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•••• C••••••••• G••••

Former SEC-registered adviserSanta Rosa, CaliforniaCRD 132757SEC 801-63518IAPD
Latest filing Mar 3, 2021
First filing on the tape Mar 12, 2012 · 16 filings
RAUM
$790M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
2.0%
$16.1M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$790M as of Mar 3, 2021
Apr 2, 2012$372M then
HNW client RAUM$6.4M as of Mar 27, 2020
Mar 20, 2018$6.4M then
State-registered IARs (5.B.3)0 as of Mar 3, 2021
Mar 26, 20130 then
Employees (5.A)2 as of Mar 3, 2021
Mar 26, 20131 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$11.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$774M98%
  • Individuals$16.1M2.0%
Individual clients
23reported
HNW clients
0reported
Pension plan clients
48reported
Charitable clients
0reported
Accounts
71reported
Financial planning clients
n/areported
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
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
    • T•••••• R•••• L••• · President/Chief Compliance Officercontrol
      since 09/2004 · owns 50% to 75%
    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 2
      Jun 18, 2020 to Mar 3, 2021
    • HNW clients · 2 to 0
      Jun 18, 2020 to Mar 3, 2021
    • Individual clients · 21 to 23
      Jun 18, 2020 to Mar 3, 2021
    • HNW RAUM · 6367494.0 to unset
      Jun 18, 2020 to Mar 3, 2021
    • Individual RAUM · $6.2M to $16.1M
      Jun 18, 2020 to Mar 3, 2021
    • Non-discretionary RAUM · $675M to $790M
      Jun 18, 2020 to Mar 3, 2021
    • Pension RAUM · $662M to $774M
      Jun 18, 2020 to Mar 3, 2021
    • RAUM · $675M to $790M
      Jun 18, 2020 to Mar 3, 2021
    • HNW clients · unset to 2.0
      Sep 12, 2019 to Mar 27, 2020
    • Pension plan clients · 50 to 48
      Sep 12, 2019 to Mar 27, 2020
    • HNW RAUM · $5.7M to $6.4M
      Sep 12, 2019 to Mar 27, 2020
    • Individual RAUM · $5.3M to $6.2M
      Sep 12, 2019 to Mar 27, 2020
    • Non-discretionary RAUM · $544M to $675M
      Sep 12, 2019 to Mar 27, 2020
    • Pension RAUM · $533M to $662M
      Sep 12, 2019 to Mar 27, 2020
    • RAUM · $544M to $675M
      Sep 12, 2019 to Mar 27, 2020
    • Accounts · 72 to 71
      Mar 20, 2018 to Mar 18, 2019
    • Individual clients · 28 to 21
      Mar 20, 2018 to Mar 18, 2019
    • HNW RAUM · $6.4M to $5.7M
      Mar 20, 2018 to Mar 18, 2019
    • Individual RAUM · $5.8M to $5.3M
      Mar 20, 2018 to Mar 18, 2019
    • Non-discretionary RAUM · $547M to $544M
      Mar 20, 2018 to Mar 18, 2019
    • Pension RAUM · $534M to $533M
      Mar 20, 2018 to Mar 18, 2019
    • RAUM · $547M to $544M
      Mar 20, 2018 to Mar 18, 2019
    • Accounts · 74 to 72
      Mar 20, 2017 to Mar 20, 2018
    • Advisory activities · 4 to 3
      Mar 20, 2017 to Mar 20, 2018
    • Charity clients · unset to 0.0
      Mar 20, 2017 to Mar 20, 2018
    • Corporate clients · unset to 0.0
      Mar 20, 2017 to Mar 20, 2018
    • Individual clients · unset to 28.0
      Mar 20, 2017 to Mar 20, 2018
    • Pension plan clients · unset to 50.0
      Mar 20, 2017 to Mar 20, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 20, 2017 to Mar 20, 2018
    • Other offices · unset to 0.0
      Mar 20, 2017 to Mar 20, 2018
    • HNW RAUM · unset to 6414387.0
      Mar 20, 2017 to Mar 20, 2018
    • Individual RAUM · unset to 5795435.0
      Mar 20, 2017 to Mar 20, 2018
    • Non-discretionary RAUM · $416M to $547M
      Mar 20, 2017 to Mar 20, 2018
    • Pension RAUM · unset to 534366473.0
      Mar 20, 2017 to Mar 20, 2018
    • RAUM · $416M to $547M
      Mar 20, 2017 to Mar 20, 2018
    • Accounts · 70 to 74
      Apr 1, 2016 to Mar 20, 2017
    • Non-discretionary RAUM · $380M to $416M
      Apr 1, 2016 to Mar 20, 2017
    • RAUM · $380M to $416M
      Apr 1, 2016 to Mar 20, 2017
    • Accounts · 60 to 70
      Mar 31, 2015 to Apr 1, 2016
    • Non-discretionary RAUM · $363M to $380M
      Mar 31, 2015 to Apr 1, 2016
    Signals
    1 dated events
    • E•••• C••••••••• G•••• reported RAUM $546.6M, up 31% from $416.1M (2017-03-20 to 2018-03-20)
      Mar 20, 2018 · RAUM change · derived
    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