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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SEC-registered adviser
C••••• C•••••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Apr 3, 2012 · 11 filings
SEC status approved since May 3, 2022
RAUM
$232M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$232M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$232M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$232M as of Mar 20, 2026
Apr 3, 2012$31.3M then
HNW client RAUM$221M as of Mar 20, 2026
Mar 31, 2023$124M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Apr 3, 20120 then
Employees (5.A)1 as of Mar 20, 2026
Mar 31, 20231 then
Private funds: no history
RAUM +9.0% over the last fiscal year+21% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $232MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$221M95%
- Individuals$10.5M4.5%
- Individual clients
- 26reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 157reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• E••••• C••••• | Burbank, Ca | Dec 16, 2004 | 32 y | 1 |
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
Left, latest
none on the tape
Joined, latest
- D••••• E••••• C••••• from C•••••••• G••••• M•••••• I•••Dec 16, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••••• E••••• · President & Ceo, Chief Compliance Officercontrolsince 12/2004 · 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 · 155 to 157Mar 21, 2025 to Mar 20, 2026
- Other offices · 0 to 1Mar 21, 2025 to Mar 20, 2026
- Discretionary RAUM · $209M to $228MMar 21, 2025 to Mar 20, 2026
- HNW RAUM · $202M to $221MMar 21, 2025 to Mar 20, 2026
- Individual RAUM · $10.6M to $10.5MMar 21, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $3.9M to $4.2MMar 21, 2025 to Mar 20, 2026
- RAUM · $213M to $232MMar 21, 2025 to Mar 20, 2026
- Accounts · 67 to 155Mar 29, 2024 to Mar 21, 2025
- HNW clients · 41 to 42Mar 29, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 21, 2025
- HQ city · unset to BURBANKMar 29, 2024 to Mar 21, 2025
- HQ state · unset to CAMar 29, 2024 to Mar 21, 2025
- Discretionary RAUM · $183M to $209MMar 29, 2024 to Mar 21, 2025
- HNW RAUM · $178M to $202MMar 29, 2024 to Mar 21, 2025
- Individual RAUM · $8.4M to $10.6MMar 29, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $3.5M to $3.9MMar 29, 2024 to Mar 21, 2025
- RAUM · $186M to $213MMar 29, 2024 to Mar 21, 2025
- Discretionary RAUM · $128M to $183MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $124M to $178MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $6.3M to $8.4MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $2.4M to $3.5MMar 31, 2023 to Mar 28, 2024
- RAUM · $130M to $186MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $163M to $128MApr 8, 2022 to Mar 31, 2023
- HNW RAUM · $158M to $124MApr 8, 2022 to Mar 31, 2023
- Individual RAUM · $8.5M to $6.3MApr 8, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $3.0M to $2.4MApr 8, 2022 to Mar 31, 2023
- RAUM · $166M to $130MApr 8, 2022 to Mar 31, 2023
- Accounts · 71 to 67Jul 26, 2012 to Mar 31, 2022
- Advisory employees · unset to 1.0Jul 26, 2012 to Mar 31, 2022
- Advisory activities · 3 to 1Jul 26, 2012 to Mar 31, 2022
- HNW clients · unset to 41.0Jul 26, 2012 to Mar 31, 2022
- Individual clients · unset to 26.0Jul 26, 2012 to Mar 31, 2022
- Employees · unset to 1.0Jul 26, 2012 to Mar 31, 2022
- HQ city · BURBANK to unsetJul 26, 2012 to Mar 31, 2022
- HQ state · CA to unsetJul 26, 2012 to Mar 31, 2022
- State-registered IARs · 0 to 1Jul 26, 2012 to Mar 31, 2022
- Other offices · unset to 0.0Jul 26, 2012 to Mar 31, 2022
- Discretionary RAUM · $30.5M to $163MJul 26, 2012 to Mar 31, 2022
- HNW RAUM · unset to 157550000.0Jul 26, 2012 to Mar 31, 2022
- Individual RAUM · unset to 8500500.0Jul 26, 2012 to Mar 31, 2022
Signals
1 dated events
- C••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 31, 2022 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 213-434-1145reportedpublic record, Form ADV, Mar 20, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $232Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026