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.

Former SEC-registered adviser

Strategic Portfolio Advisors

Former SEC-registered adviserLas Vegas, NevadaCRD 132825SEC 801-80703IAPD
Latest filing Feb 5, 2015
First filing on the tape Nov 28, 2011 · 8 filings
RAUM
$110M
reported, Item 5.F
Discretionary
2.7%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$110M as of Feb 5, 2015
Mar 26, 2012$79.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds: no history
RAUM n/a over the last fiscal year+11% a year over three
Practice profile
derived from the filing of Feb 5, 2015; every figure names its basis
RAUM per advisor
$110MderivedRAUM 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
$385,141derivedRAUM over accounts (5.F.2.f)
Discretionary
2.7%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, 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
  • 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)
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
285reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Rebecca Ann BuckleyCertified Financial PlannerLas Vegas, NvMay 1, 200944 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • John Donald Raatz · Chief Executive Officer, Chief Compliance Officercontrol
    since 02/2003 · 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 · 283 to 285
    Dec 2, 2014 to Feb 5, 2015
  • Discretionary RAUM · $22.0M to $3.0M
    Dec 2, 2014 to Feb 5, 2015
  • Non-discretionary RAUM · $84.0M to $107M
    Dec 2, 2014 to Feb 5, 2015
  • RAUM · $106M to $110M
    Dec 2, 2014 to Feb 5, 2015
  • Accounts · 271 to 283
    Jun 12, 2012 to Dec 2, 2014
  • Advisory employees · unset to 4.0
    Jun 12, 2012 to Dec 2, 2014
  • Employees · unset to 4.0
    Jun 12, 2012 to Dec 2, 2014
  • State-registered IARs · unset to 0.0
    Jun 12, 2012 to Dec 2, 2014
  • Discretionary RAUM · $0 to $22.0M
    Jun 12, 2012 to Dec 2, 2014
  • Non-discretionary RAUM · $79.6M to $84.0M
    Jun 12, 2012 to Dec 2, 2014
  • RAUM · $79.6M to $106M
    Jun 12, 2012 to Dec 2, 2014
  • Non-discretionary RAUM · $79.7M to $79.6M
    Mar 22, 2012 to Mar 26, 2012
  • RAUM · $79.7M to $79.6M
    Mar 22, 2012 to Mar 26, 2012
  • Accounts · 270 to 271
    Feb 9, 2012 to Mar 22, 2012
  • Non-discretionary RAUM · $80.5M to $79.7M
    Feb 9, 2012 to Mar 22, 2012
  • RAUM · $80.5M to $79.7M
    Feb 9, 2012 to Mar 22, 2012
  • Accounts · 252 to 270
    Nov 28, 2011 to Feb 9, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 28, 2011 to Feb 9, 2012
  • Non-discretionary RAUM · $88.6M to $80.5M
    Nov 28, 2011 to Feb 9, 2012
  • RAUM · $88.6M to $80.5M
    Nov 28, 2011 to Feb 9, 2012
Signals
1 dated events
  • Strategic Portfolio Advisors filed its initial SEC registration (Form ADV)
    Dec 2, 2014 · 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
$110Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026