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
N•• F•••••••• S•••••••• I•••
Legal name N•• F•••••••• • I•••••••• S••••••• I••
Latest filing Mar 30, 2025
First filing on the tape Mar 27, 2012 · 15 filings
SEC status approved since Apr 25, 1984
RAUM
$273M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$257M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$273M as of Mar 30, 2025
Mar 27, 2012$192M then
HNW client RAUM$223M as of Mar 30, 2025
Mar 30, 2018$189M then
State-registered IARs (5.B.3)2 as of Mar 30, 2025
Mar 26, 20131 then
Employees (5.A)5 as of Mar 30, 2025
Mar 26, 20136 then
Private funds: no history
RAUM +10% over the last fiscal year+0.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2025; every figure names its basis
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $699,076derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.1%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 advisersreportedItem 5.G
- Custody
- $106M, 70 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$223M82%
- Individuals$33.7M12%
- Pension and profit-sharing plans$14.3M5.2%
- Charitable organizations$1.2M0.4%
- Corporations and businesses$1.0M0.4%
- Individual clients
- 82reported
- HNW clients
- 49reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 391reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $106M for 70 clientsreported
- 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
- J••••• J••• C•••••• to E• W••••• A•••••••May 13, 2025 · RIA to RIA
- J••••• K•••••• B••••• to E• W••••• A•••••••May 13, 2025 · RIA to RIA
- K•••••• C•••••• B••••• to B••••• F•••••••• S•••••••• L•••May 13, 2025 · RIA to a state-registered adviser
Joined, latest
- J••••• K•••••• B••••• from F•••••••• W••• G••••Dec 16, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E• W••••• A•••••••May 13, 2025 · W•••Lake Village, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••••• J••• · Presidentcontrolsince 01/1995 · owns 75% or more
- C••••••• S••••• Y••••• · Chief Compliance Officer/ Vpcontrolsince 10/2004 · owns less than 5%
Related persons
Schedule D 7.A
- K•••••• C•••••• B•••••investment adviserinsuranceinvestment companyn
- R••••• V••••• J•••••••investment adviserinsuranceinvestment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| W•••Lake Village, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 402 to 391Mar 22, 2024 to Mar 30, 2025
- Corporate clients · 1 to 2Mar 22, 2024 to Mar 30, 2025
- HNW clients · 50 to 49Mar 22, 2024 to Mar 30, 2025
- Individual clients · 91 to 82Mar 22, 2024 to Mar 30, 2025
- Assets in custody · $97.1M to $106MMar 22, 2024 to Mar 30, 2025
- Discretionary RAUM · $245M to $273MMar 22, 2024 to Mar 30, 2025
- HNW RAUM · $215M to $223MMar 22, 2024 to Mar 30, 2025
- Individual RAUM · $13.3M to $33.7MMar 22, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $2.9M to $30,015Mar 22, 2024 to Mar 30, 2025
- Pension RAUM · $16.4M to $14.3MMar 22, 2024 to Mar 30, 2025
- RAUM · $248M to $273MMar 22, 2024 to Mar 30, 2025
- Accounts · 411 to 402Mar 29, 2023 to Mar 22, 2024
- HNW clients · 53 to 50Mar 29, 2023 to Mar 22, 2024
- Individual clients · 95 to 91Mar 29, 2023 to Mar 22, 2024
- Pension plan clients · 8 to 6Mar 29, 2023 to Mar 22, 2024
- Assets in custody · $83.4M to $97.1MMar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $223M to $245MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $196M to $215MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $15.3M to $13.3MMar 29, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $2.8M to $2.9MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · $10.9M to $16.4MMar 29, 2023 to Mar 22, 2024
- RAUM · $225M to $248MMar 29, 2023 to Mar 22, 2024
- Accounts · 424 to 411Mar 29, 2022 to Mar 29, 2023
- HNW clients · 54 to 53Mar 29, 2022 to Mar 29, 2023
- Individual clients · 109 to 95Mar 29, 2022 to Mar 29, 2023
- Pension plan clients · 6 to 8Mar 29, 2022 to Mar 29, 2023
- Assets in custody · $97.6M to $83.4MMar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $265M to $223MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $237M to $196MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $16.7M to $15.3MMar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $2.9M to $2.8MMar 29, 2022 to Mar 29, 2023
- Pension RAUM · $11.2M to $10.9MMar 29, 2022 to Mar 29, 2023
- RAUM · $268M to $225MMar 29, 2022 to Mar 29, 2023
- Accounts · 449 to 424Mar 30, 2021 to Mar 29, 2022
- HNW clients · 55 to 54Mar 30, 2021 to Mar 29, 2022
- Individual clients · 118 to 109Mar 30, 2021 to Mar 29, 2022
- Assets in custody · $90.9M to $97.6MMar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $274M to $265MMar 30, 2021 to Mar 29, 2022
- HNW RAUM · $225M to $237MMar 30, 2021 to Mar 29, 2022
- Individual RAUM · $34.0M to $16.7MMar 30, 2021 to Mar 29, 2022
Signals
5 dated events
- N•• F•••••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $273.3M)Jun 2, 2025 · Left the SEC roster · derived
- J••••• K•••••• B••••• left N•• F•••••••• S•••••••• I••• for E• W••••• A••••••• (registered 2025-05-15)May 13, 2025 · Advisor changed firm · fact
- K•••••• C•••••• B••••• left N•• F•••••••• S•••••••• I••• for B••••• F•••••••• S•••••••• L••• (registered 2016-04-11)May 13, 2025 · Advisor changed firm · fact
- J••••• J••• C•••••• left N•• F•••••••• S•••••••• I••• for E• W••••• A••••••• (registered 2025-05-15)May 13, 2025 · Advisor changed firm · fact
- 2 advisors left N•• F•••••••• S•••••••• I••• (Westlake Village, CA) for E• W••••• A••••••• on the same dayMay 13, 2025 · Team lift-out · derived
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