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

P••••••••• F•••••••• G••••

Former SEC-registered adviserGold River, CaliforniaCRD 108478SEC 801-57705IAPD
Latest filing Jan 23, 2014
First filing on the tape Jan 30, 2012 · 9 filings
RAUM
$191M
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
7
4 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$191M as of Jan 23, 2014
Jan 30, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 23, 2014
Jan 30, 20120 then
Employees (5.A)7 as of Jan 23, 2014
Feb 5, 20135 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 23, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$354,993derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individualsreportedItem 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
  • 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)
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
537reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • O•••••••• P•••••••• L•• · Secretary/Treasurer/Cfo/Directorcontrol
    since 08/1991 · owns 5% to 10%
  • P••••••••• P•••• C•••••• · President/Director/Chief Compliance Officercontrol
    since 08/1991 · 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 · 541 to 537
    Oct 10, 2013 to Jan 23, 2014
  • Discretionary RAUM · $172M to $190M
    Oct 10, 2013 to Jan 23, 2014
  • Non-discretionary RAUM · $197,676 to $214,518
    Oct 10, 2013 to Jan 23, 2014
  • RAUM · $172M to $191M
    Oct 10, 2013 to Jan 23, 2014
  • Accounts · 530 to 541
    Mar 13, 2013 to Oct 9, 2013
  • Advisory activities · 3 to 2
    Mar 13, 2013 to Oct 9, 2013
  • Employees · 5 to 7
    Mar 13, 2013 to Oct 9, 2013
  • Discretionary RAUM · $156M to $172M
    Mar 13, 2013 to Oct 9, 2013
  • Non-discretionary RAUM · $0 to $197,676
    Mar 13, 2013 to Oct 9, 2013
  • RAUM · $156M to $172M
    Mar 13, 2013 to Oct 9, 2013
  • Accounts · 545 to 530
    Feb 12, 2013 to Mar 13, 2013
  • Non-discretionary RAUM · $392,225 to $0
    Feb 12, 2013 to Mar 13, 2013
  • RAUM · $156M to $156M
    Feb 12, 2013 to Mar 13, 2013
  • Accounts · 550 to 545
    Feb 5, 2013 to Feb 12, 2013
  • Discretionary RAUM · $151M to $156M
    Feb 5, 2013 to Feb 12, 2013
  • Non-discretionary RAUM · $377,402 to $392,225
    Feb 5, 2013 to Feb 12, 2013
  • RAUM · $152M to $156M
    Feb 5, 2013 to Feb 12, 2013
  • Accounts · 492 to 550
    Jun 13, 2012 to Feb 5, 2013
  • Advisory employees · unset to 4.0
    Jun 13, 2012 to Feb 5, 2013
  • Employees · unset to 5.0
    Jun 13, 2012 to Feb 5, 2013
  • Discretionary RAUM · $127M to $151M
    Jun 13, 2012 to Feb 5, 2013
  • Non-discretionary RAUM · $0 to $377,402
    Jun 13, 2012 to Feb 5, 2013
  • RAUM · $127M to $152M
    Jun 13, 2012 to Feb 5, 2013
  • Accounts · 477 to 492
    Jan 30, 2012 to Jun 12, 2012
  • Discretionary RAUM · $160M to $127M
    Jan 30, 2012 to Jun 12, 2012
  • RAUM · $160M to $127M
    Jan 30, 2012 to Jun 12, 2012
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