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
T•• P••••••• N••••••• I•••
Latest filing Sep 8, 2017
First filing on the tape Feb 24, 2012 · 26 filings
RAUM
$109M
reported, Item 5.F
Discretionary
99%
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
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$109M as of Sep 8, 2017
Sep 17, 2012$182M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Sep 8, 2017
Sep 17, 20120 then
Employees (5.A)11 as of Sep 8, 2017
Sep 25, 201314 then
Private funds: no history
RAUM -9.3% over the last fiscal year-10% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Sep 8, 2017; every figure names its basis
- RAUM per advisor
- $27.4MderivedRAUM 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
- $218,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.3%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
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
- 500reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- K••••••• K•• K••••• to L•• F•••••••• L••Dec 31, 2017 · Other
- P••• J••••••• T••••• to T••• I••••••••• A•••••••• L••Dec 31, 2017 · Other
- R••••• G•••••• to L•• F•••••••• L••Dec 31, 2017 · Other
- M••• H••••• H••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Dec 31, 2017 · Other
- D••••• E•••• T••••• to N•• F•••••••• G••••• L••Mar 20, 2017 · Other
- C••••••• M•••• B•••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 1, 2016 · Other
- N••••• M•••• L••••••••• to I••••••••• A•••••• A•••••••• L••Jun 29, 2016 · Other
- R•••••• J••••• M•••••• to T••• I••••••••• A•••••••• L••Dec 13, 2013 · Other
- T••••• J••• W••• to T••• I••••••••• A•••••••• L••Oct 30, 2013 · Other
- J•• A••• K•••• to T••• I••••••••• A•••••••• L••Aug 22, 2013 · Other
- J•••• A••• B•••••• to B•••••• • A••••••••• L••Nov 22, 2010 · Other
- J•••• W•••••• W••• to S••Nov 22, 2010 · Other
- D•••••• W•••••• C••• to W••••• M••••••••• I••••••••• L•••Sep 14, 2010 · Other
- R•••••• M•••••• G•••• to W••••• M••••••••• I••••••••• L•••Sep 14, 2010 · Other
- A••• C•••••• C•••••• to W••••• M••••••••• I••••••••• L•••Sep 14, 2010 · Other
Joined, latest
- R••••• G•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 6, 2016 · Other
- K••••••• K•• K••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Mar 26, 2014 · Other
- J•• A••• K•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 21, 2013 · Other
- N••••• M•••• L••••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Aug 20, 2012 · Other
- R•••••• M•••••• G•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 2, 2004 · Other
- A••• C•••••• C•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 2, 2004 · Other
- J•••• W•••••• W••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••May 24, 2004 · Other
- R••••• J• R•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 8, 2002 · Other
- D•••• A•••••• S•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Aug 30, 2002 · Other
- B•••• D•••••• H••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 10, 2002 · Other
- G••••• W•••••• M•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 9, 2002 · Other
- J••••• G••••• C•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 28, 2002 · Other
- T••••• J••• W••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••May 29, 2001 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Dec 31, 2017 · Manhattan Beach, Ca
- 3 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 29, 2017 · Los Angeles, Ca
