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

E•••••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 111917SEC 801-57708IAPD
Latest filing Mar 10, 2017
First filing on the tape Apr 2, 2012 · 7 filings
RAUM
$85.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$85.3M as of Mar 10, 2017
Apr 2, 2012$122M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 10, 2017
Apr 2, 20120 then
Employees (5.A)1 as of Mar 10, 2017
Apr 30, 20132 then
Private funds: no history
RAUM -18% over the last fiscal year-26% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2017; every figure names its basis
RAUM per advisor
$85.3MderivedRAUM 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
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
72reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• A••• · Chief Compliance Officercontrol
        since 01/2000 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 130 to 72
        Feb 20, 2016 to Mar 10, 2017
      • Non-discretionary RAUM · $104M to $85.3M
        Feb 20, 2016 to Mar 10, 2017
      • RAUM · $104M to $85.3M
        Feb 20, 2016 to Mar 10, 2017
      • Accounts · 154 to 130
        Mar 20, 2015 to Feb 20, 2016
      • Non-discretionary RAUM · $173M to $104M
        Mar 20, 2015 to Feb 20, 2016
      • RAUM · $173M to $104M
        Mar 20, 2015 to Feb 20, 2016
      • Accounts · 173 to 154
        Apr 1, 2014 to Mar 12, 2015
      • Employees · 2 to 1
        Apr 1, 2014 to Mar 12, 2015
      • HQ city · LA JOLLA to unset
        Apr 1, 2014 to Mar 12, 2015
      • HQ state · CA to unset
        Apr 1, 2014 to Mar 12, 2015
      • Non-discretionary RAUM · $211M to $173M
        Apr 1, 2014 to Mar 12, 2015
      • RAUM · $211M to $173M
        Apr 1, 2014 to Mar 12, 2015
      • Accounts · 161 to 173
        Apr 30, 2013 to Apr 1, 2014
      • Non-discretionary RAUM · $187M to $211M
        Apr 30, 2013 to Apr 1, 2014
      • RAUM · $187M to $211M
        Apr 30, 2013 to Apr 1, 2014
      • Accounts · 145 to 161
        Apr 2, 2012 to Apr 30, 2013
      • Advisory employees · unset to 1.0
        Apr 2, 2012 to Apr 30, 2013
      • Employees · unset to 2.0
        Apr 2, 2012 to Apr 30, 2013
      • State-registered IARs · 0 to 1
        Apr 2, 2012 to Apr 30, 2013
      • Non-discretionary RAUM · $122M to $187M
        Apr 2, 2012 to Apr 30, 2013
      • RAUM · $122M to $187M
        Apr 2, 2012 to Apr 30, 2013
      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