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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••• C•••••• M••••••••• I••

Former SEC-registered adviserSan Diego, CaliforniaCRD 112363SEC 801-17953IAPD
Latest filing Jan 30, 2017
First filing on the tape Mar 23, 2012 · 14 filings
RAUM
$298M
reported, Item 5.F
Discretionary
100%
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$298M as of Jan 30, 2017
Mar 23, 2012$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 30, 2017
Mar 23, 20120 then
Employees (5.A)6 as of Jan 30, 2017
Mar 5, 20137 then
Private funds: no history
RAUM +6.9% over the last fiscal year+4.9% a year over threeIARs 4 to 0
Practice profile
derived from the filing of Jan 30, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$467,984derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.9%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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)
  • has custody of client securities (9.A.1.b)
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
637reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • E•••• M•••••••• F•••••• · President/Chief Compliance Officercontrol
        since 05/1980 · owns 50% to 75%
      • E•••• R•••••• C•••• · Cfocontrol
        since 05/1990 · owns 50% to 75%
      • E•••• R•••• W•••••• · Board Member
        since 04/2000 · owns less than 5%
      • E•••• S•••• C•••• · Board Member
        since 04/2000 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 653 to 637
        Feb 12, 2016 to Jan 30, 2017
      • Advisory activities · 3 to 4
        Feb 12, 2016 to Jan 30, 2017
      • Assets in custody · $5.5M to $6.1M
        Feb 12, 2016 to Jan 30, 2017
      • Employees · 8 to 6
        Feb 12, 2016 to Jan 30, 2017
      • State-registered IARs · 4 to 0
        Feb 12, 2016 to Jan 30, 2017
      • Discretionary RAUM · $279M to $298M
        Feb 12, 2016 to Jan 30, 2017
      • RAUM · $279M to $298M
        Feb 12, 2016 to Jan 30, 2017
      • Accounts · 645 to 653
        May 19, 2015 to Feb 12, 2016
      • Assets in custody · $15.3M to $5.5M
        May 19, 2015 to Feb 12, 2016
      • Financial planning clients · 11-25 to 26-50
        May 19, 2015 to Feb 12, 2016
      • Discretionary RAUM · $283M to $279M
        May 19, 2015 to Feb 12, 2016
      • RAUM · $283M to $279M
        May 19, 2015 to Feb 12, 2016
      • Accounts · 545 to 645
        May 29, 2014 to Mar 5, 2015
      • Assets in custody · $5.1M to $15.3M
        May 29, 2014 to Mar 5, 2015
      • Custody of client assets · true to false
        May 29, 2014 to Mar 5, 2015
      • Employees · 7 to 8
        May 29, 2014 to Mar 5, 2015
      • Discretionary RAUM · $258M to $283M
        May 29, 2014 to Mar 5, 2015
      • RAUM · $258M to $283M
        May 29, 2014 to Mar 5, 2015
      • Assets in custody · unset to 5068494.0
        Mar 13, 2014 to May 29, 2014
      • Custody of client assets · false to true
        Mar 13, 2014 to May 29, 2014
      • Accounts · 508 to 545
        Sep 18, 2013 to Mar 13, 2014
      • State-registered IARs · 0 to 4
        Sep 18, 2013 to Mar 13, 2014
      • Discretionary RAUM · $236M to $258M
        Sep 18, 2013 to Mar 13, 2014
      • RAUM · $236M to $258M
        Sep 18, 2013 to Mar 13, 2014
      • Accounts · 481 to 508
        Sep 28, 2012 to Mar 5, 2013
      • Advisory employees · unset to 6.0
        Sep 28, 2012 to Mar 5, 2013
      • Employees · unset to 7.0
        Sep 28, 2012 to Mar 5, 2013
      • Financial planning clients · 26-50 to 11-25
        Sep 28, 2012 to Mar 5, 2013
      • Discretionary RAUM · $214M to $236M
        Sep 28, 2012 to Mar 5, 2013
      • RAUM · $214M to $236M
        Sep 28, 2012 to Mar 5, 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