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

P•••••••• V•••• I•••

Former SEC-registered adviserSan Diego, CaliforniaCRD 118024SEC 801-63878IAPD
Latest filing Dec 5, 2012
First filing on the tape Apr 9, 2012 · 6 filings
RAUM
$19.3M
reported, Item 5.F
Discretionary
96%
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
1
$450,000 gross assets
History
6 filings and snapshots on the tape
RAUM$19.3M as of Dec 5, 2012
Apr 9, 2012$22.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 5, 2012
Apr 9, 20120 then
Employees (5.A)1 as of Dec 5, 2012
Nov 16, 20123 then
Private funds1 as of Dec 5, 2012
Nov 16, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 5, 2012; 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
$83,190derivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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)
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
232reported
Financial planning clients
1-10reported
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
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B•• V•••••• C•••••• F•••• I• L•Venture Capital Fund$450,0004Nov 16, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• B••••• W•••••• · President And Chief Compliance Officercontrol
      since 01/1996 · owns less than 5%
    • D••••• B••••• W•••••• · Trustcontrol
      since 10/2000 · owns 50% to 75% of D•••• Family Trust 2000
    • D••••• S••••• L••• · Trustcontrol
      since 10/2000 · owns 50% to 75% of D•••• Family Trust 2000
    Entity owners
    • B•••• W• A•• S•••• L• D•••• L••••• T•••• 2••• · Trust
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • B•• V•••••• C••••••• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 3
      Nov 16, 2012 to Nov 30, 2012
    • Employees · 3 to 1
      Nov 16, 2012 to Nov 30, 2012
    • Advisory employees · unset to 1.0
      Oct 22, 2012 to Nov 16, 2012
    • Employees · unset to 3.0
      Oct 22, 2012 to Nov 16, 2012
    • Private funds · unset to 1
      Oct 22, 2012 to Nov 16, 2012
    • Accounts · 265 to 232
      Apr 9, 2012 to Oct 3, 2012
    • Discretionary RAUM · $21.0M to $18.5M
      Apr 9, 2012 to Oct 3, 2012
    • Non-discretionary RAUM · $1.0M to $840,000
      Apr 9, 2012 to Oct 3, 2012
    • RAUM · $22.0M to $19.3M
      Apr 9, 2012 to Oct 3, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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