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

H•••••• F•••••••• N•••••••

Former SEC-registered adviserCRD 119524SEC 801-66504IAPD
Latest filing Dec 14, 2011
First filing on the tape Dec 5, 2011 · 2 filings
RAUM
$1.9M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$1.9M as of Dec 14, 2011
Dec 5, 2011$9.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 14, 2011
Dec 5, 20110 then
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Dec 14, 2011; 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
$17,689derivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 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 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)
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
105reported
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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••• M••••• H••••• · Shareholdercontrol
    since 01/2011 · owns 10% to 25%
  • E•••••••• A•• · Trusteecontrol
    since 04/2000 · owns less than 5%
  • E•••••••• B••••• J••• · Ceo/President/Chief Compliance Officercontrol
    since 09/2007 · owns less than 5%
  • S••••• G•••• J•••• · Executive Vice President/Chief Operations Officer/Secretarycontrol
    since 09/2007 · owns less than 5%
  • E•••••••• C•••• · Trustee
    since 10/2007 · owns less than 5%
  • E•••••••• J••• · Trustee
    since 10/2007 · owns less than 5%
Entity owners
  • T•• E••••••• F••••• T•••• U•• D•• 3•••••••• · Shareholder
    direct · owns 50% to 75%
  • T•• J••• A•• C•••• E••••••• 2••• T•••• · Shareholder
    direct · owns 5% to 10%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Redding, Ca001
Offices
Schedule D 1.F, the 25 largest
  • Redding, CA
  • San Jose, CA
  • ,
What changed
consecutive filings, newest first
  • Accounts · 85 to 105
    Dec 5, 2011 to Dec 14, 2011
  • Insurance-licensed employees · unset to 2.0
    Dec 5, 2011 to Dec 14, 2011
  • Non-discretionary RAUM · $9.2M to $1.9M
    Dec 5, 2011 to Dec 14, 2011
  • RAUM · $9.2M to $1.9M
    Dec 5, 2011 to Dec 14, 2011
Signals
3 dated events
  • B•••• J••• E••••••• left H•••••• F•••••••• N••••••• for A•••• F•••••••• S••••••• (registered 2011-03-25)
    Nov 17, 2025 · Advisor changed firm · fact
  • M•••• H••••• A•••• left H•••••• F•••••••• N••••••• for A•••• F•••••••• S••••••• (registered 2011-03-25)
    Sep 4, 2025 · Advisor changed firm · fact
  • K••• B•••• E••••••• left H•••••• F•••••••• N••••••• for A••••••• F••••••••• L••• (registered 2024-06-06)
    Mar 26, 2024 · Advisor changed firm · fact
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