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 adviserEscondido, CaliforniaCRD 109687SEC 801-108470IAPD
Latest filing Mar 15, 2022
First filing on the tape Feb 7, 2012 · 12 filings
RAUM
$449M
reported, Item 5.F
Discretionary
1.3%
of RAUM
Private clients
0.0%
$215,972 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$449M as of Mar 15, 2022
Feb 7, 2012$18.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 15, 2022
Mar 27, 20132 then
Employees (5.A)5 as of Mar 15, 2022
Mar 27, 20133 then
Private funds: no history
RAUM +33% over the last fiscal year+26% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 15, 2022; every figure names its basis
RAUM per advisor
$224MderivedRAUM 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
$8.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
1.3%derivedof RAUM
Institutional
88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%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 feesreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$395M100%
  • Individuals$215,9720.1%
Individual clients
6reported
HNW clients
n/areported
Pension plan clients
45reported
Charitable clients
n/areported
Accounts
52reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
  • H•••••••• C•••••• D•••• · Presidentcontrol
    since 12/1993 · owns 75% or more
  • S•••••• J•••• A•• · Chief Compliance Officer
    since 09/2016 · owns less than 5%
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 · 48 to 52
    Mar 30, 2021 to Mar 15, 2022
  • Individual clients · unset to 6.0
    Mar 30, 2021 to Mar 15, 2022
  • State-registered IARs · 0 to 2
    Mar 30, 2021 to Mar 15, 2022
  • Discretionary RAUM · $4.5M to $5.7M
    Mar 30, 2021 to Mar 15, 2022
  • Individual RAUM · $22,279 to $215,972
    Mar 30, 2021 to Mar 15, 2022
  • Non-discretionary RAUM · $333M to $443M
    Mar 30, 2021 to Mar 15, 2022
  • Pension RAUM · $315M to $395M
    Mar 30, 2021 to Mar 15, 2022
  • RAUM · $337M to $449M
    Mar 30, 2021 to Mar 15, 2022
  • Accounts · 47 to 48
    Jun 29, 2020 to Mar 30, 2021
  • Advisory employees · 3 to 2
    Jun 29, 2020 to Mar 30, 2021
  • Insurance-licensed employees · 3 to 0
    Jun 29, 2020 to Mar 30, 2021
  • Discretionary RAUM · $3.5M to $4.5M
    Jun 29, 2020 to Mar 30, 2021
  • Individual RAUM · $28,979 to $22,279
    Jun 29, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $293M to $333M
    Jun 29, 2020 to Mar 30, 2021
  • Pension RAUM · $283M to $315M
    Jun 29, 2020 to Mar 30, 2021
  • RAUM · $296M to $337M
    Jun 29, 2020 to Mar 30, 2021
  • Accounts · 42 to 47
    Mar 20, 2019 to Mar 25, 2020
  • Pension plan clients · 40 to 45
    Mar 20, 2019 to Mar 25, 2020
  • Insurance-licensed employees · 0 to 3
    Mar 20, 2019 to Mar 25, 2020
  • Discretionary RAUM · $3.6M to $3.5M
    Mar 20, 2019 to Mar 25, 2020
  • Individual RAUM · $38,092 to $28,979
    Mar 20, 2019 to Mar 25, 2020
  • Non-discretionary RAUM · $220M to $293M
    Mar 20, 2019 to Mar 25, 2020
  • Pension RAUM · $215M to $283M
    Mar 20, 2019 to Mar 25, 2020
  • RAUM · $223M to $296M
    Mar 20, 2019 to Mar 25, 2020
  • Accounts · 38 to 42
    Nov 5, 2018 to Mar 20, 2019
  • Advisory employees · 2 to 3
    Nov 5, 2018 to Mar 20, 2019
  • Pension plan clients · 38 to 40
    Nov 5, 2018 to Mar 20, 2019
  • State-registered IARs · 2 to 0
    Nov 5, 2018 to Mar 20, 2019
  • Discretionary RAUM · $3.3M to $3.6M
    Nov 5, 2018 to Mar 20, 2019
  • Individual RAUM · unset to 38092.0
    Nov 5, 2018 to Mar 20, 2019
  • Non-discretionary RAUM · $207M to $220M
    Nov 5, 2018 to Mar 20, 2019
  • Pension RAUM · $210M to $215M
    Nov 5, 2018 to Mar 20, 2019
  • RAUM · $210M to $223M
    Nov 5, 2018 to Mar 20, 2019
  • Business name · T•• A• C•••••• M••••••••• I••• to T••••• C•••••• M••••••••• I•••
    Mar 29, 2018 to Apr 4, 2018
  • Legal name · T•• A• C•••••• M••••••••• I••• to T••••• C•••••• M••••••••• I•••
    Mar 29, 2018 to Apr 4, 2018
  • Accounts · 31 to 38
    Mar 21, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 38.0
    Mar 21, 2017 to Mar 29, 2018
  • Employees · 4 to 5
    Mar 21, 2017 to Mar 29, 2018
  • Financial planning clients · 1-10 to 0
    Mar 21, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 21, 2017 to Mar 29, 2018
Signals
2 dated events
  • T••••• C•••••• M••••••••• I••• reported RAUM $448.9M, up 33% from $337.3M (2021-03-30 to 2022-03-15)
    Mar 15, 2022 · RAUM change · derived
  • T•• A• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
    Sep 23, 2016 · ria f•••• adv filing · 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