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

T•••• C•••••• M••••••••• L••

Former SEC-registered adviserLaguna Niguel, CaliforniaCRD 123568SEC 801-110575IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 31, 2012 · 23 filings
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$91.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$132M as of Mar 31, 2021
Mar 31, 2012$137M then
HNW client RAUM$52.1M as of Mar 31, 2021
Mar 28, 2018$43.0M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Mar 22, 20133 then
Employees (5.A)3 as of Mar 31, 2021
Mar 22, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year+7.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$65.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$238,247derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.4%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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
  • High-net-worth individuals$52.1M40%
  • Other investment advisers$40.2M30%
  • Individuals$39.4M30%
Individual clients
112reported
HNW clients
32reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
553reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••• A••• N•• · Managing Member/Chief Compliance Officer/Ceo/Ciocontrol
    since 09/2002 · owns 75% or more
  • B••••••••• S•••••• N•• · Member
    since 04/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 752 to 553
    Jun 30, 2020 to Mar 31, 2021
  • Individual clients · 114 to 112
    Jun 30, 2020 to Mar 31, 2021
  • HQ city · MODESTO to LAGUNA NIGUEL
    Jun 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $118M to $132M
    Jun 30, 2020 to Mar 31, 2021
  • HNW RAUM · $50.4M to $52.1M
    Jun 30, 2020 to Mar 31, 2021
  • Individual RAUM · $38.7M to $39.4M
    Jun 30, 2020 to Mar 31, 2021
  • RAUM · $118M to $132M
    Jun 30, 2020 to Mar 31, 2021
  • Wrap assets (manager) · 4213521.0 to unset
    Jun 30, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · 0.0 to unset
    Jun 30, 2020 to Mar 31, 2021
  • Accounts · 933 to 752
    Mar 29, 2019 to Feb 7, 2020
  • HNW clients · 39 to 32
    Mar 29, 2019 to Feb 7, 2020
  • Individual clients · 118 to 114
    Mar 29, 2019 to Feb 7, 2020
  • Discretionary RAUM · $122M to $118M
    Mar 29, 2019 to Feb 7, 2020
  • HNW RAUM · $55.0M to $50.4M
    Mar 29, 2019 to Feb 7, 2020
  • Individual RAUM · $40.7M to $38.7M
    Mar 29, 2019 to Feb 7, 2020
  • RAUM · $122M to $118M
    Mar 29, 2019 to Feb 7, 2020
  • Wrap assets (manager) · $6.2M to $4.2M
    Mar 29, 2019 to Feb 7, 2020
  • Accounts · 783 to 933
    Dec 4, 2018 to Mar 29, 2019
  • HNW clients · 28 to 39
    Dec 4, 2018 to Mar 29, 2019
  • Individual clients · 165 to 118
    Dec 4, 2018 to Mar 29, 2019
  • Discretionary RAUM · $107M to $122M
    Dec 4, 2018 to Mar 29, 2019
  • HNW RAUM · $43.0M to $55.0M
    Dec 4, 2018 to Mar 29, 2019
  • Individual RAUM · $63.8M to $40.7M
    Dec 4, 2018 to Mar 29, 2019
  • RAUM · $107M to $122M
    Dec 4, 2018 to Mar 29, 2019
  • Wrap assets (manager) · $6.4M to $6.2M
    Dec 4, 2018 to Mar 29, 2019
  • Advisory employees · 3 to 2
    Apr 13, 2018 to Sep 28, 2018
  • Employees · 4 to 3
    Apr 13, 2018 to Sep 28, 2018
  • State-registered IARs · 3 to 2
    Apr 13, 2018 to Sep 28, 2018
  • Other offices · 2 to 1
    Apr 13, 2018 to Sep 28, 2018
  • Accounts · 608 to 783
    May 5, 2017 to Mar 28, 2018
  • HNW clients · unset to 28.0
    May 5, 2017 to Mar 28, 2018
  • Individual clients · unset to 165.0
    May 5, 2017 to Mar 28, 2018
  • Other offices · unset to 2.0
    May 5, 2017 to Mar 28, 2018
  • Discretionary RAUM · $101M to $107M
    May 5, 2017 to Mar 28, 2018
  • HNW RAUM · unset to 42958151.0
    May 5, 2017 to Mar 28, 2018
  • Individual RAUM · unset to 63783246.0
    May 5, 2017 to Mar 28, 2018
  • RAUM · $101M to $107M
    May 5, 2017 to Mar 28, 2018
  • Wrap assets (manager) · unset to 6436515.0
    May 5, 2017 to Mar 28, 2018
  • Wrap assets (sponsor) · unset to 0.0
    May 5, 2017 to Mar 28, 2018
  • Accounts · 410 to 608
    Aug 13, 2014 to May 4, 2017
Signals
1 dated events
  • T•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    May 4, 2017 · First SEC registration · 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