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
E•••••••• M••••• A•••••••• L••
Latest filing Mar 28, 2017
First filing on the tape Nov 11, 2011 · 21 filings
RAUM
$808M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$808M as of Mar 28, 2017
Mar 1, 2012$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2017
Feb 15, 20133 then
Employees (5.A)2 as of Mar 28, 2017
Feb 15, 20139 then
Private funds: no history
RAUM +58% over the last fiscal year+23% a year over threeIARs 7 to 1
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
- RAUM per advisor
- $808MderivedRAUM 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
- $436,520derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- -86%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, 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
- 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
- 1,851reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- L••• A•••••• C•••• to O•••••• W••••• M••••••••• L••Oct 10, 2017 · Other
- C••• D••••• R••••••• to C••••• F••••••••• I••••••••• A•••••••Mar 24, 2017 · Other
- B••••••• G• B•••••• to C••••• F••••••••• I••••••••• A•••••••Mar 24, 2017 · Other
- G•••• A••••• to C••••• F••••••••• I••••••••• A•••••••Mar 24, 2017 · Other
- S•••••• M••••• to C••••• F••••••••• I••••••••• A•••••••Mar 24, 2017 · Other
- K•••• G••••• K•••• to B•••••• I••••••••• P•••••••• L•Aug 1, 2011 · Other
- T••• A••• V•••••• to D••••• • G••• S••••••••• I•••Nov 23, 2010 · Other
- P•••• R•••••• G•••••• to G•••••• W••••• M••••••••• L••Nov 21, 2009 · Other
- M••• A•• S••••••• to A••••••••• F•••••••• S•••••••• L••May 28, 2009 · Other
Joined, latest
- G•••• A••••• from M••••• S••••••Nov 30, 2012 · Other
- K•••• G••••• K•••• from S•••••••• F••••••••• I•••Dec 8, 2010 · Other
- T••• A••• V•••••• from W•••• F•••• I••••••••• L••Mar 24, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for C••••• F••••••••• I••••••••• A•••••••Mar 24, 2017 · La Jolla, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• H••••••• W•••••• · Ceo / Chief Investment Officer & Chief Compliance Officercontrolsince 07/2004 · owns 25% to 50%
- M•••••• M•••• P••••••• · Ownercontrolsince 07/2004 · owns 25% to 50%
- A•••••••• J••••••• C••••••• · Ownersince 01/2008 · owns less than 5%
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
- Accounts · 2,168 to 1,851Jun 30, 2016 to Mar 28, 2017
- Advisory employees · 7 to 2Jun 30, 2016 to Mar 28, 2017
- Employees · 11 to 2Jun 30, 2016 to Mar 28, 2017
- State-registered IARs · 7 to 1Jun 30, 2016 to Mar 28, 2017
- Discretionary RAUM · $512M to $808MJun 30, 2016 to Mar 28, 2017
- RAUM · $512M to $808MJun 30, 2016 to Mar 28, 2017
- HQ city · SAN DIEGO to LA JOLLAMar 30, 2016 to Jun 30, 2016
- Accounts · 3,835 to 2,168Sep 28, 2015 to Mar 30, 2016
- Advisory employees · 5 to 7Sep 28, 2015 to Mar 30, 2016
- State-registered IARs · 8 to 7Sep 28, 2015 to Mar 30, 2016
- Discretionary RAUM · $448M to $512MSep 28, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $179M to $0Sep 28, 2015 to Mar 30, 2016
- RAUM · $627M to $512MSep 28, 2015 to Mar 30, 2016
- Accounts · 4,512 to 3,835Mar 30, 2015 to Sep 28, 2015
- Discretionary RAUM · $458M to $448MMar 30, 2015 to Sep 28, 2015
- Non-discretionary RAUM · $124M to $179MMar 30, 2015 to Sep 28, 2015
- RAUM · $583M to $627MMar 30, 2015 to Sep 28, 2015
- Accounts · 1,707 to 4,512Jan 5, 2015 to Mar 30, 2015
- Discretionary RAUM · $435M to $458MJan 5, 2015 to Mar 30, 2015
- Non-discretionary RAUM · $68.2M to $124MJan 5, 2015 to Mar 30, 2015
- RAUM · $504M to $583MJan 5, 2015 to Mar 30, 2015
- Accounts · 1,569 to 1,707Mar 27, 2014 to Jul 10, 2014
- Discretionary RAUM · $398M to $435MMar 27, 2014 to Jul 10, 2014
- Non-discretionary RAUM · $35.6M to $68.2MMar 27, 2014 to Jul 10, 2014
- RAUM · $434M to $504MMar 27, 2014 to Jul 10, 2014
- Accounts · 1,375 to 1,569Sep 23, 2013 to Mar 27, 2014
- Advisory employees · 6 to 5Sep 23, 2013 to Mar 27, 2014
- Employees · 9 to 11Sep 23, 2013 to Mar 27, 2014
- Insurance-licensed employees · 0 to 1Sep 23, 2013 to Mar 27, 2014
- State-registered IARs · 3 to 8Sep 23, 2013 to Mar 27, 2014
- Discretionary RAUM · $331M to $398MSep 23, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $9.4M to $35.6MSep 23, 2013 to Mar 27, 2014
- RAUM · $341M to $434MSep 23, 2013 to Mar 27, 2014
- Related adviser · false to trueSep 23, 2013 to Mar 27, 2014
- Accounts · 1,162 to 1,375Jun 20, 2013 to Sep 11, 2013
- Discretionary RAUM · $278M to $331MJun 20, 2013 to Sep 11, 2013
- Non-discretionary RAUM · $172,500 to $9.4MJun 20, 2013 to Sep 11, 2013
- RAUM · $278M to $341MJun 20, 2013 to Sep 11, 2013
- Accounts · 1,146 to 1,162Feb 15, 2013 to Mar 18, 2013
- HQ city · DEL MAR to SAN DIEGOFeb 15, 2013 to Mar 18, 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