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.

Former SEC-registered adviser

Polaris Equity Management, Inc.

Former SEC-registered adviserSan Rafael, CaliforniaCRD 127751SEC 801-62455IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$3.2M
reported, Item 5.F
Discretionary
99%
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$3.2M as of Mar 30, 2016
Mar 30, 2012$250M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2016
Mar 15, 20130 then
Employees (5.A)7 as of Mar 30, 2016
Mar 15, 201310 then
Private funds: no history
RAUM -57% over the last fiscal year-78% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$788,167derivedRAUM 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
$630,534derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-57%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 assetsreportedItem 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)
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
5reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Angela Crescenzo · Chief Compliance Officercontrol
      since 08/2012 · owns less than 5%
    • John Jeffrey Powell · President & Ceocontrol
      since 08/1998 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 20 to 5
      Mar 31, 2015 to Mar 30, 2016
    • Advisory employees · 6 to 5
      Mar 31, 2015 to Mar 30, 2016
    • Financial planning clients · 11-25 to 1-10
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $7.3M to $3.1M
      Mar 31, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $0 to $20,668
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $7.3M to $3.2M
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 51 to 20
      Dec 15, 2014 to Mar 31, 2015
    • Advisory employees · 7 to 6
      Dec 15, 2014 to Mar 31, 2015
    • Employees · 12 to 7
      Dec 15, 2014 to Mar 31, 2015
    • Insurance-licensed employees · 5 to 4
      Dec 15, 2014 to Mar 31, 2015
    • Financial planning clients · 26-50 to 11-25
      Dec 15, 2014 to Mar 31, 2015
    • State-registered IARs · 5 to 4
      Dec 15, 2014 to Mar 31, 2015
    • Discretionary RAUM · $18.3M to $7.3M
      Dec 15, 2014 to Mar 31, 2015
    • RAUM · $18.3M to $7.3M
      Dec 15, 2014 to Mar 31, 2015
    • HQ city · SAN FRANCISCO to SAN RAFAEL
      May 15, 2014 to Dec 15, 2014
    • Accounts · 787 to 51
      Mar 15, 2013 to Feb 24, 2014
    • Advisory employees · 5 to 7
      Mar 15, 2013 to Feb 24, 2014
    • Advisory activities · 4 to 2
      Mar 15, 2013 to Feb 24, 2014
    • Employees · 10 to 12
      Mar 15, 2013 to Feb 24, 2014
    • Insurance-licensed employees · 0 to 5
      Mar 15, 2013 to Feb 24, 2014
    • Financial planning clients · 251-500 to 26-50
      Mar 15, 2013 to Feb 24, 2014
    • State-registered IARs · 0 to 5
      Mar 15, 2013 to Feb 24, 2014
    • Discretionary RAUM · $310M to $18.3M
      Mar 15, 2013 to Feb 24, 2014
    • RAUM · $310M to $18.3M
      Mar 15, 2013 to Feb 24, 2014
    • Accounts · 350 to 787
      Sep 10, 2012 to Mar 15, 2013
    • Advisory employees · unset to 5.0
      Sep 10, 2012 to Mar 15, 2013
    • Employees · unset to 10.0
      Sep 10, 2012 to Mar 15, 2013
    • State-registered IARs · unset to 0.0
      Sep 10, 2012 to Mar 15, 2013
    • Discretionary RAUM · $320M to $310M
      Sep 10, 2012 to Mar 15, 2013
    • RAUM · $320M to $310M
      Sep 10, 2012 to Mar 15, 2013
    • Advisory activities · 3 to 4
      Jul 20, 2012 to Sep 10, 2012
    • Discretionary RAUM · $250M to $320M
      Jul 20, 2012 to Sep 10, 2012
    • RAUM · $250M to $320M
      Jul 20, 2012 to Sep 10, 2012
    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