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

Afam Capital, Inc.

Former SEC-registered adviserAustin, TexasCRD 108517SEC 801-30528IAPD
Latest filing May 30, 2018
First filing on the tape Dec 21, 2011 · 35 filings
RAUM
$951M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
57%
$544M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$951M as of Apr 2, 2018
Mar 27, 2012$566M then
HNW client RAUM: $411M
State-registered IARs (5.B.3)6 as of Apr 2, 2018
Mar 27, 201310 then
Employees (5.A)16 as of Apr 2, 2018
Mar 27, 201325 then
Private funds: no history
RAUM +34% over the last fiscal year+4.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 30, 2018; every figure names its basis
RAUM per advisor
$158MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
135derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+34%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, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publicationsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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 securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$411M43%
  • Investment companies$288M30%
  • Individuals$133M14%
  • Corporations and businesses$87.7M9.3%
  • Pension and profit-sharing plans$27.0M2.9%
Individual clients
466reported
HNW clients
345reported
Pension plan clients
29reported
Charitable clients
n/areported
Accounts
935reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $108M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • John Buckingham · Chief Investment Officercontrol
      since 12/2001 · owns less than 5%
    • Rasmussen Eric Hare · Presidentcontrol
      since 01/2016 · owns less than 5%
    • Cynthia Mariel Mendoza · Vp, Operations And Chief Compliance Officercontrol
      since 04/2018 · owns less than 5%
    Entity owners
    • Af Holdings, Inc. · Holding Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Aliso Viejo, CA3 employees
    What changed
    consecutive filings, newest first
    • BD registered reps · 1 to 0
      Apr 17, 2018 to May 30, 2018
    • Employees · 16 to 11
      Apr 17, 2018 to May 30, 2018
    • Accounts · 930 to 935
      Sep 14, 2017 to Apr 2, 2018
    • Advisory employees · 8 to 6
      Sep 14, 2017 to Apr 2, 2018
    • BD registered reps · 2 to 1
      Sep 14, 2017 to Apr 2, 2018
    • Corporate clients · unset to 67.0
      Sep 14, 2017 to Apr 2, 2018
    • HNW clients · unset to 345.0
      Sep 14, 2017 to Apr 2, 2018
    • Individual clients · unset to 466.0
      Sep 14, 2017 to Apr 2, 2018
    • Pension plan clients · unset to 29.0
      Sep 14, 2017 to Apr 2, 2018
    • Assets in custody · unset to 30765888.0
      Sep 14, 2017 to Apr 2, 2018
    • Employees · 20 to 16
      Sep 14, 2017 to Apr 2, 2018
    • Other offices · unset to 1.0
      Sep 14, 2017 to Apr 2, 2018
    • Discretionary RAUM · $712M to $951M
      Sep 14, 2017 to Apr 2, 2018
    • HNW RAUM · unset to 410978359.0
      Sep 14, 2017 to Apr 2, 2018
    • Individual RAUM · unset to 132913794.0
      Sep 14, 2017 to Apr 2, 2018
    • Pension RAUM · unset to 27016064.0
      Sep 14, 2017 to Apr 2, 2018
    • RAUM · $712M to $951M
      Sep 14, 2017 to Apr 2, 2018
    • Wrap assets (manager) · unset to 108238918.0
      Sep 14, 2017 to Apr 2, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 14, 2017 to Apr 2, 2018
    • Accounts · 1,032 to 930
      Jan 11, 2017 to Mar 31, 2017
    • Discretionary RAUM · $706M to $712M
      Jan 11, 2017 to Mar 31, 2017
    • RAUM · $706M to $712M
      Jan 11, 2017 to Mar 31, 2017
    • Advisory employees · 7 to 8
      Mar 29, 2016 to Jul 12, 2016
    • BD registered reps · 6 to 2
      Mar 29, 2016 to Jul 12, 2016
    • Employees · 23 to 20
      Mar 29, 2016 to Jul 12, 2016
    • State-registered IARs · 9 to 6
      Mar 29, 2016 to Jul 12, 2016
    • Accounts · 1,178 to 1,032
      Feb 12, 2016 to Mar 29, 2016
    • Advisory employees · 15 to 7
      Feb 12, 2016 to Mar 29, 2016
    • BD registered reps · 7 to 6
      Feb 12, 2016 to Mar 29, 2016
    • Employees · 22 to 23
      Feb 12, 2016 to Mar 29, 2016
    • Discretionary RAUM · $830M to $706M
      Feb 12, 2016 to Mar 29, 2016
    • RAUM · $830M to $706M
      Feb 12, 2016 to Mar 29, 2016
    • BD registered reps · 12 to 7
      Oct 22, 2015 to Jan 13, 2016
    • Employees · 30 to 22
      Oct 22, 2015 to Jan 13, 2016
    • State-registered IARs · 12 to 9
      Oct 22, 2015 to Jan 13, 2016
    • Accounts · 1,116 to 1,178
      Jan 21, 2015 to Mar 25, 2015
    • Employees · 25 to 30
      Jan 21, 2015 to Mar 25, 2015
    • Discretionary RAUM · $788M to $830M
      Jan 21, 2015 to Mar 25, 2015
    • RAUM · $788M to $830M
      Jan 21, 2015 to Mar 25, 2015
    • Accounts · 1,153 to 1,116
      Feb 5, 2014 to Mar 19, 2014
    Signals
    1 dated events
    • Afam Capital, Inc. reported RAUM $950.9M, up 34% from $712.2M (2017-09-14 to 2018-04-02)
      Apr 2, 2018 · 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