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••••••• A•••• F•••••••• A•••••••
Legal name E••••••• A•••• F•••••••• A•••••••• L••
Latest filing May 11, 2026
First filing on the tape Mar 11, 2025 · 3 filings
SEC status approved since Apr 10, 2025
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$107M as of May 11, 2026
Mar 11, 2025$121M then
HNW client RAUM$79.1M as of May 11, 2026
Mar 11, 2025$39.4M then
State-registered IARs (5.B.3)1 as of May 11, 2026
Mar 11, 20252 then
Employees (5.A)1 as of May 11, 2026
Mar 11, 20252 then
Private funds: no history
RAUM -12% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of May 11, 2026; every figure names its basis
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 154derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $347,329derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$79.1M74%
- Individuals$25.3M24%
- Pension and profit-sharing plans$2.2M2.1%
- Individual clients
- 117reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 307reported
- Financial planning clients
- 101-250reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- V••••••• E••••••• A•••• to M••••• G••••• A••••••• I•••Jul 30, 2026 · RIA to RIA
- J••••••• K• S••••• to K••• C•••••• G••••May 8, 2026 · RIA to a state-registered adviser
Joined, latest
- J••••••• K• S••••• from L•• F•••••••• L••Jan 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- V••••••• E••••••• A•••• from C••••••••• F•••••••• N••••••Mar 14, 2017 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Thousand Oaks, Ca · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 398 to 307Mar 11, 2025 to Feb 5, 2026
- Advisory employees · 2 to 1Mar 11, 2025 to Feb 5, 2026
- HNW clients · 23 to 37Mar 11, 2025 to Feb 5, 2026
- Individual clients · 127 to 117Mar 11, 2025 to Feb 5, 2026
- Pension plan clients · 2 to 1Mar 11, 2025 to Feb 5, 2026
- Employees · 2 to 1Mar 11, 2025 to Feb 5, 2026
- State-registered IARs · 2 to 1Mar 11, 2025 to Feb 5, 2026
- Discretionary RAUM · $121M to $107MMar 11, 2025 to Feb 5, 2026
- HNW RAUM · $39.4M to $79.1MMar 11, 2025 to Feb 5, 2026
- Individual RAUM · $78.1M to $25.3MMar 11, 2025 to Feb 5, 2026
- Pension RAUM · $3.8M to $2.2MMar 11, 2025 to Feb 5, 2026
- RAUM · $121M to $107MMar 11, 2025 to Feb 5, 2026
Signals
3 dated events
- E••••••• A•••• F•••••••• A••••••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $106.6M)Sep 1, 2026 · Left the SEC roster · derived
- V••••••• E••••••• A•••• left E••••••• A•••• F•••••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2026-05-13)Jul 30, 2026 · Advisor changed firm · fact
- J••••••• K• S••••• left E••••••• A•••• F•••••••• A••••••• for K••• C•••••• G•••• (registered 2026-01-05)May 8, 2026 · Advisor changed firm · 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