- 3 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Oct 19, 2017 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M•••• D•••••• · Directorcontrolsince 08/2017 · owns less than 5%
- H•••• M•••• H••••• · Directorcontrolsince 08/2016 · owns less than 5%
- L••••••• K••••• B•••••••• · Secretary, Coo And Ccocontrolsince 10/2000 · owns less than 5%
- R•••• D•••••• F•••• · Directorcontrolsince 08/2017 · owns less than 5%
- S••••• R••••••• P••• · Directorcontrolsince 08/2017 · owns less than 5%
- S••••••••• M••••••• D•••• · Directorcontrolsince 08/2016 · owns less than 5%
- V••••••••• D••••• J••• · Directorcontrolsince 08/2017 · owns less than 5%
- W•••••••• D••••• N••••• · Directorcontrolsince 07/2013 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Anaheim Hills, CA
- Manhattan Beach, CA
- San Diego, CA
- San Jose, CA
What changed
consecutive filings, newest first
- Accounts · 616 to 500Aug 28, 2017 to Sep 8, 2017
- Discretionary RAUM · $98.9M to $108MAug 28, 2017 to Sep 8, 2017
- Non-discretionary RAUM · $21.7M to $1.2MAug 28, 2017 to Sep 8, 2017
- RAUM · $121M to $109MAug 28, 2017 to Sep 8, 2017
- Advisory employees · 5 to 4Mar 20, 2017 to Aug 28, 2017
- BD registered reps · 5 to 4Mar 20, 2017 to Aug 28, 2017
- Employees · 10 to 11Mar 20, 2017 to Aug 28, 2017
- State-registered IARs · 5 to 4Mar 20, 2017 to Aug 28, 2017
- Accounts · 1,284 to 616Jun 22, 2016 to Sep 26, 2016
- Advisory employees · 11 to 5Jun 22, 2016 to Sep 26, 2016
- BD registered reps · 12 to 5Jun 22, 2016 to Sep 26, 2016
- Employees · 15 to 10Jun 22, 2016 to Sep 26, 2016
- State-registered IARs · 11 to 5Jun 22, 2016 to Sep 26, 2016
- Discretionary RAUM · $192M to $98.9MJun 22, 2016 to Sep 26, 2016
- Non-discretionary RAUM · $41.7M to $21.7MJun 22, 2016 to Sep 26, 2016
- RAUM · $234M to $121MJun 22, 2016 to Sep 26, 2016
- Accounts · 486 to 1,284Apr 28, 2015 to Aug 4, 2015
- Commission compensation · true to falseApr 28, 2015 to Aug 4, 2015
- Discretionary RAUM · $111M to $192MApr 28, 2015 to Aug 4, 2015
- Non-discretionary RAUM · $39.7M to $41.7MApr 28, 2015 to Aug 4, 2015
- RAUM · $151M to $234MApr 28, 2015 to Aug 4, 2015
- Accounts · 1,543 to 486Feb 28, 2014 to Aug 5, 2014
- Advisory employees · 10 to 11Feb 28, 2014 to Aug 5, 2014
- BD registered reps · 11 to 12Feb 28, 2014 to Aug 5, 2014
- Employees · 14 to 15Feb 28, 2014 to Aug 5, 2014
- Financial planning clients · More than 500 to 251-500Feb 28, 2014 to Aug 5, 2014
- State-registered IARs · 10 to 11Feb 28, 2014 to Aug 5, 2014
- Discretionary RAUM · $184M to $111MFeb 28, 2014 to Aug 5, 2014
- Non-discretionary RAUM · $50.5M to $39.7MFeb 28, 2014 to Aug 5, 2014
- RAUM · $234M to $151MFeb 28, 2014 to Aug 5, 2014
- Accounts · 1,657 to 1,543Jun 26, 2013 to Sep 25, 2013
- Advisory employees · 14 to 10Jun 26, 2013 to Sep 25, 2013
- BD registered reps · 12 to 11Jun 26, 2013 to Sep 25, 2013
- Financial planning clients · 251-500 to More than 500Jun 26, 2013 to Sep 25, 2013
- Discretionary RAUM · $143M to $184MJun 26, 2013 to Sep 25, 2013
- Non-discretionary RAUM · $38.7M to $50.5MJun 26, 2013 to Sep 25, 2013
- RAUM · $182M to $234MJun 26, 2013 to Sep 25, 2013
- Advisory employees · unset to 14.0Sep 17, 2012 to May 16, 2013
- BD registered reps · unset to 12.0Sep 17, 2012 to May 16, 2013
- Employees · unset to 14.0Sep 17, 2012 to May 16, 2013
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