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

F•••••••• D••••••••• I•••

Former SEC-registered adviserStockton, CaliforniaCRD 118883SEC 801-61300IAPD
Latest filing Mar 3, 2021
First filing on the tape Mar 15, 2012 · 25 filings
RAUM
$711M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
20%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$711M as of Mar 3, 2021
Jul 30, 2012$163M then
HNW client RAUM$91.7M as of Mar 3, 2021
Feb 13, 2018$58.1M then
State-registered IARs (5.B.3)5 as of Mar 3, 2021
Jul 30, 20120 then
Employees (5.A)8 as of Mar 3, 2021
Jun 24, 20136 then
Private funds: no history
RAUM +50% over the last fiscal year+24% a year over threeIARs 4 to 5offices 0 to 1
Practice profile
derived from the filing of Mar 3, 2021; every figure names its basis
RAUM per advisor
$142MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$635,135derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+50%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
  • 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
  • Pension and profit-sharing plans$562M79%
  • High-net-worth individuals$91.7M13%
  • Individuals$53.1M7.5%
  • Charitable organizations$2.6M0.4%
  • Corporations and businesses$1.7M0.2%
Individual clients
307reported
HNW clients
55reported
Pension plan clients
310reported
Charitable clients
4reported
Accounts
1,119reported
Financial planning clients
101-250reported
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
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
    • L••• F••••••••• M••••• · Directorcontrol
      since 10/2020 · owns 50% to 75%
    • L••• N••••• E•••••••• · Directorcontrol
      since 10/2020 · owns 50% to 75%
    • T•••••• T••••• C•••••• · Chief Investment Officercontrol
      since 07/2013 · owns less than 5%
    • H•••••• K••••••• R••••• · Chief Compliance Officer
      since 07/2020 · owns less than 5%
    • L••• M••••••• E• · President & Chief Executive Officer
      since 10/2020 · owns less than 5%
    • M••••••• K••••• E••••• · Business Development Officer
      since 07/2013 · owns less than 5%
    • M•••••• R•••••• T••••• · Chief Operatons Officer
      since 01/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Scottsdale, AZ1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 876 to 1,119
      Oct 19, 2020 to Mar 3, 2021
    • Advisory employees · 4 to 5
      Oct 19, 2020 to Mar 3, 2021
    • Corporate clients · 2 to 8
      Oct 19, 2020 to Mar 3, 2021
    • HNW clients · 51 to 55
      Oct 19, 2020 to Mar 3, 2021
    • Individual clients · 293 to 307
      Oct 19, 2020 to Mar 3, 2021
    • Pension plan clients · 201 to 310
      Oct 19, 2020 to Mar 3, 2021
    • State-registered IARs · 4 to 5
      Oct 19, 2020 to Mar 3, 2021
    • Discretionary RAUM · $471M to $681M
      Oct 19, 2020 to Mar 3, 2021
    • HNW RAUM · $68.5M to $91.7M
      Oct 19, 2020 to Mar 3, 2021
    • Individual RAUM · $45.4M to $53.1M
      Oct 19, 2020 to Mar 3, 2021
    • Non-discretionary RAUM · $1.6M to $29.5M
      Oct 19, 2020 to Mar 3, 2021
    • Pension RAUM · $356M to $562M
      Oct 19, 2020 to Mar 3, 2021
    • RAUM · $473M to $711M
      Oct 19, 2020 to Mar 3, 2021
    • Related adviser · false to true
      Oct 19, 2020 to Mar 3, 2021
    • Other offices · 0 to 1
      Jun 18, 2020 to Aug 17, 2020
    • Advisory activities · 4 to 5
      Apr 27, 2020 to Jun 18, 2020
    • Accounts · 837 to 876
      Oct 24, 2019 to Mar 14, 2020
    • Corporate clients · unset to 2.0
      Oct 24, 2019 to Mar 14, 2020
    • HNW clients · 27 to 51
      Oct 24, 2019 to Mar 14, 2020
    • Pension plan clients · 137 to 201
      Oct 24, 2019 to Mar 14, 2020
    • Discretionary RAUM · $375M to $471M
      Oct 24, 2019 to Mar 14, 2020
    • HNW RAUM · $55.1M to $68.5M
      Oct 24, 2019 to Mar 14, 2020
    • Individual RAUM · $61.1M to $45.4M
      Oct 24, 2019 to Mar 14, 2020
    • Non-discretionary RAUM · $913,911 to $1.6M
      Oct 24, 2019 to Mar 14, 2020
    • Pension RAUM · $258M to $356M
      Oct 24, 2019 to Mar 14, 2020
    • RAUM · $376M to $473M
      Oct 24, 2019 to Mar 14, 2020
    • Accounts · 726 to 837
      Dec 27, 2018 to Feb 13, 2019
    • Advisory employees · 5 to 4
      Dec 27, 2018 to Feb 13, 2019
    • Charity clients · 2 to 4
      Dec 27, 2018 to Feb 13, 2019
    • Corporate clients · 1.0 to unset
      Dec 27, 2018 to Feb 13, 2019
    • HNW clients · 56 to 27
      Dec 27, 2018 to Feb 13, 2019
    • Individual clients · 227 to 293
      Dec 27, 2018 to Feb 13, 2019
    • Pension plan clients · 124 to 137
      Dec 27, 2018 to Feb 13, 2019
    • Employees · 10 to 8
      Dec 27, 2018 to Feb 13, 2019
    • State-registered IARs · 5 to 4
      Dec 27, 2018 to Feb 13, 2019
    • Discretionary RAUM · $374M to $375M
      Dec 27, 2018 to Feb 13, 2019
    • HNW RAUM · $58.1M to $55.1M
      Dec 27, 2018 to Feb 13, 2019
    • Individual RAUM · $43.4M to $61.1M
      Dec 27, 2018 to Feb 13, 2019
    • Non-discretionary RAUM · $0 to $913,911
      Dec 27, 2018 to Feb 13, 2019
    • Pension RAUM · $271M to $258M
      Dec 27, 2018 to Feb 13, 2019
    Signals
    1 dated events
    • F•••••••• D••••••••• I••• reported RAUM $710.7M, up 50% from $472.7M (2020-10-19 to 2021-03-03)
      Mar 3, 2021 · RAUM change · derived
    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