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

Resource Investment Architects, Inc.

Former SEC-registered adviserPetaluma, CaliforniaCRD 111894SEC 801-56409IAPD
Latest filing Apr 1, 2021
First filing on the tape Dec 12, 2011 · 22 filings
RAUM
$416M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
90%
$373M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
13 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$416M as of Apr 1, 2021
Mar 16, 2012$211M then
HNW client RAUM$205M as of Apr 1, 2021
Mar 30, 2018$150M then
State-registered IARs (5.B.3)8 as of Apr 1, 2021
Mar 16, 20120 then
Employees (5.A)15 as of Apr 1, 2021
Mar 28, 201315 then
Private funds: no history
RAUM +18% over the last fiscal year+4.4% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Apr 1, 2021; every figure names its basis
RAUM per advisor
$52.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
124derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$187,320derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
0.8derived10 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.3%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$1.8MreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$205M49%
  • Individuals$168M40%
  • Corporations and businesses$21.2M5.1%
  • Charitable organizations$20.8M5.0%
  • Pension and profit-sharing plans$705,2490.2%
  • Other investment advisers$201,7560.0%
Individual clients
848reported
HNW clients
142reported
Pension plan clients
9reported
Charitable clients
n/areported
Accounts
2,222reported
Financial planning clients
101-250reported
Wrap fee programs
$1.8M sponsored, $0 managedreported
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
Left, latest
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
    • James Anthony Duckworth · Chief Compliance Officercontrol
      since 11/1989 · owns less than 5%
    • David Glen Haddock · Presidentcontrol
      since 11/1989 · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Resource Investment Architects, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Reno, NV3 employees
    • Rocklin, CA1 employees
    • Vancouver, WA1 employees
    • Roseville, CA1 employees
    • , 1 employees
    • Alamo, CA1 employees
    • Mill Valley, CA1 employees
    • Minden, NV1 employees
    • Alamo, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,850 to 2,222
      Jul 6, 2020 to Apr 1, 2021
    • Corporate clients · 6 to 16
      Jul 6, 2020 to Apr 1, 2021
    • HNW clients · 188 to 142
      Jul 6, 2020 to Apr 1, 2021
    • Individual clients · 825 to 848
      Jul 6, 2020 to Apr 1, 2021
    • Pooled vehicle clients · 4.0 to unset
      Jul 6, 2020 to Apr 1, 2021
    • Discretionary RAUM · $314M to $408M
      Jul 6, 2020 to Apr 1, 2021
    • HNW RAUM · $202M to $205M
      Jul 6, 2020 to Apr 1, 2021
    • Individual RAUM · $121M to $168M
      Jul 6, 2020 to Apr 1, 2021
    • Non-discretionary RAUM · $39.8M to $8.1M
      Jul 6, 2020 to Apr 1, 2021
    • Pension RAUM · $1.4M to $705,249
      Jul 6, 2020 to Apr 1, 2021
    • Pooled vehicle RAUM · 129857.0 to unset
      Jul 6, 2020 to Apr 1, 2021
    • RAUM · $354M to $416M
      Jul 6, 2020 to Apr 1, 2021
    • Accounts · 1,629 to 1,850
      Jan 3, 2020 to Mar 31, 2020
    • Charity clients · 5.0 to unset
      Jan 3, 2020 to Mar 31, 2020
    • Corporate clients · 5 to 6
      Jan 3, 2020 to Mar 31, 2020
    • Individual clients · 709 to 825
      Jan 3, 2020 to Mar 31, 2020
    • Pension plan clients · 3 to 9
      Jan 3, 2020 to Mar 31, 2020
    • Other offices · 10 to 9
      Jan 3, 2020 to Mar 31, 2020
    • Discretionary RAUM · $259M to $314M
      Jan 3, 2020 to Mar 31, 2020
    • HNW RAUM · $155M to $202M
      Jan 3, 2020 to Mar 31, 2020
    • Individual RAUM · $102M to $121M
      Jan 3, 2020 to Mar 31, 2020
    • Non-discretionary RAUM · $26.4M to $39.8M
      Jan 3, 2020 to Mar 31, 2020
    • Pension RAUM · $990,007 to $1.4M
      Jan 3, 2020 to Mar 31, 2020
    • RAUM · $286M to $354M
      Jan 3, 2020 to Mar 31, 2020
    • Accounts · 1,369 to 1,629
      Mar 1, 2019 to Mar 29, 2019
    • Advisory employees · 12 to 13
      Mar 1, 2019 to Mar 29, 2019
    • Advisory activities · 5 to 4
      Mar 1, 2019 to Mar 29, 2019
    • BD registered reps · 11 to 10
      Mar 1, 2019 to Mar 29, 2019
    • Charity clients · 2 to 5
      Mar 1, 2019 to Mar 29, 2019
    • Corporate clients · unset to 5.0
      Mar 1, 2019 to Mar 29, 2019
    • HNW clients · 105 to 188
      Mar 1, 2019 to Mar 29, 2019
    • Individual clients · 543 to 709
      Mar 1, 2019 to Mar 29, 2019
    • Pension plan clients · 2 to 3
      Mar 1, 2019 to Mar 29, 2019
    • Pooled vehicle clients · unset to 4.0
      Mar 1, 2019 to Mar 29, 2019
    • Assets in custody · 4000000.0 to unset
      Mar 1, 2019 to Mar 29, 2019
    • Custody of client assets · true to false
      Mar 1, 2019 to Mar 29, 2019
    • Employees · 13 to 15
      Mar 1, 2019 to Mar 29, 2019
    • Financial planning clients · 26-50 to 101-250
      Mar 1, 2019 to Mar 29, 2019
    • Discretionary RAUM · $338M to $259M
      Mar 1, 2019 to Mar 29, 2019
    • HNW RAUM · $150M to $155M
      Mar 1, 2019 to Mar 29, 2019
    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