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.
Former SEC-registered adviser
Stevens First Principles Investment Advisors
Latest filing Mar 4, 2020
First filing on the tape Mar 20, 2012 · 16 filings
RAUM
$23,524
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$23,524 gross assets
History
16 filings and snapshots on the tape
RAUM$23,524 as of Mar 4, 2020
Mar 20, 2012$315M then
HNW client RAUM$151M as of Mar 19, 2019
Mar 23, 2018$157M then
State-registered IARs (5.B.3)0 as of Mar 4, 2020
Mar 20, 20120 then
Employees (5.A)1 as of Mar 4, 2020
Mar 15, 20135 then
Private funds1 as of Mar 4, 2020
Mar 20, 20121 then
RAUM -100% over the last fiscal year-95% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 4, 2020; 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
- $23,524derivedRAUM 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
- -100%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, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $23,524, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$23,524100%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23,524 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
- Steven Lee Yamshon to Benefit Financial Services GroupJun 30, 2020 · Other
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sfp Forestry & Land Fund LPno longer reported | Real Estate Fund | $1.4M | 4 | Mar 17, 2015 |
| Yellin-Yamshon-Rubinstein L.P. | Hedge Fund | $23,524 | 21 | Mar 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Steven Yamshon · Chief Compliance Officercontrolsince 09/2004 · owns 75% or more
- A. Hugh Yamshon · Secretarysince 04/1991 · owns less than 5%
Related persons
Schedule D 7.A
- Steven M. Novikoffinsurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 507 to 1Jan 31, 2020 to Mar 4, 2020
- Charity clients · 2 to 0Jan 31, 2020 to Mar 4, 2020
- Corporate clients · 1 to 0Jan 31, 2020 to Mar 4, 2020
- HNW clients · 32.0 to unsetJan 31, 2020 to Mar 4, 2020
- Individual clients · 142 to 0Jan 31, 2020 to Mar 4, 2020
- Pension plan clients · 14 to 0Jan 31, 2020 to Mar 4, 2020
- Assets in custody · $59.1M to $23,524Jan 31, 2020 to Mar 4, 2020
- Employees · 4 to 1Jan 31, 2020 to Mar 4, 2020
- Other offices · 1 to 0Jan 31, 2020 to Mar 4, 2020
- Discretionary RAUM · $281M to $23,524Jan 31, 2020 to Mar 4, 2020
- HNW RAUM · 150718301.0 to unsetJan 31, 2020 to Mar 4, 2020
- Individual RAUM · 96488077.0 to unsetJan 31, 2020 to Mar 4, 2020
- Pension RAUM · $13.1M to $0Jan 31, 2020 to Mar 4, 2020
- Pooled vehicle RAUM · $15.5M to $23,524Jan 31, 2020 to Mar 4, 2020
- RAUM · $281M to $23,524Jan 31, 2020 to Mar 4, 2020
- HQ city · NEWPORT BEACH to IRVINEApr 18, 2019 to Jan 31, 2020
- Accounts · 503 to 507Mar 23, 2018 to Mar 19, 2019
- Advisory employees · 3 to 1Mar 23, 2018 to Mar 19, 2019
- Individual clients · 131 to 142Mar 23, 2018 to Mar 19, 2019
- Pension plan clients · 24 to 14Mar 23, 2018 to Mar 19, 2019
- Assets in custody · $17.2M to $59.1MMar 23, 2018 to Mar 19, 2019
- Discretionary RAUM · $292M to $281MMar 23, 2018 to Mar 19, 2019
- HNW RAUM · $157M to $151MMar 23, 2018 to Mar 19, 2019
- Individual RAUM · $94.9M to $96.5MMar 23, 2018 to Mar 19, 2019
- Pension RAUM · $17.9M to $13.1MMar 23, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $17.2M to $15.5MMar 23, 2018 to Mar 19, 2019
- RAUM · $292M to $281MMar 23, 2018 to Mar 19, 2019
- Accounts · 482 to 503Mar 14, 2017 to Mar 23, 2018
- Charity clients · unset to 2.0Mar 14, 2017 to Mar 23, 2018
- Corporate clients · unset to 1.0Mar 14, 2017 to Mar 23, 2018
- HNW clients · unset to 32.0Mar 14, 2017 to Mar 23, 2018
- Individual clients · unset to 131.0Mar 14, 2017 to Mar 23, 2018
- Pension plan clients · unset to 24.0Mar 14, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 1.0Mar 14, 2017 to Mar 23, 2018
- Assets in custody · $14.5M to $17.2MMar 14, 2017 to Mar 23, 2018
- Other offices · unset to 1.0Mar 14, 2017 to Mar 23, 2018
- Discretionary RAUM · $256M to $292MMar 14, 2017 to Mar 23, 2018
- HNW RAUM · unset to 157317679.0Mar 14, 2017 to Mar 23, 2018
- Individual RAUM · unset to 94912635.0Mar 14, 2017 to Mar 23, 2018
- Pension RAUM · unset to 17908771.0Mar 14, 2017 to Mar 23, 2018
Signals
1 dated events
- Stevens First Principles Investment Advisors reported RAUM $23,524, down 100% from $281.0M (2020-01-31 to 2020-03-04)Mar 4, 2020 · RAUM change · derived
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
Across the graphs
Stevens First Principles Investment Advisors is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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