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•••••••• P••••••• L••
Latest filing Apr 25, 2023
First filing on the tape Jun 15, 2018 · 10 filings
RAUM
$189M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$186M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$189M as of Mar 29, 2023
Mar 28, 2019$128M then
HNW client RAUM$136M as of Mar 29, 2023
Mar 28, 2019$87.9M then
State-registered IARs (5.B.3)3 as of Mar 29, 2023
Mar 28, 20194 then
Employees (5.A)7 as of Mar 29, 2023
Mar 28, 20197 then
Private funds: no history
RAUM +0.9% over the last fiscal year+7.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 25, 2023; every figure names its basis
- RAUM per advisor
- $62.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $352,429derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $166M, 158 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M72%
- Individuals$49.3M26%
- Pension and profit-sharing plans$2.4M1.3%
- Charitable organizations$643,5650.3%
- Individual clients
- 107reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 535reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 158 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
- T••••• A••• R••• to P••• F•••••••• A•••••••• L••Mar 25, 2024 · RIA to RIA
- S•••• K••••••• S••••• to S••••• F••••••••Feb 5, 2020 · RIA to a state-registered adviser
- H•••••• N••••• C•••••• to O••••• I••••••••• A••••••• L••Mar 30, 2018 · RIA to a newly registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P•••• A••• · President & Chief Compliance Officercontrolsince 11/2005 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Davis, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 506 to 535Mar 28, 2022 to Mar 29, 2023
- HNW clients · 52 to 64Mar 28, 2022 to Mar 29, 2023
- Individual clients · 113 to 107Mar 28, 2022 to Mar 29, 2023
- Assets in custody · $170M to $166MMar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $184M to $186MMar 28, 2022 to Mar 29, 2023
- HNW RAUM · $115M to $136MMar 28, 2022 to Mar 29, 2023
- Individual RAUM · $68.7M to $49.3MMar 28, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $2.5M to $2.4MMar 28, 2022 to Mar 29, 2023
- Pension RAUM · $2.5M to $2.4MMar 28, 2022 to Mar 29, 2023
- RAUM · $187M to $189MMar 28, 2022 to Mar 29, 2023
- Accounts · 471 to 506Mar 17, 2021 to Mar 28, 2022
- HNW clients · 50 to 52Mar 17, 2021 to Mar 28, 2022
- Individual clients · 104 to 113Mar 17, 2021 to Mar 28, 2022
- Assets in custody · $125M to $170MMar 17, 2021 to Mar 28, 2022
- Discretionary RAUM · $166M to $184MMar 17, 2021 to Mar 28, 2022
- HNW RAUM · $111M to $115MMar 17, 2021 to Mar 28, 2022
- Individual RAUM · $54.0M to $68.7MMar 17, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $2.1M to $2.5MMar 17, 2021 to Mar 28, 2022
- Pension RAUM · $2.1M to $2.5MMar 17, 2021 to Mar 28, 2022
- RAUM · $168M to $187MMar 17, 2021 to Mar 28, 2022
- Accounts · 490 to 471Jun 30, 2020 to Mar 17, 2021
- HNW clients · 58 to 50Jun 30, 2020 to Mar 17, 2021
- Individual clients · 102 to 104Jun 30, 2020 to Mar 17, 2021
- Assets in custody · $131M to $125MJun 30, 2020 to Mar 17, 2021
- Employees · 5 to 7Jun 30, 2020 to Mar 17, 2021
- State-registered IARs · 4 to 3Jun 30, 2020 to Mar 17, 2021
- Discretionary RAUM · $150M to $166MJun 30, 2020 to Mar 17, 2021
- HNW RAUM · $105M to $111MJun 30, 2020 to Mar 17, 2021
- Individual RAUM · $44.8M to $54.0MJun 30, 2020 to Mar 17, 2021
- Non-discretionary RAUM · $1.6M to $2.1MJun 30, 2020 to Mar 17, 2021
- Pension RAUM · $1.6M to $2.1MJun 30, 2020 to Mar 17, 2021
- RAUM · $152M to $168MJun 30, 2020 to Mar 17, 2021
- Employees · 7 to 5Mar 28, 2019 to Mar 26, 2020
- Accounts · 433 to 490Mar 28, 2019 to Mar 26, 2020
- Advisory employees · 4 to 3Mar 28, 2019 to Mar 26, 2020
- HNW clients · 55 to 58Mar 28, 2019 to Mar 26, 2020
- Individual clients · 91 to 102Mar 28, 2019 to Mar 26, 2020
- Assets in custody · $112M to $131MMar 28, 2019 to Mar 26, 2020
- Insurance-licensed employees · 1 to 0Mar 28, 2019 to Mar 26, 2020
- Financial planning clients · 101-250 to 251-500Mar 28, 2019 to Mar 26, 2020
Signals
2 dated events
- T••••• A••• R••• left S••••••• F•••••••• P••••••• L•• for P••• F•••••••• A•••••••• L•• (registered 2024-09-16)Mar 25, 2024 · Advisor changed firm · fact
- S••••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 2018 · 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