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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••• P•••••••• M••••••••• I••

Former SEC-registered adviserAliso Viejo, CaliforniaCRD 107228SEC 801-44268websiteIAPD
Latest filing Mar 24, 2025
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Jul 9, 1993
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Mar 24, 2025
Mar 30, 2012$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 24, 2025
Mar 27, 20137 then
Employees (5.A)8 as of Mar 24, 2025
Mar 27, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 8
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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)
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
0reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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
    • A•••••••• A••••••• J••••• · President; Chief Strategist; Chief M•••Eting Officercontrol
      since 03/2018 · owns less than 5%
    • A•••••••• C••••• R••• · Chief Executive Officer; Chief Compliance Officercontrol
      since 02/1993 · owns 75% or more
    • T•••••••• L•••••• A•• · Vice President; Chief Operations Officer; Compliance Officercontrol
      since 02/2013 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list S••••• P•••••••• M••••••••• I•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Aliso Viejo, Ca · principal006
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · unset to 0.0
      May 20, 2024 to Mar 24, 2025
    • Financial planning clients · 26-50 to 51-100
      May 20, 2024 to Mar 24, 2025
    • Discretionary RAUM · unset to 0.0
      May 20, 2024 to Mar 24, 2025
    • Non-discretionary RAUM · unset to 0.0
      May 20, 2024 to Mar 24, 2025
    • RAUM · unset to 0.0
      May 20, 2024 to Mar 24, 2025
    • Financial planning clients · 51-100 to 26-50
      Mar 13, 2023 to Mar 26, 2024
    • Insurance-licensed employees · 7 to 8
      Jun 30, 2020 to Mar 30, 2021
    • State-registered IARs · 7 to 8
      Jun 30, 2020 to Mar 30, 2021
    • Financial planning clients · 26-50 to 51-100
      Mar 27, 2019 to Mar 26, 2020
    • Advisory employees · 7 to 8
      Oct 5, 2018 to Mar 27, 2019
    • BD registered reps · 6 to 7
      Oct 5, 2018 to Mar 27, 2019
    • Employees · 7 to 8
      Oct 5, 2018 to Mar 27, 2019
    • Financial planning clients · 11-25 to 26-50
      Oct 5, 2018 to Mar 27, 2019
    • Advisory activities · 4 to 3
      Mar 30, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Mar 30, 2018
    • Financial planning clients · 1-10 to 11-25
      Apr 2, 2015 to Mar 31, 2016
    • Advisory activities · 3 to 4
      Mar 27, 2013 to Mar 27, 2014
    • Financial planning clients · 11-25 to 1-10
      Mar 27, 2013 to Mar 27, 2014
    • Accounts · 45.0 to unset
      Feb 19, 2013 to Mar 27, 2013
    • Advisory activities · 5 to 3
      Feb 19, 2013 to Mar 27, 2013
    • BD registered reps · 7 to 6
      Feb 19, 2013 to Mar 27, 2013
    • Discretionary RAUM · 2332281.0 to unset
      Feb 19, 2013 to Mar 27, 2013
    • Non-discretionary RAUM · 0.0 to unset
      Feb 19, 2013 to Mar 27, 2013
    • RAUM · 2332281.0 to unset
      Feb 19, 2013 to Mar 27, 2013
    • Advisory employees · unset to 7.0
      Apr 11, 2012 to Feb 19, 2013
    • BD registered reps · unset to 7.0
      Apr 11, 2012 to Feb 19, 2013
    • Employees · unset to 7.0
      Apr 11, 2012 to Feb 19, 2013
    • State-registered IARs · unset to 7.0
      Apr 11, 2012 to Feb 19, 2013
    Signals
    8 dated events
    • S••••• P•••••••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2025-09-02)
      Dec 20, 2025 · Left the SEC roster · derived
    • A•••••• P•••• left S••••• P•••••••• M••••••••• I•• for S••••• M•••• M••••••••• I••• (registered 2019-03-21)
      Oct 19, 2025 · Advisor changed firm · fact
    • A•••••• J••••• A••••••• left S••••• P•••••••• M••••••••• I•• for S••••• M•••• M••••••••• I••• (registered 2011-01-19)
      Oct 19, 2025 · Advisor changed firm · fact
    • G••• R•••••• M••••••• left S••••• P•••••••• M••••••••• I•• for S••••• M•••• M••••••••• I••• (registered 2013-02-11)
      Oct 19, 2025 · Advisor changed firm · fact
    • S••••• P•••••••• M••••••••• I••'s advisors moved to S••••• M•••• M••••••••• I••• (Aliso Viejo, CA): 6 of 6 registered, on the same day
      Oct 19, 2025 · Firm absorbed (people side) · derived
    • D••••• A••••••• left S••••• P•••••••• M••••••••• I•• for S••••• M•••• M••••••••• I••• (registered 2010-03-15)
      Oct 19, 2025 · Advisor changed firm · fact
    • M••• G•••••••• left S••••• P•••••••• M••••••••• I•• for S••••• M•••• M••••••••• I••• (registered 2010-03-15)
      Oct 19, 2025 · Advisor changed firm · fact
    • S•••• M••••••• A••• left S••••• P•••••••• M••••••••• I•• for S••••• M•••• M••••••••• I••• (registered 2011-01-06)
      Oct 19, 2025 · Advisor changed firm · fact
    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