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

B•••••• C•••••• M••••••••• I•••

Former SEC-registered adviserLos Altos, CaliforniaCRD 120376SEC 801-61822IAPD
Latest filing Feb 24, 2015
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$310M
reported, Item 5.F
Discretionary
100%
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$310M as of Feb 24, 2015
Mar 30, 2012$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Feb 24, 2015
Mar 30, 20120 then
Employees (5.A)8 as of Feb 24, 2015
Mar 18, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 24, 2015; every figure names its basis
RAUM per advisor
$62.1MderivedRAUM 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
$404,197derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.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
768reported
Financial planning clients
101-250reported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••••• E•••• R•••••• · Chief Investment Officercontrol
      since 09/2006 · owns 25% to 50%
    • S••••• J•••• M•••••• · Presidentcontrol
      since 03/2001 · owns 50% to 75%
    • B•••••••• A••••••• L••••••• · Portfolio Manager
      since 09/2013 · owns 5% to 10%
    • L•••• S•••••• L•• · Wealth Planning Manager
      since 12/2013 · owns less than 5%
    • S••••••••• L•••• A•• · Chief Compliance Officer
      since 01/2013 · owns less than 5%
    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 · 710 to 768
      Mar 28, 2014 to Feb 24, 2015
    • Employees · 7 to 8
      Mar 28, 2014 to Feb 24, 2015
    • Discretionary RAUM · $262M to $310M
      Mar 28, 2014 to Feb 24, 2015
    • RAUM · $262M to $310M
      Mar 28, 2014 to Feb 24, 2015
    • Accounts · 744 to 710
      Mar 18, 2013 to Mar 28, 2014
    • Discretionary RAUM · $195M to $262M
      Mar 18, 2013 to Mar 28, 2014
    • RAUM · $195M to $262M
      Mar 18, 2013 to Mar 28, 2014
    • Employees · unset to 7.0
      Mar 30, 2012 to Mar 18, 2013
    • State-registered IARs · 0 to 5
      Mar 30, 2012 to Mar 18, 2013
    • Discretionary RAUM · $195M to $195M
      Mar 30, 2012 to Mar 18, 2013
    • RAUM · $195M to $195M
      Mar 30, 2012 to Mar 18, 2013
    • Accounts · 645 to 744
      Mar 30, 2012 to Mar 18, 2013
    • Advisory employees · unset to 5.0
      Mar 30, 2012 to Mar 18, 2013
    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