 2025
- Discretionary RAUM · $869M to $955MApr 16, 2024 to Mar 18, 2025
- HNW RAUM · $457M to $550MApr 16, 2024 to Mar 18, 2025
- Individual RAUM · $146M to $156MApr 16, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $8.4M to $57.9MApr 16, 2024 to Mar 18, 2025
- Pension RAUM · $189M to $193MApr 16, 2024 to Mar 18, 2025
- RAUM · $877M to $1.0BApr 16, 2024 to Mar 18, 2025
- Accounts · 1,632 to 1,752Dec 19, 2023 to Mar 21, 2024
- Advisory employees · 7 to 8Dec 19, 2023 to Mar 21, 2024
- Charity clients · 18 to 19Dec 19, 2023 to Mar 21, 2024
- Corporate clients · 11 to 16Dec 19, 2023 to Mar 21, 2024
- HNW clients · 128 to 170Dec 19, 2023 to Mar 21, 2024
- Individual clients · 510 to 486Dec 19, 2023 to Mar 21, 2024
- Pension plan clients · 56 to 54Dec 19, 2023 to Mar 21, 2024
- Assets in custody · $138M to $148MDec 19, 2023 to Mar 21, 2024
- Financial planning clients · 1-10 to 11-25Dec 19, 2023 to Mar 21, 2024
- State-registered IARs · 7 to 8Dec 19, 2023 to Mar 21, 2024
Signals
12 dated events
- R•••••• I••••••••• A••••••• I•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $1.1B)May 1, 2026 · Left the SEC roster · derived
- N••• J••••• M•••••• left R•••••• I••••••••• A••••••• I•• for P•••••••• L•• (registered 2026-04-01)Apr 7, 2026 · a•••••• firm change · fact
- J••••• R•• M•••• left R•••••• I••••••••• A••••••• I•• for P•••••••• L•• (registered 2026-04-01)Apr 7, 2026 · a•••••• firm change · fact
- W••• A•••• W•••••• left R•••••• I••••••••• A••••••• I•• for P•••••••• L•• (registered 2026-04-01)Apr 7, 2026 · a•••••• firm change · fact
- R••• J••• B••••• left R•••••• I••••••••• A••••••• I•• for P•••••••• L•• (registered 2026-04-01)Apr 7, 2026 · a•••••• firm change · fact
- C••••••••• L•••• C••••••• left R•••••• I••••••••• A••••••• I•• for P•••••••• L•• (registered 2026-04-01)Apr 7, 2026 · a•••••• firm change · fact
- R•••••• I••••••••• A••••••• I••'s advisors moved to P•••••••• L•• (Fresno, CA): 5 of 5 registered, on the same dayApr 7, 2026 · Firm absorbed (people side) · derived
- R•••••• S••••• M••••• left R•••••• I••••••••• A••••••• I•• for Simplifiedfp (registered 2025-10-14)Nov 7, 2025 · a•••••• firm change · fact
- R•••••• I••••••••• A••••••• I•• reported RAUM $877.3M, up 29% from $678.9M (2023-12-19 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- T••• F•••• (Chief Executive Officer) appeared on Schedule A of R•••••• I••••••••• A••••••• I••Aug 12, 2020 · Control person joined · fact
- Warner Stephen Guinn (Director/Vice President) no longer on Schedule A of R•••••• I••••••••• A••••••• I•• (listed 2020-05-14, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- R•••••• I••••••••• A••••••• I•• reported RAUM $439.6M, up 30% from $339.4M (2017-07-13 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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