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••••••• S•••• A•• A••••• I•••

Former SEC-registered adviserRedlands, CaliforniaCRD 10865SEC 801-112748IAPD
Latest filing Jun 12, 2023
First filing on the tape Mar 2, 2018 · 11 filings
RAUM
$116M
reported, Item 5.F
Discretionary
0.8%
of RAUM
Private clients
91%
$105M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$116M as of Feb 28, 2023
Mar 22, 2019$100M then
HNW client RAUM$30.3M as of Feb 28, 2023
Mar 22, 2019$38.7M then
State-registered IARs (5.B.3)0 as of Feb 28, 2023
Mar 22, 20190 then
Employees (5.A)4 as of Feb 28, 2023
Mar 22, 20194 then
Private funds: no history
RAUM -14% over the last fiscal year+0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 12, 2023; 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
$1.2MderivedHNW RAUM over HNW clients
Average account
$264,677derivedRAUM over accounts (5.F.2.f)
Discretionary
0.8%derivedof RAUM
Institutional
7.9%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
-14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$116M, 437 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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 cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$75.0M65%
  • High-net-worth individuals$30.3M26%
  • Pension and profit-sharing plans$8.0M6.9%
  • Corporations and businesses$1.3M1.1%
  • Charitable organizations$1.1M0.9%
Individual clients
389reported
HNW clients
26reported
Pension plan clients
15reported
Charitable clients
3reported
Accounts
437reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$116M for 437 clientsreported
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
Joined, latest
none on the tape
    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
      • P••••••• C•••••• E••••• I• · President, Chief Financial Officer, Principalcontrol
        since 11/2006 · owns 50% to 75%
      • S••••• D•••• E••••• · Vice President, Chief Compliance Officer, Principalcontrol
        since 11/2006 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Redlands, Ca · principal000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 420 to 437
        Jun 14, 2022 to Feb 28, 2023
      • Corporate clients · 3 to 4
        Jun 14, 2022 to Feb 28, 2023
      • HNW clients · 44 to 26
        Jun 14, 2022 to Feb 28, 2023
      • Individual clients · 353 to 389
        Jun 14, 2022 to Feb 28, 2023
      • Pension plan clients · 17 to 15
        Jun 14, 2022 to Feb 28, 2023
      • Assets in custody · unset to 115663682.0
        Jun 14, 2022 to Feb 28, 2023
      • Custody of client assets · false to true
        Jun 14, 2022 to Feb 28, 2023
      • Discretionary RAUM · $2.8M to $885,922
        Jun 14, 2022 to Feb 28, 2023
      • HNW RAUM · $32.2M to $30.3M
        Jun 14, 2022 to Feb 28, 2023
      • Individual RAUM · $90.5M to $75.0M
        Jun 14, 2022 to Feb 28, 2023
      • Non-discretionary RAUM · $132M to $115M
        Jun 14, 2022 to Feb 28, 2023
      • Pension RAUM · $9.8M to $8.0M
        Jun 14, 2022 to Feb 28, 2023
      • RAUM · $135M to $116M
        Jun 14, 2022 to Feb 28, 2023
      • Accounts · 436 to 420
        Oct 22, 2021 to Mar 28, 2022
      • Advisory activities · 2 to 3
        Oct 22, 2021 to Mar 28, 2022
      • Charity clients · 2 to 3
        Oct 22, 2021 to Mar 28, 2022
      • Corporate clients · 2 to 3
        Oct 22, 2021 to Mar 28, 2022
      • HNW clients · 46 to 44
        Oct 22, 2021 to Mar 28, 2022
      • Individual clients · 364 to 353
        Oct 22, 2021 to Mar 28, 2022
      • Pension plan clients · 22 to 17
        Oct 22, 2021 to Mar 28, 2022
      • Discretionary RAUM · $0 to $2.8M
        Oct 22, 2021 to Mar 28, 2022
      • HNW RAUM · $25.7M to $32.2M
        Oct 22, 2021 to Mar 28, 2022
      • Individual RAUM · $77.9M to $90.5M
        Oct 22, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $114M to $132M
        Oct 22, 2021 to Mar 28, 2022
      • Pension RAUM · $9.3M to $9.8M
        Oct 22, 2021 to Mar 28, 2022
      • RAUM · $114M to $135M
        Oct 22, 2021 to Mar 28, 2022
      • Advisory activities · 1 to 2
        Mar 18, 2021 to Oct 22, 2021
      • Accounts · 398 to 436
        May 1, 2020 to Mar 18, 2021
      • Corporate clients · 1 to 2
        May 1, 2020 to Mar 18, 2021
      • HNW clients · 56 to 46
        May 1, 2020 to Mar 18, 2021
      • Individual clients · 176 to 364
        May 1, 2020 to Mar 18, 2021
      • Pension plan clients · 6 to 22
        May 1, 2020 to Mar 18, 2021
      • HNW RAUM · $55.2M to $25.7M
        May 1, 2020 to Mar 18, 2021
      • Individual RAUM · $51.1M to $77.9M
        May 1, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $115M to $114M
        May 1, 2020 to Mar 18, 2021
      • Pension RAUM · $7.1M to $9.3M
        May 1, 2020 to Mar 18, 2021
      • RAUM · $115M to $114M
        May 1, 2020 to Mar 18, 2021
      • Accounts · 418 to 398
        Mar 22, 2019 to Mar 9, 2020
      • Charity clients · 3 to 2
        Mar 22, 2019 to Mar 9, 2020
      • HNW clients · 35 to 56
        Mar 22, 2019 to Mar 9, 2020
      Signals
      8 dated events
      • D•••• E••••• S•••• no longer registered at P••••••• S•••• A•• A••••• I•••; no later IA registration on IAPD
        Jun 21, 2024 · Advisor departure · fact
      • C•••••• E••••• P•••••• no longer registered at P••••••• S•••• A•• A••••• I•••; no later IA registration on IAPD
        Jun 21, 2024 · Advisor departure · fact
      • D•••• E••••• S•••• left P••••••• S•••• A•• A••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2024-01-22)
        Jan 19, 2024 · Advisor changed firm · fact
      • J•••••• P••• A••••• left P••••••• S•••• A•• A••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2024-01-22)
        Jan 19, 2024 · Advisor changed firm · fact
      • C•••••• E••••• P•••••• left P••••••• S•••• A•• A••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2024-01-22)
        Jan 19, 2024 · Advisor changed firm · fact
      • K••••• N••••• R••••• left P••••••• S•••• A•• A••••• I••• for P••••••• F•••••••• S•••••••• I••• (registered 2024-01-18)
        Jan 17, 2024 · Advisor changed firm · fact
      • P••••••• S•••• A•• A••••• I•••'s advisors moved to P••••••• F•••••••• S•••••••• I••• (Redlands, CA): 4 of 4 registered, within 2 days
        Jan 17, 2024 · Firm absorbed (people side) · derived
      • P••••••• S•••• A•• A••••• I••• filed its initial SEC registration (Form ADV)
        Mar 2, 2018 · First SEC registration · fact
      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