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

T••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserLaguna Hills, CaliforniaCRD 108882SEC 801-7739IAPD
Latest filing Dec 19, 2013
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$563M
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
14
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$563M as of Apr 1, 2013
Mar 30, 2012$542M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 14
Private funds: no history
RAUM +4.0% over the last fiscal yearIARs 0 to 7
Practice profile
derived from the filing of Dec 19, 2013; every figure names its basis
RAUM per advisor
$80.5MderivedRAUM 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
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+4.0%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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
298reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• T••••• A•• · President, Chief Operating Officer And Chief Compliance Officercontrol
        since 01/2009 · owns less than 5%
      • M•••••• W•••••• G••••• · Chairmancontrol
        since 06/1971 · owns less than 5%
      • S••••••• N•••••• · Trustee, S•••••••• T••••
        since 12/1998 · owns 10% to 25%
      Entity owners
      • M••••••• R•••• R•••••••• T•••• · Trust
        direct · owns 75% or more
      • S•••••••• T•••• · Trust
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 290 to 298
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Mar 30, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 7
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $542M to $563M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $542M to $563M
        Mar 30, 2012 to Apr 1, 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.
      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