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.

Former SEC-registered adviser

Millie Capital Management LLC

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 110319SEC 801-57740IAPD
Latest filing Jan 24, 2018
First filing on the tape Apr 3, 2012 · 12 filings
RAUM
$254M
reported, Item 5.F
Discretionary
98%
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
4
3 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$254M as of Jun 20, 2017
Apr 3, 2012$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jun 20, 2017
Apr 3, 20120 then
Employees (5.A)4 as of Jun 20, 2017
Jun 18, 20133 then
Private funds: no history
RAUM +5.8% over the last fiscal year+1.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 24, 2018; every figure names its basis
RAUM per advisor
$84.6MderivedRAUM 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
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
77reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ross John Millie · Managing Director, Ceo, & Chief Compliance Officercontrol
    since 10/2004 · owns 75% or more
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
  • Other offices · unset to 0.0
    Sep 26, 2017 to Oct 12, 2017
  • HQ city · SAN RAMON to WALNUT CREEK
    Jun 20, 2017 to Sep 26, 2017
  • Accounts · 75 to 77
    Jul 1, 2016 to Jun 20, 2017
  • Financial planning clients · 11-25 to 1-10
    Jul 1, 2016 to Jun 20, 2017
  • Discretionary RAUM · $240M to $250M
    Jul 1, 2016 to Jun 20, 2017
  • Non-discretionary RAUM · $0 to $3.8M
    Jul 1, 2016 to Jun 20, 2017
  • RAUM · $240M to $254M
    Jul 1, 2016 to Jun 20, 2017
  • Accounts · 70 to 75
    Jun 18, 2015 to Jun 30, 2016
  • Advisory employees · 1 to 3
    Jun 18, 2015 to Jun 30, 2016
  • Employees · 3 to 4
    Jun 18, 2015 to Jun 30, 2016
  • Financial planning clients · 1-10 to 11-25
    Jun 18, 2015 to Jun 30, 2016
  • State-registered IARs · 2 to 3
    Jun 18, 2015 to Jun 30, 2016
  • Discretionary RAUM · $250M to $240M
    Jun 18, 2015 to Jun 30, 2016
  • RAUM · $250M to $240M
    Jun 18, 2015 to Jun 30, 2016
  • Accounts · 73 to 70
    Jun 24, 2014 to Jun 18, 2015
  • Discretionary RAUM · $243M to $250M
    Jun 24, 2014 to Jun 18, 2015
  • RAUM · $243M to $250M
    Jun 24, 2014 to Jun 18, 2015
  • Accounts · 76 to 73
    Oct 14, 2013 to Jun 24, 2014
  • Discretionary RAUM · $230M to $243M
    Oct 14, 2013 to Jun 24, 2014
  • RAUM · $230M to $243M
    Oct 14, 2013 to Jun 24, 2014
  • Accounts · 64 to 76
    Apr 3, 2012 to Jun 18, 2013
  • Advisory employees · unset to 1.0
    Apr 3, 2012 to Jun 18, 2013
  • Employees · unset to 3.0
    Apr 3, 2012 to Jun 18, 2013
  • State-registered IARs · 0 to 2
    Apr 3, 2012 to Jun 18, 2013
  • Discretionary RAUM · $207M to $230M
    Apr 3, 2012 to Jun 18, 2013
  • RAUM · $207M to $230M
    Apr 3, 2012 to Jun 18, 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