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

D•••••••• W••••• A•••••••• I•••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 108114SEC 801-57574IAPD
Latest filing Feb 20, 2017
First filing on the tape Feb 24, 2012 · 9 filings
RAUM
$162M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$162M as of Feb 20, 2017
Feb 24, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 20, 2017
Feb 24, 20120 then
Employees (5.A)4 as of Feb 20, 2017
Feb 19, 20135 then
Private funds: no history
RAUM +23% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 20, 2017; every figure names its basis
RAUM per advisor
$54.1MderivedRAUM 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
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$4.9M, 5 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)
  • 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
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
110reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$4.9M for 5 clientsreported
Compensation
% of AUM, 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
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
    • D••••••••• K•••• L•••• · Chief Compliance Officer/Secretarycontrol
      since 11/2013 · owns less than 5%
    • D••••••••• M••••••• C•••• · Presidentcontrol
      since 11/2013 · 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
    • Accounts · 147 to 110
      Mar 26, 2016 to Feb 20, 2017
    • Advisory activities · 4 to 5
      Mar 26, 2016 to Feb 20, 2017
    • Assets in custody · $4.7M to $4.9M
      Mar 26, 2016 to Feb 20, 2017
    • Discretionary RAUM · $132M to $162M
      Mar 26, 2016 to Feb 20, 2017
    • RAUM · $132M to $162M
      Mar 26, 2016 to Feb 20, 2017
    • Accounts · 140 to 147
      Jan 30, 2015 to Mar 26, 2016
    • Assets in custody · $5.1M to $4.7M
      Jan 30, 2015 to Mar 26, 2016
    • Discretionary RAUM · $127M to $132M
      Jan 30, 2015 to Mar 26, 2016
    • RAUM · $127M to $132M
      Jan 30, 2015 to Mar 26, 2016
    • Accounts · 116 to 140
      Sep 9, 2014 to Jan 30, 2015
    • Assets in custody · $5.8M to $5.1M
      Sep 9, 2014 to Jan 30, 2015
    • Discretionary RAUM · $120M to $127M
      Sep 9, 2014 to Jan 30, 2015
    • RAUM · $120M to $127M
      Sep 9, 2014 to Jan 30, 2015
    • Accounts · 172 to 116
      Nov 27, 2013 to Mar 21, 2014
    • Assets in custody · $25,802 to $5.8M
      Nov 27, 2013 to Mar 21, 2014
    • HQ city · COSTA MESA to NEWPORT BEACH
      Nov 27, 2013 to Mar 21, 2014
    • Discretionary RAUM · $113M to $120M
      Nov 27, 2013 to Mar 21, 2014
    • Non-discretionary RAUM · $5.1M to $0
      Nov 27, 2013 to Mar 21, 2014
    • RAUM · $118M to $120M
      Nov 27, 2013 to Mar 21, 2014
    • Employees · 5 to 4
      Feb 19, 2013 to Nov 27, 2013
    • State-registered IARs · 4 to 3
      Feb 19, 2013 to Nov 27, 2013
    • Related insurance company · true to false
      Feb 19, 2013 to Nov 27, 2013
    • Succession · false to true
      Feb 19, 2013 to Nov 27, 2013
    • Business name · D•••••••• M••••• P•••••• W••••• A•••••••• I••• to D•••••••• W••••• A•••••••• I•••
      Nov 27, 2013 to Nov 27, 2013
    • Legal name · D•••••••• M••••• P•••••• W••••• A•••••••• I••• to D•••••••• W••••• A•••••••• I•••
      Nov 27, 2013 to Nov 27, 2013
    • Succession · true to false
      Nov 27, 2013 to Nov 27, 2013
    • Accounts · 114 to 172
      Feb 24, 2012 to Feb 19, 2013
    • Advisory employees · unset to 3.0
      Feb 24, 2012 to Feb 19, 2013
    • Assets in custody · $20,586 to $25,802
      Feb 24, 2012 to Feb 19, 2013
    • Employees · unset to 5.0
      Feb 24, 2012 to Feb 19, 2013
    • State-registered IARs · 0 to 4
      Feb 24, 2012 to Feb 19, 2013
    • Discretionary RAUM · $85.9M to $113M
      Feb 24, 2012 to Feb 19, 2013
    • Non-discretionary RAUM · $18.6M to $5.1M
      Feb 24, 2012 to Feb 19, 2013
    • RAUM · $105M to $118M
      Feb 24, 2012 to Feb 19, 2013
    Signals
    1 dated events
    • D•••••••• M••••• P•••••• W••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 27, 2013 · Succession (Item 4) · 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