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
A•••• A•••••••• L••
Latest filing Feb 27, 2024
First filing on the tape Jan 27, 2020 · 11 filings
SEC status approved since Feb 24, 2020
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M 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
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$224M as of Feb 27, 2024
Jan 28, 2021$150M then
HNW client RAUM$198M as of Feb 27, 2024
Jan 28, 2021$132M then
State-registered IARs (5.B.3)2 as of Feb 27, 2024
Jan 28, 20212 then
Employees (5.A)3 as of Feb 27, 2024
Jan 28, 20213 then
Private funds: no history
RAUM +25% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2024; every figure names its basis
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $290,606derivedRAUM 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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $36.0M, 58 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M88%
- Individuals$26.0M12%
- Individual clients
- 125reported
- HNW clients
- 137reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 771reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.0M for 58 clientsreported
- 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
- M•••••• P••• S••••••• to A•••• W••••• M••••••••• L••Dec 31, 2024 · RIA to RIA
- S••• S•••••• to A•••• W••••• M••••••••• L••Dec 31, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••• W••••• M••••••••• L••Dec 31, 2024 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M••••••• P••• · Chief Compliance Officer, President, And Managing Membercontrolsince 08/2014 · owns less than 5%
- S•••••••• M••••••• P••• · Ownercontrolsince 01/2010 · owns 50% to 75% of M•••••• A•• V••• S••••••• F••••• T••••
- S•••••••• V••• · Ownercontrolsince 01/2010 · owns 50% to 75% of M•••••• A•• V••• S••••••• F••••• T••••
Entity owners
- M•••••• A•• V••• S••••••• F••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Redwood City, CA
- San Francisco, CA
What changed
consecutive filings, newest first
- Accounts · 681 to 771Sep 7, 2023 to Feb 27, 2024
- HNW clients · 130 to 137Sep 7, 2023 to Feb 27, 2024
- Individual clients · 122 to 125Sep 7, 2023 to Feb 27, 2024
- Assets in custody · $45.1M to $36.0MSep 7, 2023 to Feb 27, 2024
- Employees · 2 to 3Sep 7, 2023 to Feb 27, 2024
- Discretionary RAUM · $179M to $224MSep 7, 2023 to Feb 27, 2024
- HNW RAUM · $157M to $198MSep 7, 2023 to Feb 27, 2024
- Individual RAUM · $21.9M to $26.0MSep 7, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $155,680 to $137,745Sep 7, 2023 to Feb 27, 2024
- RAUM · $179M to $224MSep 7, 2023 to Feb 27, 2024
- Related insurance company · false to trueSep 7, 2023 to Feb 27, 2024
- Accounts · 641 to 681Nov 3, 2022 to Feb 6, 2023
- HNW clients · 129 to 130Nov 3, 2022 to Feb 6, 2023
- Individual clients · 126 to 122Nov 3, 2022 to Feb 6, 2023
- Assets in custody · $27.5M to $45.1MNov 3, 2022 to Feb 6, 2023
- Employees · 3 to 2Nov 3, 2022 to Feb 6, 2023
- Financial planning clients · 11-25 to 1-10Nov 3, 2022 to Feb 6, 2023
- Discretionary RAUM · $205M to $179MNov 3, 2022 to Feb 6, 2023
- HNW RAUM · $16.2M to $157MNov 3, 2022 to Feb 6, 2023
- Individual RAUM · $188M to $21.9MNov 3, 2022 to Feb 6, 2023
- Non-discretionary RAUM · $152,023 to $155,680Nov 3, 2022 to Feb 6, 2023
- RAUM · $205M to $179MNov 3, 2022 to Feb 6, 2023
- Accounts · 559 to 641Oct 7, 2021 to Feb 2, 2022
- BD registered reps · 0 to 1Oct 7, 2021 to Feb 2, 2022
- HNW clients · 97 to 129Oct 7, 2021 to Feb 2, 2022
- Individual clients · 122 to 126Oct 7, 2021 to Feb 2, 2022
- Assets in custody · $15.0M to $27.5MOct 7, 2021 to Feb 2, 2022
- Financial planning clients · 1-10 to 11-25Oct 7, 2021 to Feb 2, 2022
- Other offices · 1 to 2Oct 7, 2021 to Feb 2, 2022
- Discretionary RAUM · $150M to $205MOct 7, 2021 to Feb 2, 2022
- HNW RAUM · $132M to $16.2MOct 7, 2021 to Feb 2, 2022
- Individual RAUM · $18.7M to $188MOct 7, 2021 to Feb 2, 2022
- Non-discretionary RAUM · $124,155 to $152,023Oct 7, 2021 to Feb 2, 2022
- RAUM · $150M to $205MOct 7, 2021 to Feb 2, 2022
- Accounts · 461 to 559Jul 17, 2020 to Jan 28, 2021
- Advisory employees · 1 to 2Jul 17, 2020 to Jan 28, 2021
- HNW clients · 41 to 97Jul 17, 2020 to Jan 28, 2021
- Individual clients · 76 to 122Jul 17, 2020 to Jan 28, 2021
- Assets in custody · unset to 14969068.0Jul 17, 2020 to Jan 28, 2021
- Custody of client assets · false to trueJul 17, 2020 to Jan 28, 2021
Signals
5 dated events
- A•••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $224.1M)Mar 6, 2025 · Left the SEC roster · derived
- S••• S•••••• left A•••• A•••••••• L•• for A•••• W••••• M••••••••• L•• (registered 2024-10-23)Dec 31, 2024 · Advisor changed firm · fact
- M•••••• P••• S••••••• left A•••• A•••••••• L•• for A•••• W••••• M••••••••• L•• (registered 2025-10-17)Dec 31, 2024 · Advisor changed firm · fact
- 2 advisors left A•••• A•••••••• L•• (San Diego, CA) for A•••• W••••• M••••••••• L•• on the same dayDec 31, 2024 · Team lift-out · derived
- A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 27, 2020 · 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