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

R••••• F••••••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 133658SEC 801-113975IAPD
Latest filing Feb 5, 2021
First filing on the tape Jan 31, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$138M as of Feb 27, 2020
Mar 15, 2012$41.5M then
HNW client RAUM$60.1M as of Feb 27, 2020
Mar 13, 2019$49.5M then
State-registered IARs (5.B.3)2 as of Jan 28, 2021
Mar 13, 20193 then
Employees (5.A)4 as of Jan 28, 2021
Mar 13, 20197 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 5, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourlyreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 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
  • 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
n/areported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••••• S•••••• W• · President, Chief Compliance Officer, Chief Financial Officer, Director, Trusteecontrol
    since 07/2010 · owns less than 5%
  • S•••••• S•••• P••• · Director, Secretary, Vice President, Trusteecontrol
    since 06/2012 · owns less than 5%
  • P••••••• S•••••• W• · Trusteecontrol
    since 07/2010 · owns 75% or more of P•••••• F••••• T••••
  • S•••••• S•••• P••• · Trusteecontrol
    since 06/2012 · owns 75% or more of S••••• F••••• T••••
Entity owners
  • P•••••• F••••• T•••• · Shareholder
    direct · owns 50% to 75%
  • S••••• F••••• T•••• · Shareholder
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R••••• F•••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • BD registered reps · 2 to 3
    Jan 4, 2021 to Jan 28, 2021
  • Financial planning clients · 26-50 to 11-25
    Jan 4, 2021 to Jan 28, 2021
  • Accounts · 432.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Advisory activities · 3 to 2
    Jun 17, 2020 to Dec 1, 2020
  • HNW clients · 33.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Individual clients · 245.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Pension plan clients · 8.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Employees · 5 to 4
    Jun 17, 2020 to Dec 1, 2020
  • Discretionary RAUM · 137955000.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • HNW RAUM · 60108000.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Individual RAUM · 75287000.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Non-discretionary RAUM · 0.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Pension RAUM · 2560000.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • RAUM · 137955000.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Wrap assets (manager) · 130876871.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Wrap assets (sponsor) · 0.0 to unset
    Jun 17, 2020 to Dec 1, 2020
  • Accounts · 438 to 432
    Mar 13, 2019 to Feb 27, 2020
  • Advisory employees · 3 to 2
    Mar 13, 2019 to Feb 27, 2020
  • BD registered reps · 3 to 2
    Mar 13, 2019 to Feb 27, 2020
  • HNW clients · 28 to 33
    Mar 13, 2019 to Feb 27, 2020
  • Individual clients · 246 to 245
    Mar 13, 2019 to Feb 27, 2020
  • Pension plan clients · 7 to 8
    Mar 13, 2019 to Feb 27, 2020
  • Employees · 7 to 5
    Mar 13, 2019 to Feb 27, 2020
  • Insurance-licensed employees · 3 to 2
    Mar 13, 2019 to Feb 27, 2020
  • Financial planning clients · 101-250 to 26-50
    Mar 13, 2019 to Feb 27, 2020
  • State-registered IARs · 3 to 2
    Mar 13, 2019 to Feb 27, 2020
  • Other offices · 1 to 0
    Mar 13, 2019 to Feb 27, 2020
  • Discretionary RAUM · $119M to $138M
    Mar 13, 2019 to Feb 27, 2020
  • HNW RAUM · $49.5M to $60.1M
    Mar 13, 2019 to Feb 27, 2020
  • Individual RAUM · $69.4M to $75.3M
    Mar 13, 2019 to Feb 27, 2020
  • Non-discretionary RAUM · $2.5M to $0
    Mar 13, 2019 to Feb 27, 2020
  • Pension RAUM · $2.5M to $2.6M
    Mar 13, 2019 to Feb 27, 2020
  • RAUM · $121M to $138M
    Mar 13, 2019 to Feb 27, 2020
  • Related insurance company · true to false
    Mar 13, 2019 to Feb 27, 2020
  • Wrap assets (manager) · $88.0M to $131M
    Mar 13, 2019 to Feb 27, 2020
  • Accounts · 402 to 438
    Dec 21, 2018 to Mar 13, 2019
  • Advisory employees · 4 to 3
    Dec 21, 2018 to Mar 13, 2019
  • BD registered reps · 4 to 3
    Dec 21, 2018 to Mar 13, 2019
  • Individual clients · 223 to 246
    Dec 21, 2018 to Mar 13, 2019
  • Pension plan clients · unset to 7.0
    Dec 21, 2018 to Mar 13, 2019
Signals
3 dated events
  • S••• P••• S••••• no longer registered at R••••• F••••••••; no later IA registration on IAPD
    Jun 30, 2022 · Advisor departure · fact
  • S••••• W• P•••••• no longer registered at R••••• F••••••••; no later IA registration on IAPD
    Jun 30, 2022 · Advisor departure · fact
  • R••••• F•••••••• filed its initial SEC registration (Form ADV)
    Aug 13, 2018 · 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