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

S••••• O•• W••••• A•••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 133904SEC 801-63906IAPD
Legal name S••••• O•• W••••• A•••••••• L••
Latest filing Mar 9, 2017
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$209M as of Mar 9, 2017
Mar 30, 2012$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 9, 2017
Mar 30, 20120 then
Employees (5.A)4 as of Mar 9, 2017
Apr 1, 20135 then
Private funds: no history
RAUM +7.3% over the last fiscal year+5.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 2017; every figure names its basis
RAUM per advisor
$69.6MderivedRAUM 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
$401,036derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
521reported
Financial planning clients
11-25reported
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
Left, latest
none on the tape
    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
      • F••••••• J•••• H• · Managing Member, Chief Compliance Officercontrol
        since 01/2005 · owns 75% or more
      Related persons
      Schedule D 7.A
      • J••• F••••••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 512 to 521
        Mar 25, 2016 to Mar 9, 2017
      • Advisory employees · 4 to 3
        Mar 25, 2016 to Mar 9, 2017
      • Employees · 6 to 4
        Mar 25, 2016 to Mar 9, 2017
      • Discretionary RAUM · $195M to $209M
        Mar 25, 2016 to Mar 9, 2017
      • RAUM · $195M to $209M
        Mar 25, 2016 to Mar 9, 2017
      • Accounts · 492 to 512
        May 22, 2015 to Mar 25, 2016
      • Advisory employees · 5 to 4
        May 22, 2015 to Mar 25, 2016
      • Discretionary RAUM · $187M to $195M
        May 22, 2015 to Mar 25, 2016
      • RAUM · $187M to $195M
        May 22, 2015 to Mar 25, 2016
      • Accounts · 461 to 492
        Mar 31, 2014 to Mar 30, 2015
      • Advisory employees · 3 to 5
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 5 to 6
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $176M to $187M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $176M to $187M
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 385 to 461
        Apr 1, 2013 to Mar 31, 2014
      • Advisory activities · 4 to 5
        Apr 1, 2013 to Mar 31, 2014
      • Commission compensation · true to false
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $137M to $176M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $137M to $176M
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 281 to 385
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Mar 30, 2012 to Apr 1, 2013
      • Financial planning clients · 1-10 to 11-25
        Mar 30, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 3
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $109M to $137M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $109M to $137M
        Mar 30, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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