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

Haussmann Financial Inc.

Former SEC-registered adviserLake Forest, CaliforniaCRD 110747SEC 801-72313websiteIAPD
Latest filing Feb 26, 2025
First filing on the tape Mar 14, 2012 · 35 filings
SEC status approved since May 4, 2011
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$0 as of Feb 26, 2025
Mar 14, 2012$166M then
HNW client RAUM$0 as of Feb 26, 2025
Feb 1, 2018$395M then
State-registered IARs (5.B.3)4 as of Feb 26, 2025
Mar 14, 20120 then
Employees (5.A)5 as of Feb 26, 2025
Mar 15, 201313 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 7 to 4
Practice profile
derived from the filing of Feb 26, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-43%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, publications, educational seminarsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Diane Trudy Haussmann · President/Chief Compliance Officercontrol
        since 08/1996 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Lake Forest, Ca · principal000
      Offices
      Schedule D 1.F, the 25 largest
      • Pasadena, CA7 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2,216 to 0
        Jun 26, 2024 to Feb 26, 2025
      • Advisory employees · 7 to 4
        Jun 26, 2024 to Feb 26, 2025
      • Advisory activities · 5 to 3
        Jun 26, 2024 to Feb 26, 2025
      • BD registered reps · 7 to 4
        Jun 26, 2024 to Feb 26, 2025
      • Charity clients · unset to 0.0
        Jun 26, 2024 to Feb 26, 2025
      • Corporate clients · unset to 0.0
        Jun 26, 2024 to Feb 26, 2025
      • HNW clients · 190 to 0
        Jun 26, 2024 to Feb 26, 2025
      • Individual clients · 1,315 to 0
        Jun 26, 2024 to Feb 26, 2025
      • Pension plan clients · 26 to 0
        Jun 26, 2024 to Feb 26, 2025
      • Employees · 8 to 5
        Jun 26, 2024 to Feb 26, 2025
      • State-registered IARs · 7 to 4
        Jun 26, 2024 to Feb 26, 2025
      • Discretionary RAUM · $772M to $0
        Jun 26, 2024 to Feb 26, 2025
      • HNW RAUM · $290M to $0
        Jun 26, 2024 to Feb 26, 2025
      • Individual RAUM · $468M to $0
        Jun 26, 2024 to Feb 26, 2025
      • Non-discretionary RAUM · $6.6M to $0
        Jun 26, 2024 to Feb 26, 2025
      • Pension RAUM · $18.5M to $0
        Jun 26, 2024 to Feb 26, 2025
      • RAUM · $779M to $0
        Jun 26, 2024 to Feb 26, 2025
      • Wrap assets (manager) · 778538364.0 to unset
        Jun 26, 2024 to Feb 26, 2025
      • Wrap assets (sponsor) · 0.0 to unset
        Jun 26, 2024 to Feb 26, 2025
      • Accounts · 2,080 to 2,216
        Feb 17, 2023 to Jan 22, 2024
      • Advisory employees · 6 to 7
        Feb 17, 2023 to Jan 22, 2024
      • BD registered reps · 6 to 7
        Feb 17, 2023 to Jan 22, 2024
      • HNW clients · 177 to 190
        Feb 17, 2023 to Jan 22, 2024
      • Individual clients · 1,242 to 1,315
        Feb 17, 2023 to Jan 22, 2024
      • Employees · 14 to 8
        Feb 17, 2023 to Jan 22, 2024
      • State-registered IARs · 6 to 7
        Feb 17, 2023 to Jan 22, 2024
      • Discretionary RAUM · $746M to $772M
        Feb 17, 2023 to Jan 22, 2024
      • HNW RAUM · $274M to $290M
        Feb 17, 2023 to Jan 22, 2024
      • Individual RAUM · $459M to $468M
        Feb 17, 2023 to Jan 22, 2024
      • Non-discretionary RAUM · $7.2M to $6.6M
        Feb 17, 2023 to Jan 22, 2024
      • Pension RAUM · $18.7M to $18.5M
        Feb 17, 2023 to Jan 22, 2024
      • RAUM · $753M to $779M
        Feb 17, 2023 to Jan 22, 2024
      • Wrap assets (manager) · $753M to $779M
        Feb 17, 2023 to Jan 22, 2024
      • Accounts · 2,000 to 2,080
        Sep 13, 2022 to Feb 13, 2023
      • HNW clients · 235 to 177
        Sep 13, 2022 to Feb 13, 2023
      • Individual clients · 1,151 to 1,242
        Sep 13, 2022 to Feb 13, 2023
      • Pension plan clients · 25 to 26
        Sep 13, 2022 to Feb 13, 2023
      • Discretionary RAUM · $869M to $746M
        Sep 13, 2022 to Feb 13, 2023
      • HNW RAUM · $393M to $274M
        Sep 13, 2022 to Feb 13, 2023
      • Individual RAUM · $465M to $459M
        Sep 13, 2022 to Feb 13, 2023
      Signals
      11 dated events
      • Haussmann Financial Inc. no longer on the SEC adviser roster (last listed 2025-03-06)
        May 2, 2025 · Left the SEC roster · derived
      • Madison Grace Anderson left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
        Apr 28, 2025 · Advisor changed firm · fact
      • Jason Aaron Simard left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
        Apr 28, 2025 · Advisor changed firm · fact
      • Patrick Miller Danly left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
        Apr 28, 2025 · Advisor changed firm · fact
      • Trudy Diane Haussmann left Haussmann Financial Inc. for Lpl Financial Llc (registered 2025-02-03)
        Apr 28, 2025 · Advisor changed firm · fact
      • Haussmann Financial Inc.'s advisors moved to LPL Financial LLC (Lake Forest, CA): 4 of 4 registered, on the same day
        Apr 28, 2025 · Firm absorbed (people side) · derived
      • Haussmann Financial Inc. reported RAUM $0, down 100% from $778.5M (2024-06-26 to 2025-02-26)
        Feb 26, 2025 · RAUM change · derived
      • John Patrick Dunphy left Haussmann Financial Inc. for Cwm, Llc (registered 2025-01-06)
        Jan 17, 2025 · Advisor changed firm · fact
      • Kiho Choi left Haussmann Financial Inc. for Cwm, Llc (registered 2025-01-06)
        Jan 17, 2025 · Advisor changed firm · fact
      • Dominica L Henderson left Haussmann Financial Inc. for Cwm, Llc (registered 2025-01-16)
        Jan 17, 2025 · Advisor changed firm · fact
      • 3 advisors left Haussmann Financial Inc. (Lake Forest, CA) for Cwm, LLC on the same day
        Jan 17, 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