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••••• F•••••••• C••••••••• I•••
Latest filing Mar 11, 2022
First filing on the tape Mar 25, 2015 · 34 filings
RAUM
$264M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
84%
$222M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$264M as of Mar 11, 2022
Jan 21, 2016$132M then
HNW client RAUM$183M as of Mar 11, 2022
Mar 29, 2018$145M then
State-registered IARs (5.B.3)2 as of Mar 11, 2022
Jan 21, 20163 then
Employees (5.A)9 as of Mar 11, 2022
Jan 21, 20166 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 11, 2022; every figure names its basis
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $401,352derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $122M, 112 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M69%
- Individuals$39.3M15%
- Pension and profit-sharing plans$27.7M10%
- Charitable organizations$10.0M3.8%
- Corporations and businesses$4.3M1.6%
- Individual clients
- 122reported
- HNW clients
- 61reported
- Pension plan clients
- 12reported
- Charitable clients
- 2reported
- Accounts
- 659reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $122M for 112 clientsreported
- 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
- C•••••••• E••• Q••••••• to C••••••• P••••••• I••••••••• A•••••••• L••Dec 22, 2022 · Other
- C••• M•••••• K•••• to C••••••• P••••••• I••••••••• A•••••••• L••Dec 22, 2022 · Other
- N••• E••• E••••••• to C••••••• P••••••• I••••••••• A•••••••• L••Dec 22, 2022 · Other
- V••• M•••• J•••••• to M••••••••• F•••••••• P•••••••• I•••Feb 24, 2022 · RIA to a state-registered adviser
- K••• P••••• O••••••• to 1•• G••••• A••••••• I••May 28, 2019 · RIA to affiliated broker-dealer or bank
- J•••••• M• S••••••• to O•••• A••••••• S•••••••• L••Feb 15, 2018 · Other
- M•••••• A•• F••••••••• to S•••••••• F••••••••• I•••Mar 10, 2015 · Other
Joined, latest
- J•••••• M• S••••••• from S••••••• W••••• M••••••••• I•••Jul 1, 2016 · Other
- K••• P••••• O••••••• from L•• F•••••••• L••Feb 17, 2010 · Other
- M•••••• A•• F••••••••• from L•• F•••••••• L••Sep 3, 2002 · Other
- N••• E••• E••••••• from L•• F•••••••• L••Nov 30, 1998 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••• P••••••• I••••••••• A•••••••• L••Dec 22, 2022 · Westlake Village, Ca
- 2 joined from L•• F•••••••• L••Mar 9, 2015 · Agoura Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• N•••• E••• · Ceo, Chairman, Senior Wealth Advisor & Chief Compliance Officercontrolsince 07/2016 · owns 50% to 75%
- K••••• C•••• M•••••• · Senior Wealth Advisorcontrolsince 12/2019 · owns 5% to 10%
- L••• K•••••••• A•••••• · Chief Operating Officercontrolsince 07/2016 · owns 25% to 50%
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 · 597 to 659Feb 24, 2022 to Mar 11, 2022
- Advisory employees · 4 to 2Feb 24, 2022 to Mar 11, 2022
- BD registered reps · 3 to 2Feb 24, 2022 to Mar 11, 2022
- Charity clients · 1 to 2Feb 24, 2022 to Mar 11, 2022
- Corporate clients · 2 to 1Feb 24, 2022 to Mar 11, 2022
- HNW clients · 66 to 61Feb 24, 2022 to Mar 11, 2022
- Individual clients · 114 to 122Feb 24, 2022 to Mar 11, 2022
- Assets in custody · $97.8M to $122MFeb 24, 2022 to Mar 11, 2022
- Employees · 10 to 9Feb 24, 2022 to Mar 11, 2022
