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

D•• I••••••••• C•••••• L••

Former SEC-registered adviserOakland, CaliforniaCRD 109546SEC 801-55162IAPD
Latest filing Mar 22, 2022
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$470M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
97%
$457M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$470M as of Mar 22, 2022
Mar 30, 2012$295M then
HNW client RAUM$419M as of Mar 22, 2022
Mar 29, 2018$336M then
State-registered IARs (5.B.3)0 as of Mar 22, 2022
Mar 30, 20120 then
Employees (5.A)4 as of Mar 22, 2022
Apr 1, 20136 then
Private funds: no history
RAUM +7.4% over the last fiscal year+10% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 22, 2022; 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
$4.8MderivedHNW RAUM over HNW clients
Average account
$646,981derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
2.8%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
+7.4%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.6%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$33.6M, 41 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)
  • 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
  • High-net-worth individuals$419M89%
  • Individuals$38.4M8.2%
  • Charitable organizations$10.0M2.1%
  • Pension and profit-sharing plans$3.3M0.7%
Individual clients
68reported
HNW clients
88reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
727reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$33.6M for 41 clientsreported
Compensation
% of AUM, fixedreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R•••••• D••••• H••• · Chief Executive Officercontrol
    since 10/1998 · owns 50% to 75%
  • R••••••••• M•••• L••••• · Chief Compliance Officer, Chief Financial Officer, And Director Of Tradingcontrol
    since 10/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 713 to 727
    Mar 26, 2021 to Mar 22, 2022
  • Advisory employees · 3 to 2
    Mar 26, 2021 to Mar 22, 2022
  • Advisory activities · 3 to 4
    Mar 26, 2021 to Mar 22, 2022
  • HNW clients · 84 to 88
    Mar 26, 2021 to Mar 22, 2022
  • Individual clients · 73 to 68
    Mar 26, 2021 to Mar 22, 2022
  • Assets in custody · $52.5M to $33.6M
    Mar 26, 2021 to Mar 22, 2022
  • Employees · 6 to 4
    Mar 26, 2021 to Mar 22, 2022
  • State-registered IARs · 1 to 0
    Mar 26, 2021 to Mar 22, 2022
  • Discretionary RAUM · $363M to $418M
    Mar 26, 2021 to Mar 22, 2022
  • HNW RAUM · $357M to $419M
    Mar 26, 2021 to Mar 22, 2022
  • Individual RAUM · $63.2M to $38.4M
    Mar 26, 2021 to Mar 22, 2022
  • Non-discretionary RAUM · $74.9M to $52.7M
    Mar 26, 2021 to Mar 22, 2022
  • Pension RAUM · $3.0M to $3.3M
    Mar 26, 2021 to Mar 22, 2022
  • RAUM · $438M to $470M
    Mar 26, 2021 to Mar 22, 2022
  • Accounts · 725 to 713
    Jun 30, 2020 to Mar 26, 2021
  • Charity clients · 3.0 to unset
    Jun 30, 2020 to Mar 26, 2021
  • HNW clients · 90 to 84
    Jun 30, 2020 to Mar 26, 2021
  • Individual clients · 77 to 73
    Jun 30, 2020 to Mar 26, 2021
  • Pension plan clients · 1.0 to unset
    Jun 30, 2020 to Mar 26, 2021
  • Assets in custody · $58.0M to $52.5M
    Jun 30, 2020 to Mar 26, 2021
  • Financial planning clients · 26-50 to 11-25
    Jun 30, 2020 to Mar 26, 2021
  • Discretionary RAUM · $353M to $363M
    Jun 30, 2020 to Mar 26, 2021
  • HNW RAUM · $382M to $357M
    Jun 30, 2020 to Mar 26, 2021
  • Individual RAUM · $21.4M to $63.2M
    Jun 30, 2020 to Mar 26, 2021
  • Non-discretionary RAUM · $63.0M to $74.9M
    Jun 30, 2020 to Mar 26, 2021
  • Pension RAUM · $1.4M to $3.0M
    Jun 30, 2020 to Mar 26, 2021
  • RAUM · $416M to $438M
    Jun 30, 2020 to Mar 26, 2021
  • Accounts · 691 to 725
    Mar 28, 2019 to Mar 30, 2020
  • Charity clients · unset to 3.0
    Mar 28, 2019 to Mar 30, 2020
  • HNW clients · 92 to 90
    Mar 28, 2019 to Mar 30, 2020
  • Individual clients · 68 to 77
    Mar 28, 2019 to Mar 30, 2020
  • Pension plan clients · unset to 1.0
    Mar 28, 2019 to Mar 30, 2020
  • Assets in custody · $726,158 to $58.0M
    Mar 28, 2019 to Mar 30, 2020
  • Financial planning clients · 101-250 to 26-50
    Mar 28, 2019 to Mar 30, 2020
  • Discretionary RAUM · $289M to $353M
    Mar 28, 2019 to Mar 30, 2020
  • HNW RAUM · $312M to $382M
    Mar 28, 2019 to Mar 30, 2020
  • Individual RAUM · $23.9M to $21.4M
    Mar 28, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $60.7M to $63.0M
    Mar 28, 2019 to Mar 30, 2020
  • Pension RAUM · $6.6M to $1.4M
    Mar 28, 2019 to Mar 30, 2020
  • RAUM · $349M to $416M
    Mar 28, 2019 to Mar 30, 2020
Signals
1 dated events
  • Shannon Nicole Stone left Dhr Investment Counsel Ltd for Griffin Black, Llc (registered 2022-03-30)
    Feb 16, 2022 · Advisor changed firm · 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