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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SEC-registered adviser
G• F••••••••
Legal name G• F••••••••• I•••
Latest filing Apr 1, 2026
First filing on the tape Feb 29, 2012 · 28 filings
SEC status approved since Jan 28, 1983
RAUM
$134M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
96%
$128M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$134M as of Apr 1, 2026
Jun 7, 2012$128M then
HNW client RAUM$115M as of Apr 1, 2026
Mar 9, 2018$86.0M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Jun 7, 20120 then
Employees (5.A)3 as of Apr 1, 2026
May 3, 20133 then
Private funds: no history
RAUM +21% over the last fiscal year+13% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $503,145derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M88%
- Individuals$12.9M9.9%
- Charitable organizations$2.1M1.6%
- Corporations and businesses$257,5700.2%
- Individual clients
- 41reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 266reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• K•••• A•••••••Certified Financial Planner | Newport Beach, Ca | Oct 31, 2013 | 26 y | 1 |
| J••••••• A••••••• B•••Certified Financial Planner | Reno, Nv | Jun 26, 2014 | 17 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- A••••• L••• R••••• to G•••• R•••• F••••••••Nov 12, 2024 · RIA to RIA
Joined, latest
- A••••• L••• R••••• from G•••• S••••• F••••••••• L••Apr 5, 2022 · RIA to RIA
- J••••••• A••••••• B••• from B•••• B••••••• H••••••• M••••• F••• A••••••• D•••••••••Jun 26, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• S••••• K•••• · Vice Presidentcontrolsince 07/2014 · owns 50% to 75%
- B•••• J•••••••• A••••••• · President And Chief Compliance Officercontrolsince 06/2014 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Reno, Nv · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palm Desert, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 252 to 266Jul 2, 2025 to Apr 1, 2026
- Advisory employees · 3 to 2Jul 2, 2025 to Apr 1, 2026
- HNW clients · 53 to 52Jul 2, 2025 to Apr 1, 2026
- Individual clients · 40 to 41Jul 2, 2025 to Apr 1, 2026
- Employees · 4 to 3Jul 2, 2025 to Apr 1, 2026
- Insurance-licensed employees · 1 to 0Jul 2, 2025 to Apr 1, 2026
- State-registered IARs · 3 to 1Jul 2, 2025 to Apr 1, 2026
- Discretionary RAUM · $94.8M to $117MJul 2, 2025 to Apr 1, 2026
- HNW RAUM · $96.9M to $115MJul 2, 2025 to Apr 1, 2026
- Individual RAUM · $11.5M to $12.9MJul 2, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $15.5M to $16.4MJul 2, 2025 to Apr 1, 2026
- RAUM · $110M to $134MJul 2, 2025 to Apr 1, 2026
- Financial planning clients · 26-50 to 26-50Mar 28, 2025 to Jul 2, 2025
- Accounts · 262 to 252Apr 10, 2024 to Mar 28, 2025
- Charity clients · 2.0 to unsetApr 10, 2024 to Mar 28, 2025
- Corporate clients · 1.0 to unsetApr 10, 2024 to Mar 28, 2025
- HNW clients · 47 to 53Apr 10, 2024 to Mar 28, 2025
- Individual clients · 46 to 40Apr 10, 2024 to Mar 28, 2025
- Employees · 6 to 4Apr 10, 2024 to Mar 28, 2025
- Other offices · 1 to 0Apr 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $83.3M to $94.8MApr 10, 2024 to Mar 28, 2025
- HNW RAUM · $77.7M to $96.9MApr 10, 2024 to Mar 28, 2025
- Individual RAUM · $12.0M to $11.5MApr 10, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $10.2M to $15.5MApr 10, 2024 to Mar 28, 2025
- RAUM · $93.5M to $110MApr 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $77.8M to $83.3MFeb 7, 2023 to Apr 10, 2024
- Non-discretionary RAUM · $15.7M to $10.2MFeb 7, 2023 to Apr 10, 2024
- Accounts · 256 to 262Mar 31, 2022 to Feb 7, 2023
- Charity clients · 7 to 2Mar 31, 2022 to Feb 7, 2023
- Corporate clients · 2 to 1Mar 31, 2022 to Feb 7, 2023
- HNW clients · 49 to 47Mar 31, 2022 to Feb 7, 2023
- Individual clients · 49 to 46Mar 31, 2022 to Feb 7, 2023
- Employees · 3 to 6Mar 31, 2022 to Feb 7, 2023
- Other offices · 2 to 1Mar 31, 2022 to Feb 7, 2023
- Discretionary RAUM · $96.3M to $77.8MMar 31, 2022 to Feb 7, 2023
- HNW RAUM · $96.7M to $77.7MMar 31, 2022 to Feb 7, 2023
- Individual RAUM · $14.6M to $12.0MMar 31, 2022 to Feb 7, 2023
- Non-discretionary RAUM · $23.2M to $15.7MMar 31, 2022 to Feb 7, 2023
- RAUM · $119M to $93.5MMar 31, 2022 to Feb 7, 2023
- Succession · true to falseMar 31, 2022 to Feb 7, 2023
Signals
2 dated events
- A••••• L••• R••••• left G• F•••••••• for G•••• R•••• F•••••••• (registered 2023-07-10)Nov 12, 2024 · Advisor changed firm · fact
- G• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 31, 2022 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 714-850-0534reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- planhighereducation.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-850-0534reportedpublic record, Form ADV, Apr 1, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026