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

S••••••••• I•••

Former SEC-registered adviserCosta Mesa, CaliforniaCRD 108306SEC 801-72546IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$1.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.2M as of Mar 29, 2018
Mar 31, 2014$287M then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Apr 1, 20131 then
Employees (5.A)20 as of Mar 29, 2018
Apr 1, 201320 then
Private funds: no history
RAUM -26% over the last fiscal year-97% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$1.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
248derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$5,035derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
20.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-26%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, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.2M100%
Individual clients
248reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
248reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D•••• H••••• S••••• · Directorcontrol
    since 02/2001 · owns less than 5%
  • D•••••• S•••••• D•••••• · Chief Financial Officer, Directorcontrol
    since 01/2014 · owns less than 5%
  • M•••••• J••••••• W••• · Chairman Of Boardcontrol
    since 10/2013 · owns less than 5%
  • D•••••• S•••••• D•••••• · Managing Member, Shareholdercontrol
    since 11/2013 · owns 75% or more of S•••••••• P•••••••• L•
  • D•••••• D•••••• D••••• · Shareholder
    since 08/2010 · owns 5% to 10%
  • K••••••••• D••••• E••••• · Chief Compliance Officer
    since 04/2013 · owns less than 5%
  • S••••• S•••• L•••• · Ceo
    since 02/2018 · owns less than 5%
Entity owners
  • S•••••••• H••••••• C•••• · Shareholder
    direct · owns 75% or more
  • Q•••• B••• P••••••• L•• · Shareholder
    indirect · owns 75% or more of S•••••••• P•••••••• L•
  • S•••••••• P•••••••• L• · Shareholder
    indirect · owns 50% to 75% of S•••••••• Holdings, Corp.
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 · 223 to 248
    Mar 23, 2017 to Mar 29, 2018
  • Advisory employees · 1 to 0
    Mar 23, 2017 to Mar 29, 2018
  • Charity clients · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Corporate clients · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • HNW clients · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Individual clients · unset to 248.0
    Mar 23, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Discretionary RAUM · $1.7M to $1.2M
    Mar 23, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 1248781.0
    Mar 23, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Mar 23, 2017 to Mar 29, 2018
  • RAUM · $1.7M to $1.2M
    Mar 23, 2017 to Mar 29, 2018
  • Discretionary RAUM · $1.3M to $1.7M
    Jun 2, 2016 to Mar 23, 2017
  • RAUM · $1.3M to $1.7M
    Jun 2, 2016 to Mar 23, 2017
  • Accounts · 288 to 223
    Mar 30, 2016 to Jun 2, 2016
  • Advisory employees · 3 to 1
    Mar 30, 2016 to Jun 2, 2016
  • Accounts · 52,501 to 288
    Mar 19, 2015 to Mar 30, 2016
  • Discretionary RAUM · $203M to $1.3M
    Mar 19, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $33B to $0
    Mar 19, 2015 to Mar 30, 2016
  • RAUM · $34B to $1.3M
    Mar 19, 2015 to Mar 30, 2016
  • Accounts · 650 to 52,501
    Oct 14, 2014 to Mar 19, 2015
  • Advisory activities · 3 to 1
    Oct 14, 2014 to Mar 19, 2015
  • BD registered reps · 5 to 0
    Oct 14, 2014 to Mar 19, 2015
  • Employees · 23 to 20
    Oct 14, 2014 to Mar 19, 2015
  • Discretionary RAUM · $0 to $203M
    Oct 14, 2014 to Mar 19, 2015
  • Non-discretionary RAUM · $287M to $33B
    Oct 14, 2014 to Mar 19, 2015
  • RAUM · $287M to $34B
    Oct 14, 2014 to Mar 19, 2015
  • HQ city · SEAL BEACH to COSTA MESA
    Mar 31, 2014 to Oct 14, 2014
  • Succession · true to false
    Mar 31, 2014 to Oct 14, 2014
  • Advisory employees · 2 to 3
    Oct 14, 2013 to Mar 31, 2014
  • Advisory activities · 2 to 3
    Oct 14, 2013 to Mar 31, 2014
  • BD registered reps · 0 to 5
    Oct 14, 2013 to Mar 31, 2014
  • Employees · 20 to 23
    Oct 14, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $251M to $287M
    Oct 14, 2013 to Mar 31, 2014
  • RAUM · $251M to $287M
    Oct 14, 2013 to Mar 31, 2014
  • Succession · false to true
    Oct 14, 2013 to Mar 31, 2014
  • Accounts · unset to 650.0
    Apr 1, 2013 to Oct 14, 2013
Signals
1 dated events
  • S••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 31, 2014 · 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