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

M•••••••• W••••• A•••••••• I•••

Former SEC-registered adviserM•••••••• Beach, CaliforniaCRD 131650SEC 801-63186IAPD
Latest filing Mar 23, 2015
First filing on the tape Mar 6, 2012 · 6 filings
RAUM
$134M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$134M as of Mar 23, 2015
Mar 6, 2012$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2015
Mar 6, 20120 then
Employees (5.A)3 as of Mar 23, 2015
Mar 13, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year-0.9% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 23, 2015; every figure names its basis
RAUM per advisor
$134MderivedRAUM 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
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-50%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 individuals, portfolio management for businesses and institutions, pension consulting, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
132reported
Financial planning clients
101-250reported
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
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
      • K••••••••• Y••••• S••• · President And Chief Compliance Officercontrol
        since 04/2001 · 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 · 128 to 132
        Mar 27, 2014 to Mar 23, 2015
      • Advisory employees · 2 to 1
        Mar 27, 2014 to Mar 23, 2015
      • Employees · 4 to 3
        Mar 27, 2014 to Mar 23, 2015
      • Financial planning clients · 51-100 to 101-250
        Mar 27, 2014 to Mar 23, 2015
      • State-registered IARs · 2 to 1
        Mar 27, 2014 to Mar 23, 2015
      • Discretionary RAUM · $116M to $134M
        Mar 27, 2014 to Mar 23, 2015
      • RAUM · $116M to $134M
        Mar 27, 2014 to Mar 23, 2015
      • Accounts · 1,650 to 128
        Mar 19, 2013 to Mar 27, 2014
      • Employees · 3 to 4
        Mar 19, 2013 to Mar 27, 2014
      • Discretionary RAUM · $70.8M to $116M
        Mar 19, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $23.6M to $0
        Mar 19, 2013 to Mar 27, 2014
      • RAUM · $94.5M to $116M
        Mar 19, 2013 to Mar 27, 2014
      • Accounts · 1,200 to 1,650
        Feb 1, 2013 to Mar 13, 2013
      • Discretionary RAUM · $130M to $70.8M
        Feb 1, 2013 to Mar 13, 2013
      • Non-discretionary RAUM · $7.6M to $23.6M
        Feb 1, 2013 to Mar 13, 2013
      • RAUM · $137M to $94.5M
        Feb 1, 2013 to Mar 13, 2013
      • Advisory employees · unset to 2.0
        Mar 6, 2012 to Feb 1, 2013
      • BD registered reps · unset to 3.0
        Mar 6, 2012 to Feb 1, 2013
      • Employees · unset to 3.0
        Mar 6, 2012 to Feb 1, 2013
      • State-registered IARs · 0 to 2
        Mar 6, 2012 to Feb 1, 2013
      • Related adviser · false to true
        Mar 6, 2012 to Feb 1, 2013
      • Related broker-dealer · false to true
        Mar 6, 2012 to Feb 1, 2013
      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