DFX Intelligence
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Former SEC-registered adviser
D••••••• A••••••••• I••
Latest filing Jul 12, 2017
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$24.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$12.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$25.4M as of Mar 31, 2017
Mar 30, 2012$217M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)1 as of Mar 31, 2017
Mar 28, 20136 then
Private funds8 as of Mar 31, 2015
Mar 30, 20128 then
RAUM -90% over the last fiscal year-53% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jul 12, 2017; every figure names its basis
- RAUM per advisor
- $12.1MderivedRAUM 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
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -89%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- 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
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• C••••••• M•••• | Santa Barbara, Ca | Sep 13, 2017 | 54 y | 1 |
| N••••••• B••••• B••• | Santa Barbara, Ca | Aug 2, 2023 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••••• G••••• F•••• L••no longer reported | Other Private Fund | $6.1M | 11 | Mar 30, 2012 |
| D••••••• B••••••• F•••no longer reported | Other Private Fund | $4.0M | 11 | Mar 30, 2012 |
| D••••••• A••••••••• L••no longer reported | Other Private Fund | $2.8M | 11 | Mar 30, 2012 |
| D••••••• I••••••••• F•••• L••no longer reported | Other Private Fund | $2.2M | 11 | Mar 30, 2012 |
| D••••••• M•••• M••••• F•••• L••no longer reported | Other Private Fund | $749,318 | 11 | Mar 30, 2012 |
| D•••••• P••••••• L•no longer reported | Hedge Fund | $556,979 | 25,000 | Mar 30, 2012 |
| D••••••• G••••• E•• F•••• L••no longer reported | Other Private Fund | $354,139 | 11 | Mar 30, 2012 |
| D••••••• A••••••••• E•• F•••• L••no longer reported | Other Private Fund | $263,469 | 11 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• A••••• C••••••• · President And Ccocontrolsince 11/1974 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- State-registered IARs · 0 to 1Jul 5, 2017 to Jul 10, 2017
- Advisory employees · 0 to 1Jun 8, 2017 to Jun 26, 2017
- Employees · 0 to 1Jun 8, 2017 to Jun 26, 2017
- Accounts · 8 to 6Apr 28, 2017 to Jun 8, 2017
- Advisory employees · 1 to 0Apr 28, 2017 to Jun 8, 2017
- Employees · 1 to 0Apr 28, 2017 to Jun 8, 2017
- Discretionary RAUM · $22.6M to $24.2MApr 28, 2017 to Jun 8, 2017
- Non-discretionary RAUM · $2.7M to $0Apr 28, 2017 to Jun 8, 2017
- RAUM · $25.4M to $24.2MApr 28, 2017 to Jun 8, 2017
- Accounts · 198 to 8Mar 30, 2016 to Mar 31, 2017
- Advisory employees · 2 to 1Mar 30, 2016 to Mar 31, 2017
- Employees · 2 to 1Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $236M to $22.6MMar 30, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $310,263 to $2.7MMar 30, 2016 to Mar 31, 2017
- RAUM · $236M to $25.4MMar 30, 2016 to Mar 31, 2017
- Accounts · 210 to 198Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 4 to 2Mar 31, 2015 to Mar 30, 2016
- Advisory activities · 2 to 1Mar 31, 2015 to Mar 30, 2016
- Employees · 6 to 2Mar 31, 2015 to Mar 30, 2016
- Financial planning clients · unset to 0Mar 31, 2015 to Mar 30, 2016
- Private funds · 8 to unsetMar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $189M to $236MMar 31, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $0 to $310,263Mar 31, 2015 to Mar 30, 2016
- RAUM · $189M to $236MMar 31, 2015 to Mar 30, 2016
- Accounts · 244 to 210Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $229M to $189MMar 31, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $4.6M to $0Mar 31, 2014 to Mar 31, 2015
- RAUM · $233M to $189MMar 31, 2014 to Mar 31, 2015
- Accounts · 218 to 244Mar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $206M to $229MMar 28, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $4.3M to $4.6MMar 28, 2013 to Mar 31, 2014
- RAUM · $210M to $233MMar 28, 2013 to Mar 31, 2014
- Accounts · 234 to 218Mar 30, 2012 to Mar 28, 2013
- Advisory employees · unset to 4.0Mar 30, 2012 to Mar 28, 2013
- Advisory activities · 1 to 2Mar 30, 2012 to Mar 28, 2013
- Assets in custody · 13560472.0 to unsetMar 30, 2012 to Mar 28, 2013
- Custody of client assets · true to falseMar 30, 2012 to Mar 28, 2013
- Employees · unset to 6.0Mar 30, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Mar 30, 2012 to Mar 28, 2013
- Discretionary RAUM · $213M to $206MMar 30, 2012 to Mar 28, 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.
How to reach
public business contact points only, each with its source
- Website
- D•••••••.COMreportedpublic record, Form ADV, Apr 30, 2026
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
- $12.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026