DFX Intelligence

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F•••••••• V••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $50.1M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2012-03-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $50.1M
Advisors: 2
Net advisor flow, 12 months: +2
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2012-03-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 123659 · SEC 801-61578 · 5 filingsShow

CRD 123659SEC 801-61578First filing on the tape Dec 15, 2011, latest Mar 8, 2012IAPD

RAUM

$50.1M

reported, Item 5.F

Discretionary

72%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$25.1M

derived; firm RAUM over IAPD count

Employees

n/a

n/a advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 15, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$50.1M as of Mar 8, 2012

Dec 15, 2011$48.7M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 8, 2012

Dec 15, 20110 then

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of Mar 8, 2012; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $25.1MderivedRAUM 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: $294,735derivedRAUM over accounts (5.F.2.f)
Discretionary: 72%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: 2.0derived1 office 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, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, otherreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 170reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

R••• D••••• W••••••••• from A••••• A•••••••• L••
Jan 7, 2026 · Other
J••••• S•••••• Y•••• from A••••• A•••••••• L••
Jan 1, 2026 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from A••••• A•••••••• L••
Mar 8, 2024 · Santa Barbara, Ca

Teams out Teams in

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••••• S•••••• Y••••Certified Financial Planner	Goleta, Ca	Jan 1, 2026	31 y	2
R••• D••••• W•••••••••Certified Financial Planner, Chartered Financial Analyst	Goleta, Ca	Jan 7, 2026	15 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Y••••• M•••••• P•••••• · President, Chief Compliance Officercontrol
since 12/1993 · owns less than 5%
Y••••• M•••••• P•••••• · Trusteecontrol
since 12/1991 · owns 50% to 75% of Y•••• F••••• T••••

Entity owners

Y•••• F••••• T•••• · Sole Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Advisers that list F•••••••• V••••• L•• as a related person

140825 y

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Goleta, Ca	2	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory activities · 4 to 3
Dec 15, 2011 to Feb 23, 2012
Assets in custody · unset to 49000.0
Dec 15, 2011 to Feb 23, 2012
Discretionary RAUM · $36.1M to $36.2M
Dec 15, 2011 to Feb 23, 2012
Non-discretionary RAUM · $12.6M to $13.9M
Dec 15, 2011 to Feb 23, 2012
RAUM · $48.7M to $50.1M
Dec 15, 2011 to Feb 23, 2012

Signals

1 dated events

••• Locked
Mar 8, 2024 · Team lift-out · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $25.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026