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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SEC-registered adviser

C•••••• F••••••••

Independent wealth managerWestlake Village, CaliforniaCRD 120228SEC 801-135641websiteIAPD
Legal name C•••••• F•••••••• • I•••••••• S•••••••• I•••
Latest filing Jul 24, 2026
First filing on the tape Mar 10, 2026 · 2 filings
SEC status approved since Mar 23, 2026
RAUM
$152M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
92%
$139M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$152M as of Jul 24, 2026
Mar 10, 2026$152M then
HNW client RAUM$114M as of Jul 24, 2026
Mar 10, 2026$114M then
State-registered IARs (5.B.3)1 as of Jul 24, 2026
Mar 10, 20261 then
Employees (5.A)4 as of Jul 24, 2026
Mar 10, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$152MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
199derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$705,327derivedRAUM over accounts (5.F.2.f)
Discretionary
47%derivedof RAUM
Institutional
8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, otherreportedItem 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
  • 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
  • High-net-worth individuals$114M75%
  • Individuals$25.0M16%
  • Pension and profit-sharing plans$12.7M8.4%
  • Charitable organizations$65,2700.0%
Individual clients
156reported
HNW clients
43reported
Pension plan clients
15reported
Charitable clients
1reported
Accounts
215reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••••• M•••••• R••••Certified Financial PlannerWestlake Village, CaSep 2, 202535 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    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
    One filing, no change to show.
    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.
    How to reach
    public business contact points only, each with its source
    Business email
    support@classicfinancial.netreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    800-750-7526reportedpublished by the firm, firm site, Sep 17, 2026
    Firm profile
    ch.linkedin.com/company/classic-financial-&-insurance-servicreportedpublic record, Form ADV, Sep 19, 2026
    Website
    C••••••FINANCIAL.NETreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    805-230-2430reportedpublic record, Form ADV, Jul 24, 2026
    Contact form
    classicfinancial.net/contactreportedpublished by the firm, firm site, Sep 17, 2026
    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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $152Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026