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

D••••••• W••••• A•••••••• I•••

Former SEC-registered adviserSan Diego, CaliforniaCRD 113067SEC 801-60531IAPD
Latest filing Mar 15, 2018
First filing on the tape Feb 29, 2012 · 10 filings
RAUM
$405M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
80%
$324M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$405M as of Mar 15, 2018
Feb 29, 2012$196M then
HNW client RAUM: $231M
State-registered IARs (5.B.3)4 as of Mar 15, 2018
Feb 29, 20120 then
Employees (5.A)7 as of Mar 15, 2018
Mar 12, 20135 then
Private funds: no history
RAUM +27% over the last fiscal year+11% a year over threeIARs 0 to 4
Practice profile
derived from the filing of Mar 15, 2018; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, 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)
  • 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$231M57%
  • Individuals$92.7M23%
  • Pension and profit-sharing plans$74.7M18%
  • Charitable organizations$7.1M1.7%
Individual clients
206reported
HNW clients
145reported
Pension plan clients
17reported
Charitable clients
2reported
Accounts
368reported
Financial planning clients
251-500reported
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
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
      • D•••••••• R••••••• C••••• · President And Chief Compliance Officercontrol
        since 06/2000 · owns 75% or more
      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 · 1,023 to 368
        Mar 24, 2017 to Mar 15, 2018
      • Advisory employees · 5 to 4
        Mar 24, 2017 to Mar 15, 2018
      • Charity clients · unset to 2.0
        Mar 24, 2017 to Mar 15, 2018
      • Corporate clients · unset to 0.0
        Mar 24, 2017 to Mar 15, 2018
      • HNW clients · unset to 145.0
        Mar 24, 2017 to Mar 15, 2018
      • Individual clients · unset to 206.0
        Mar 24, 2017 to Mar 15, 2018
      • Pension plan clients · unset to 17.0
        Mar 24, 2017 to Mar 15, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 24, 2017 to Mar 15, 2018
      • Financial planning clients · 101-250 to 251-500
        Mar 24, 2017 to Mar 15, 2018
      • State-registered IARs · 0 to 4
        Mar 24, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 15, 2018
      • Discretionary RAUM · $259M to $331M
        Mar 24, 2017 to Mar 15, 2018
      • HNW RAUM · unset to 230863103.0
        Mar 24, 2017 to Mar 15, 2018
      • Individual RAUM · unset to 92700000.0
        Mar 24, 2017 to Mar 15, 2018
      • Non-discretionary RAUM · $60.4M to $74.7M
        Mar 24, 2017 to Mar 15, 2018
      • Pension RAUM · unset to 74740176.0
        Mar 24, 2017 to Mar 15, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 24, 2017 to Mar 15, 2018
      • RAUM · $320M to $405M
        Mar 24, 2017 to Mar 15, 2018
      • Accounts · 876 to 1,023
        Mar 9, 2016 to Mar 24, 2017
      • Advisory employees · 4 to 5
        Mar 9, 2016 to Mar 24, 2017
      • Financial planning clients · 251-500 to 101-250
        Mar 9, 2016 to Mar 24, 2017
      • State-registered IARs · 4 to 0
        Mar 9, 2016 to Mar 24, 2017
      • Discretionary RAUM · $241M to $259M
        Mar 9, 2016 to Mar 24, 2017
      • Non-discretionary RAUM · $84.2M to $60.4M
        Mar 9, 2016 to Mar 24, 2017
      • RAUM · $325M to $320M
        Mar 9, 2016 to Mar 24, 2017
      • Accounts · 934 to 876
        Feb 4, 2015 to Mar 9, 2016
      • Financial planning clients · 101-250 to 251-500
        Feb 4, 2015 to Mar 9, 2016
      • Discretionary RAUM · $238M to $241M
        Feb 4, 2015 to Mar 9, 2016
      • Non-discretionary RAUM · $61.1M to $84.2M
        Feb 4, 2015 to Mar 9, 2016
      • RAUM · $300M to $325M
        Feb 4, 2015 to Mar 9, 2016
      • Accounts · 868 to 934
        Mar 10, 2014 to Feb 4, 2015
      • Discretionary RAUM · $172M to $238M
        Mar 10, 2014 to Feb 4, 2015
      • Non-discretionary RAUM · $56.0M to $61.1M
        Mar 10, 2014 to Feb 4, 2015
      • RAUM · $228M to $300M
        Mar 10, 2014 to Feb 4, 2015
      • Discretionary RAUM · $17B to $172M
        Mar 6, 2014 to Mar 10, 2014
      • Non-discretionary RAUM · $5.6B to $56.0M
        Mar 6, 2014 to Mar 10, 2014
      • RAUM · $23B to $228M
        Mar 6, 2014 to Mar 10, 2014
      • Accounts · 477 to 868
        Mar 6, 2014 to Mar 6, 2014
      • Advisory employees · 3 to 4
        Mar 6, 2014 to Mar 6, 2014
      • Employees · 5 to 7
        Mar 6, 2014 to Mar 6, 2014
      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