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

U•••• F•••••••• P•••••••• S•• F••••••••• I•••

Former SEC-registered adviserSan F••••••••, CaliforniaCRD 127310SEC 801-108877IAPD
Latest filing Mar 8, 2019
First filing on the tape Mar 1, 2012 · 8 filings
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$92.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$114M as of Mar 8, 2019
Mar 1, 2012$49.1M then
HNW client RAUM$75.7M as of Mar 8, 2019
Mar 16, 2018$64.5M then
State-registered IARs (5.B.3)1 as of Mar 8, 2019
Jan 20, 20171 then
Employees (5.A)3 as of Mar 8, 2019
Jan 20, 20174 then
Private funds: no history
RAUM +3.2% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 8, 2019; every figure names its basis
RAUM per advisor
$114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
112derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$897,516derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$75.7M66%
  • Pension and profit-sharing plans$21.0M18%
  • Individuals$17.3M15%
Individual clients
85reported
HNW clients
27reported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
127reported
Financial planning clients
11-25reported
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
Left, latest
none on the tape
    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
      • T••••••••• A••• J••••• · Owner & Ceo, Chief Compliance Officercontrol
        since 06/2004 · owns 75% or more
      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
      • Employees · 1 to 3
        Mar 16, 2018 to Mar 8, 2019
      • Accounts · 326 to 127
        Mar 16, 2018 to Mar 8, 2019
      • HNW clients · 28 to 27
        Mar 16, 2018 to Mar 8, 2019
      • Individual clients · 84 to 85
        Mar 16, 2018 to Mar 8, 2019
      • Financial planning clients · 1-10 to 11-25
        Mar 16, 2018 to Mar 8, 2019
      • Discretionary RAUM · $111M to $114M
        Mar 16, 2018 to Mar 8, 2019
      • HNW RAUM · $64.5M to $75.7M
        Mar 16, 2018 to Mar 8, 2019
      • Individual RAUM · $22.9M to $17.3M
        Mar 16, 2018 to Mar 8, 2019
      • Pension RAUM · $23.1M to $21.0M
        Mar 16, 2018 to Mar 8, 2019
      • RAUM · $111M to $114M
        Mar 16, 2018 to Mar 8, 2019
      • Accounts · 131 to 326
        Jan 20, 2017 to Mar 16, 2018
      • HNW clients · unset to 28.0
        Jan 20, 2017 to Mar 16, 2018
      • Individual clients · unset to 84.0
        Jan 20, 2017 to Mar 16, 2018
      • Pension plan clients · unset to 15.0
        Jan 20, 2017 to Mar 16, 2018
      • Employees · 4 to 1
        Jan 20, 2017 to Mar 16, 2018
      • Financial planning clients · 101-250 to 1-10
        Jan 20, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        Jan 20, 2017 to Mar 16, 2018
      • Discretionary RAUM · $99.1M to $111M
        Jan 20, 2017 to Mar 16, 2018
      • HNW RAUM · unset to 64504788.0
        Jan 20, 2017 to Mar 16, 2018
      • Individual RAUM · unset to 22930143.0
        Jan 20, 2017 to Mar 16, 2018
      • Non-discretionary RAUM · $12.3M to $0
        Jan 20, 2017 to Mar 16, 2018
      • Pension RAUM · unset to 23066080.0
        Jan 20, 2017 to Mar 16, 2018
      • RAUM · $111M to $111M
        Jan 20, 2017 to Mar 16, 2018
      • Accounts · 297 to 131
        May 3, 2012 to Dec 20, 2016
      • Advisory employees · unset to 1.0
        May 3, 2012 to Dec 20, 2016
      • Advisory activities · 4 to 3
        May 3, 2012 to Dec 20, 2016
      • Employees · unset to 4.0
        May 3, 2012 to Dec 20, 2016
      • Financial planning clients · 26-50 to 101-250
        May 3, 2012 to Dec 20, 2016
      • State-registered IARs · unset to 1.0
        May 3, 2012 to Dec 20, 2016
      • Discretionary RAUM · $49.1M to $99.1M
        May 3, 2012 to Dec 20, 2016
      • Non-discretionary RAUM · $0 to $12.3M
        May 3, 2012 to Dec 20, 2016
      • RAUM · $49.1M to $111M
        May 3, 2012 to Dec 20, 2016
      Signals
      1 dated events
      • U•••• F•••••••• P•••••••• S•• F••••••••• I••• filed its initial SEC registration (Form ADV)
        Dec 20, 2016 · 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