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
H•••••• • A••••••••• F•••••••• • E••••• A•••••••• I•••
Latest filing Aug 26, 2024
First filing on the tape Apr 21, 2022 · 12 filings
RAUM
$25.1M
reported, Item 5.F
Discretionary
5.1%
of RAUM
Private clients
100%
$25.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$25.1M as of Mar 5, 2024
Mar 15, 2023$93.9M then
HNW client RAUM$11.4M as of Mar 5, 2024
Mar 15, 2023$66.3M then
State-registered IARs (5.B.3)2 as of Mar 5, 2024
Mar 15, 20232 then
Employees (5.A)2 as of Mar 5, 2024
Mar 15, 20232 then
Private funds: no history
RAUM -73% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 26, 2024; every figure names its basis
- RAUM per advisor
- $12.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $523,473derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.1%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -73%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -59%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$13.8M55%
- High-net-worth individuals$11.4M45%
- Individual clients
- 40reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 48reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- J•••• D••••• G••••••• to L•••••• A•••• M•••••••••Apr 10, 2026 · RIA to RIA
- J•••• D••••• G••••••• to G••••• S••••••••• I•••Mar 7, 2012 · Other
Joined, latest
- J•••• D••••• G••••••• from G••••• S••••••••• I•••Jan 25, 2013 · Other
- J•••• D••••• G••••••• from I••••••• C••••••• S••••••Dec 13, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• R•••• F•••• · President/Ceocontrolsince 07/1996 · owns 75% or more
- O••••••• C•••••• L•• · Cfocontrolsince 07/1996 · owns less than 5%
- G•••••••• J••••• D••••• · Chief Compliance Officer & Wealth Advisorsince 01/2013 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Ventura, Ca · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 2 to 3Jul 2, 2024 to Aug 2, 2024
- Insurance-licensed employees · 0 to 1Jul 2, 2024 to Aug 2, 2024
- Related adviser · false to trueJul 2, 2024 to Aug 2, 2024
- Related broker-dealer · false to trueJul 2, 2024 to Aug 2, 2024
- Accounts · 254 to 48Mar 27, 2023 to Mar 5, 2024
- HNW clients · 21 to 4Mar 27, 2023 to Mar 5, 2024
- Individual clients · 86 to 40Mar 27, 2023 to Mar 5, 2024
- Pension plan clients · 1 to 0Mar 27, 2023 to Mar 5, 2024
- Financial planning clients · 26-50 to 1-10Mar 27, 2023 to Mar 5, 2024
- Discretionary RAUM · $739,644 to $1.3MMar 27, 2023 to Mar 5, 2024
- HNW RAUM · $66.3M to $11.4MMar 27, 2023 to Mar 5, 2024
- Individual RAUM · $27.0M to $13.8MMar 27, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $93.2M to $23.8MMar 27, 2023 to Mar 5, 2024
- Pension RAUM · $624,993 to $0Mar 27, 2023 to Mar 5, 2024
- RAUM · $93.9M to $25.1MMar 27, 2023 to Mar 5, 2024
- Accounts · 260 to 254Nov 7, 2022 to Mar 15, 2023
- HNW clients · 22 to 21Nov 7, 2022 to Mar 15, 2023
- Individual clients · 80 to 86Nov 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $0 to $739,644Nov 7, 2022 to Mar 15, 2023
- HNW RAUM · $82.2M to $66.3MNov 7, 2022 to Mar 15, 2023
- Individual RAUM · $31.1M to $27.0MNov 7, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $114M to $93.2MNov 7, 2022 to Mar 15, 2023
- Pension RAUM · $735,299 to $624,993Nov 7, 2022 to Mar 15, 2023
- RAUM · $114M to $93.9MNov 7, 2022 to Mar 15, 2023
Signals
2 dated events
- J•••• D••••• G••••••• left H•••••• • A••••••••• F•••••••• • E••••• A•••••••• I••• for L•••••• A•••• M••••••••• (registered 2023-06-16)Apr 10, 2026 · Advisor changed firm · fact
- H•••••• • A••••••••• F•••••••• • E••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 21, 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.
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