- State-registered IARs · 4 to 2Feb 24, 2022 to Mar 11, 2022
- Discretionary RAUM · $226M to $263MFeb 24, 2022 to Mar 11, 2022
- HNW RAUM · $155M to $183MFeb 24, 2022 to Mar 11, 2022
- Individual RAUM · $32.0M to $39.3MFeb 24, 2022 to Mar 11, 2022
- Non-discretionary RAUM · $1.5M to $1.8MFeb 24, 2022 to Mar 11, 2022
- Pension RAUM · $21.9M to $27.7MFeb 24, 2022 to Mar 11, 2022
- RAUM · $228M to $264MFeb 24, 2022 to Mar 11, 2022
- Advisory employees · 5 to 4Dec 3, 2021 to Feb 24, 2022
- Employees · 11 to 10Dec 3, 2021 to Feb 24, 2022
- State-registered IARs · 5 to 4Dec 3, 2021 to Feb 24, 2022
- Advisory employees · 4 to 5Mar 31, 2021 to May 3, 2021
- Employees · 10 to 11Mar 31, 2021 to May 3, 2021
- State-registered IARs · 4 to 5Mar 31, 2021 to May 3, 2021
- Accounts · 532 to 597Dec 17, 2020 to Mar 24, 2021
- Advisory activities · 5 to 6Dec 17, 2020 to Mar 24, 2021
- Corporate clients · 1 to 2Dec 17, 2020 to Mar 24, 2021
- HNW clients · 82 to 66Dec 17, 2020 to Mar 24, 2021
- Individual clients · 101 to 114Dec 17, 2020 to Mar 24, 2021
- Pension plan clients · 4 to 12Dec 17, 2020 to Mar 24, 2021
- Assets in custody · $106M to $97.8MDec 17, 2020 to Mar 24, 2021
- Discretionary RAUM · $197M to $226MDec 17, 2020 to Mar 24, 2021
- HNW RAUM · $153M to $155MDec 17, 2020 to Mar 24, 2021
- Individual RAUM · $23.5M to $32.0MDec 17, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $1.3M to $1.5MDec 17, 2020 to Mar 24, 2021
- Pension RAUM · $5.8M to $21.9MDec 17, 2020 to Mar 24, 2021
- RAUM · $198M to $228MDec 17, 2020 to Mar 24, 2021
- Accounts · 854 to 532Mar 20, 2020 to Mar 27, 2020
- Corporate clients · 3 to 1Mar 20, 2020 to Mar 27, 2020
- HNW clients · 97 to 82Mar 20, 2020 to Mar 27, 2020
- Individual clients · 137 to 101Mar 20, 2020 to Mar 27, 2020
- Pension plan clients · 16 to 4Mar 20, 2020 to Mar 27, 2020
Signals
8 dated events
- C••• M•••••• K•••• left S••••• F•••••••• C••••••••• I••• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-06-17)Dec 22, 2022 · Advisor changed firm · fact
- C•••••••• E••• Q••••••• left S••••• F•••••••• C••••••••• I••• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-06-17)Dec 22, 2022 · Advisor changed firm · fact
- 2 advisors left S••••• F•••••••• C••••••••• I••• (Westlake Village, CA) for C••••••• P••••••• I••••••••• A•••••••• L•• on the same dayDec 22, 2022 · Team lift-out · derived
- N••• E••• E••••••• left S••••• F•••••••• C••••••••• I••• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-06-17)Dec 22, 2022 · Advisor changed firm · fact
- V••• M•••• J•••••• left S••••• F•••••••• C••••••••• I••• for M••••••••• F•••••••• P•••••••• I••• (registered 2022-03-08)Feb 24, 2022 · Advisor changed firm · fact
- Matthew Cody Klein (Wealth Advisor) appeared on Schedule A of S••••• F•••••••• C••••••••• I•••Jun 23, 2020 · Control person joined · fact
- M•••• A••••• D•••••• (Chief Complaince Officer) no longer on Schedule A of S••••• F•••••••• C••••••••• I••• (listed 2020-01-08, absent 2020-03-20)Mar 20, 2020 · Control person left · inference
- S••••• F•••••••• C••••••••• I••• filed its initial SEC registration (Form ADV)Mar 25, 2015 · 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