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

Greenberg Graham Advisors LLC

Former SEC-registered adviserIrvine, CaliforniaCRD 128726SEC 801-62610IAPD
Latest filing Mar 20, 2014
First filing on the tape Nov 11, 2011 · 10 filings
RAUM
$74.0M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$174M as of Feb 22, 2013
Jan 24, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 3
Private funds: no history
RAUM -54% over the last fiscal year
Practice profile
derived from the filing of Mar 20, 2014; every figure names its basis
RAUM per advisor
$24.7MderivedRAUM 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
$440,476derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.0%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
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
168reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Richard James Graham · Principal, Ccocontrol
    since 09/2003 · 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
  • Advisory activities · 3 to 4
    Feb 6, 2014 to Mar 7, 2014
  • Accounts · 288 to 168
    Jun 17, 2013 to Feb 6, 2014
  • Advisory employees · 1 to 3
    Jun 17, 2013 to Feb 6, 2014
  • Employees · 2 to 4
    Jun 17, 2013 to Feb 6, 2014
  • State-registered IARs · 1 to 3
    Jun 17, 2013 to Feb 6, 2014
  • Discretionary RAUM · $159M to $74.0M
    Jun 17, 2013 to Feb 6, 2014
  • Non-discretionary RAUM · $15.4M to $0
    Jun 17, 2013 to Feb 6, 2014
  • RAUM · $174M to $74.0M
    Jun 17, 2013 to Feb 6, 2014
  • State-registered IARs · 0 to 1
    Jun 13, 2013 to Jun 17, 2013
  • Advisory employees · 2 to 1
    Feb 22, 2013 to Jun 13, 2013
  • Employees · 3 to 2
    Feb 22, 2013 to Jun 13, 2013
  • Accounts · 271 to 288
    Jan 24, 2012 to Feb 22, 2013
  • Advisory employees · unset to 2.0
    Jan 24, 2012 to Feb 22, 2013
  • Employees · unset to 3.0
    Jan 24, 2012 to Feb 22, 2013
  • State-registered IARs · unset to 0.0
    Jan 24, 2012 to Feb 22, 2013
  • Discretionary RAUM · $135M to $159M
    Jan 24, 2012 to Feb 22, 2013
  • Non-discretionary RAUM · $24.6M to $15.4M
    Jan 24, 2012 to Feb 22, 2013
  • RAUM · $160M to $174M
    Jan 24, 2012 to Feb 22, 2013
  • Accounts · 261 to 271
    Nov 18, 2011 to Jan 24, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 18, 2011 to Jan 24, 2012
  • Discretionary RAUM · $156M to $135M
    Nov 18, 2011 to Jan 24, 2012
  • Non-discretionary RAUM · $26.1M to $24.6M
    Nov 18, 2011 to Jan 24, 2012
  • RAUM · $182M to $160M
    Nov 18, 2011 to Jan 24, 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