DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

T•••••• F•••••••• P•••••••

Former SEC-registered adviserOntario, CaliforniaCRD 136969SEC 801-68517IAPD

Legal name C••••• F•••••••• • I•••••••• S•••••••• I•••

Latest filing May 2, 2016

First filing on the tape Feb 28, 2012 · 10 filings

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$0 as of Mar 31, 2015

Feb 28, 2012$131M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2015

Mar 22, 20135 then

Employees (5.A)1 as of Mar 31, 2015

Mar 22, 20136 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 1

Practice profile

derived from the filing of May 2, 2016; 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: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -100%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: 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

is an insurance broker or agent (6.A.6)

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: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• L•• F•••••	Ontario, Ca	Dec 2, 2025	48 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

F•••••• B•••• F••••• to T•••••• C•••••• M••••••••• L••
Sep 23, 2013 · Other
D••••• R••• B•••• to T•••••• C•••••• M••••••••• L••
Sep 23, 2013 · Other
L••• L••• K••••••••• to T•••••• C•••••• M••••••••• L••
Sep 23, 2013 · Other

Joined, latest

J•••• L•• F••••• from N•• A•••••• S•••••••• L••
Dec 2, 2025 · Other
F•••••• B•••• F••••• from M••••• A•••••••
Oct 18, 2005 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• J••••• L•• · President/Director/Ccocontrol
since 05/1978 · owns 75% or more

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

State-registered IARs · 0 to 1
Apr 7, 2016 to May 2, 2016
Advisory employees · 1 to 0
Mar 10, 2016 to Apr 1, 2016
Accounts · 0.0 to unset
Mar 31, 2015 to Mar 10, 2016
Commission compensation · true to false
Mar 31, 2015 to Mar 10, 2016
Financial planning clients · 11-25 to 0
Mar 31, 2015 to Mar 10, 2016
Discretionary RAUM · 0.0 to unset
Mar 31, 2015 to Mar 10, 2016
Non-discretionary RAUM · 0.0 to unset
Mar 31, 2015 to Mar 10, 2016
RAUM · 0.0 to unset
Mar 31, 2015 to Mar 10, 2016
Related adviser · true to false
Mar 31, 2015 to Mar 10, 2016
Accounts · 549 to 0
Apr 3, 2014 to Mar 31, 2015
Advisory activities · 2 to 1
Apr 3, 2014 to Mar 31, 2015
Financial planning clients · 101-250 to 11-25
Apr 3, 2014 to Mar 31, 2015
Non-discretionary RAUM · $120M to $0
Apr 3, 2014 to Mar 31, 2015
RAUM · $120M to $0
Apr 3, 2014 to Mar 31, 2015
Accounts · 473 to 549
Jun 3, 2013 to Apr 3, 2014
Advisory employees · 5 to 1
Jun 3, 2013 to Apr 3, 2014
Employees · 6 to 1
Jun 3, 2013 to Apr 3, 2014
State-registered IARs · 5 to 0
Jun 3, 2013 to Apr 3, 2014
Non-discretionary RAUM · $128M to $120M
Jun 3, 2013 to Apr 3, 2014
RAUM · $128M to $120M
Jun 3, 2013 to Apr 3, 2014
Accounts · 487 to 473
Feb 28, 2012 to Mar 22, 2013
Advisory employees · unset to 5.0
Feb 28, 2012 to Mar 22, 2013
BD registered reps · unset to 0.0
Feb 28, 2012 to Mar 22, 2013
Employees · unset to 6.0
Feb 28, 2012 to Mar 22, 2013
State-registered IARs · unset to 5.0
Feb 28, 2012 to Mar 22, 2013
Non-discretionary RAUM · $131M to $128M
Feb 28, 2012 to Mar 22, 2013
RAUM · $131M to $128M
Feb 28, 2012 to Mar 22, 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