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•••••••• I••••••••• M•••••••• I•••

Former SEC-registered adviserStockton, CaliforniaCRD 132536SEC 801-118680IAPD
Latest filing Jun 10, 2021
First filing on the tape Feb 24, 2012 · 9 filings
RAUM
$140M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
98%
$137M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$140M as of Mar 10, 2021
Feb 24, 2012$64.0M then
HNW client RAUM: $69.3M
State-registered IARs (5.B.3)2 as of Mar 10, 2021
Feb 24, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 10, 2021; every figure names its basis
RAUM per advisor
$70.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
305derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$128,737derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$47.0M, 169 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
  • 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)
  • 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$69.3M49%
  • Individuals$68.1M49%
  • Pension and profit-sharing plans$2.9M2.1%
Individual clients
561reported
HNW clients
48reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,090reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$47.0M for 169 clientsreported
Compensation
% of AUM, 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
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
    • S••••• A•••••• K•••••• · President & Chief Compliance Officercontrol
      since 06/2021 · 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
    • Accounts · 1,053 to 1,090
      Dec 21, 2020 to Mar 10, 2021
    • HNW clients · 41 to 48
      Dec 21, 2020 to Mar 10, 2021
    • Individual clients · 339 to 561
      Dec 21, 2020 to Mar 10, 2021
    • Assets in custody · $48.5M to $47.0M
      Dec 21, 2020 to Mar 10, 2021
    • Discretionary RAUM · $103M to $127M
      Dec 21, 2020 to Mar 10, 2021
    • HNW RAUM · $45.9M to $69.3M
      Dec 21, 2020 to Mar 10, 2021
    • Individual RAUM · $71.5M to $68.1M
      Dec 21, 2020 to Mar 10, 2021
    • Non-discretionary RAUM · $17.2M to $13.0M
      Dec 21, 2020 to Mar 10, 2021
    • Pension RAUM · $2.6M to $2.9M
      Dec 21, 2020 to Mar 10, 2021
    • RAUM · $120M to $140M
      Dec 21, 2020 to Mar 10, 2021
    • Accounts · 963 to 1,053
      Apr 5, 2012 to Apr 8, 2020
    • Advisory employees · unset to 2.0
      Apr 5, 2012 to Apr 8, 2020
    • HNW clients · unset to 41.0
      Apr 5, 2012 to Apr 8, 2020
    • Individual clients · unset to 339.0
      Apr 5, 2012 to Apr 8, 2020
    • Assets in custody · unset to 48451329.0
      Apr 5, 2012 to Apr 8, 2020
    • Custody of client assets · false to true
      Apr 5, 2012 to Apr 8, 2020
    • Employees · unset to 3.0
      Apr 5, 2012 to Apr 8, 2020
    • Financial planning clients · 0 to 1-10
      Apr 5, 2012 to Apr 8, 2020
    • State-registered IARs · 0 to 2
      Apr 5, 2012 to Apr 8, 2020
    • Other offices · unset to 0.0
      Apr 5, 2012 to Apr 8, 2020
    • Discretionary RAUM · $60.8M to $103M
      Apr 5, 2012 to Apr 8, 2020
    • HNW RAUM · unset to 45939589.0
      Apr 5, 2012 to Apr 8, 2020
    • Individual RAUM · unset to 71511749.0
      Apr 5, 2012 to Apr 8, 2020
    • Non-discretionary RAUM · $3.2M to $17.2M
      Apr 5, 2012 to Apr 8, 2020
    • Pension RAUM · unset to 2584974.0
      Apr 5, 2012 to Apr 8, 2020
    • RAUM · $64.0M to $120M
      Apr 5, 2012 to Apr 8, 2020
    • Related insurance company · true to false
      Apr 5, 2012 to Apr 8, 2020
    Signals
    2 dated events
    • Lee Michael Dalton (President) no longer on Schedule A of A•••••••• I••••••••• M•••••••• I••• (listed 2021-05-10, absent 2021-06-10)
      Jun 10, 2021 · Control person left · inference
    • A•••••••• I••••••••• M•••••••• I••• filed its initial SEC registration (Form ADV)
      Apr 8, 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