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

Strasbaugh Financial Advisory, Inc.

Former SEC-registered adviserColorado Springs, ColoradoCRD 111672SEC 801-78767IAPD
Latest filing Mar 24, 2018
First filing on the tape Oct 29, 2013 · 14 filings
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M 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
14 filings and snapshots on the tape
RAUM$159M as of Mar 24, 2018
Mar 17, 2014$103M then
HNW client RAUM: $97.5M
State-registered IARs (5.B.3)4 as of Mar 24, 2018
Mar 17, 20141 then
Employees (5.A)5 as of Mar 24, 2018
Mar 17, 20142 then
Private funds: no history
RAUM +11% over the last fiscal year+10% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 2018; every figure names its basis
RAUM per advisor
$39.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$232,812derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$97.5M62%
  • Individuals$61.0M38%
Individual clients
67reported
HNW clients
40reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
681reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • Richard Strasbaugh · Vice President And Chief Compliance Officercontrol
        since 01/2003 · owns 25% to 50%
      • Hodges Susan Strasbaugh · Presidentcontrol
        since 01/2003 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 101 to 681
        Sep 26, 2017 to Mar 24, 2018
      • HNW clients · unset to 40.0
        Sep 26, 2017 to Mar 24, 2018
      • Individual clients · unset to 67.0
        Sep 26, 2017 to Mar 24, 2018
      • Financial planning clients · 51-100 to 101-250
        Sep 26, 2017 to Mar 24, 2018
      • Other offices · unset to 1.0
        Sep 26, 2017 to Mar 24, 2018
      • Discretionary RAUM · $143M to $159M
        Sep 26, 2017 to Mar 24, 2018
      • HNW RAUM · unset to 97534978.0
        Sep 26, 2017 to Mar 24, 2018
      • Individual RAUM · unset to 61010033.0
        Sep 26, 2017 to Mar 24, 2018
      • RAUM · $143M to $159M
        Sep 26, 2017 to Mar 24, 2018
      • Accounts · 107 to 101
        Mar 8, 2016 to Mar 15, 2017
      • Advisory employees · 3 to 4
        Mar 8, 2016 to Mar 15, 2017
      • State-registered IARs · 3 to 4
        Mar 8, 2016 to Mar 15, 2017
      • Discretionary RAUM · $135M to $143M
        Mar 8, 2016 to Mar 15, 2017
      • RAUM · $135M to $143M
        Mar 8, 2016 to Mar 15, 2017
      • Accounts · 100 to 107
        Sep 3, 2015 to Mar 4, 2016
      • Advisory activities · 3 to 2
        Sep 3, 2015 to Mar 4, 2016
      • Employees · 4 to 5
        Sep 3, 2015 to Mar 4, 2016
      • Discretionary RAUM · $118M to $135M
        Sep 3, 2015 to Mar 4, 2016
      • RAUM · $118M to $135M
        Sep 3, 2015 to Mar 4, 2016
      • Employees · 3 to 4
        Oct 17, 2014 to Mar 13, 2015
      • Discretionary RAUM · $108M to $118M
        Oct 17, 2014 to Mar 13, 2015
      • RAUM · $108M to $118M
        Oct 17, 2014 to Mar 13, 2015
      • Advisory employees · 1 to 3
        Mar 17, 2014 to Oct 17, 2014
      • Employees · 2 to 3
        Mar 17, 2014 to Oct 17, 2014
      • State-registered IARs · 1 to 3
        Mar 17, 2014 to Oct 17, 2014
      • Discretionary RAUM · $103M to $108M
        Mar 17, 2014 to Oct 17, 2014
      • RAUM · $103M to $108M
        Mar 17, 2014 to Oct 17, 2014
      • Accounts · 94 to 100
        Nov 27, 2013 to Mar 17, 2014
      • Discretionary RAUM · $101M to $103M
        Nov 27, 2013 to Mar 17, 2014
      • RAUM · $101M to $103M
        Nov 27, 2013 to Mar 17, 2014
      Signals
      1 dated events
      • Strasbaugh Financial Advisory, Inc. filed its initial SEC registration (Form ADV)
        Oct 29, 2013 · First SEC registration · 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