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

F•••• A••••• A•••• M••••••••• I•••

Former SEC-registered adviserSan Diego, CaliforniaCRD 140292SEC 801-67188IAPD
Latest filing Jun 24, 2015
First filing on the tape Nov 15, 2011 · 30 filings
RAUM
$9.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2015
Mar 30, 2012$691M then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Mar 30, 2015
Apr 1, 201314 then
Employees (5.A)15 as of Mar 30, 2015
Apr 1, 201314 then
Private funds: no history
RAUM -99% over the last fiscal year-76% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Jun 24, 2015; every figure names its basis
RAUM per advisor
$644,180derivedRAUM 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
$409,933derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
4.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+4.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
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
22reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• L•••••• M•••• · Chief Compliance Officercontrol
      since 02/2007 · owns less than 5%
    • C•••••••• C••••• E••••• · Presidentcontrol
      since 06/2012 · owns less than 5%
    • D•••• J•••••• M• · Chief Financial Officercontrol
      since 03/2011 · owns less than 5%
    • G•••••• L•• · Chief Operating Officercontrol
      since 06/2012 · owns less than 5%
    • M••••••• J••••••• J••• · Senior Managing D•••••Or And Chief Portfolio Strategistcontrol
      since 06/2012 · owns less than 5%
    Entity owners
    • F•• H•••••••• I••• · Sole Shareholder
      direct · owns 75% or more
    • F•••• A••••• H••••••• I••• · Shareholder
      indirect · owns 75% or more of Fas Holdings Inc.
    • R•• C•••••• C••••••••• · Sole Member
      indirect · owns 75% or more of R•• C•••••• H••••••• L•• · public reporting company
    • R•• C•••••• H••••••• L•• · Shareholder
      indirect · owns 75% or more of F•••• A••••• Holdings Inc
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Scottsdale, AZ
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 5,226 to 22
      Jun 12, 2015 to Jun 24, 2015
    • Discretionary RAUM · $1.0B to $9.0M
      Jun 12, 2015 to Jun 24, 2015
    • Non-discretionary RAUM · $50.2M to $0
      Jun 12, 2015 to Jun 24, 2015
    • RAUM · $1.1B to $9.0M
      Jun 12, 2015 to Jun 24, 2015
    • Related bank · false to true
      Mar 30, 2015 to Mar 31, 2015
    • Accounts · 4,964 to 5,226
      Jan 30, 2015 to Mar 30, 2015
    • Advisory employees · 14 to 7
      Jan 30, 2015 to Mar 30, 2015
    • Advisory activities · 3 to 2
      Jan 30, 2015 to Mar 30, 2015
    • Discretionary RAUM · $957M to $1.0B
      Jan 30, 2015 to Mar 30, 2015
    • Non-discretionary RAUM · $59.5M to $50.2M
      Jan 30, 2015 to Mar 30, 2015
    • RAUM · $1.0B to $1.1B
      Jan 30, 2015 to Mar 30, 2015
    • Business name · F•••• A••••• A•••• M••••••••• to F•••• A••••• A•••• M••••••••• I•••
      Mar 28, 2014 to May 27, 2014
    • Legal name · F•••• A••••• A•••• M••••••••• to F•••• A••••• A•••• M••••••••• I•••
      Mar 28, 2014 to May 27, 2014
    • Accounts · 4,000 to 4,964
      Nov 11, 2013 to Mar 28, 2014
    • Advisory employees · 13 to 14
      Nov 11, 2013 to Mar 28, 2014
    • BD registered reps · 8 to 9
      Nov 11, 2013 to Mar 28, 2014
    • Employees · 14 to 15
      Nov 11, 2013 to Mar 28, 2014
    • Financial planning clients · 0 to unset
      Nov 11, 2013 to Mar 28, 2014
    • Discretionary RAUM · $731M to $957M
      Nov 11, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $67.4M to $59.5M
      Nov 11, 2013 to Mar 28, 2014
    • RAUM · $798M to $1.0B
      Nov 11, 2013 to Mar 28, 2014
    • Accounts · 3,949 to 4,000
      Jan 30, 2013 to Apr 1, 2013
    • Advisory employees · 12 to 13
      Jan 30, 2013 to Apr 1, 2013
    • Advisory activities · 4 to 3
      Jan 30, 2013 to Apr 1, 2013
    • BD registered reps · 7 to 8
      Jan 30, 2013 to Apr 1, 2013
    • State-registered IARs · 13 to 14
      Jan 30, 2013 to Apr 1, 2013
    • Discretionary RAUM · $668M to $731M
      Jan 30, 2013 to Apr 1, 2013
    • Non-discretionary RAUM · $68.2M to $67.4M
      Jan 30, 2013 to Apr 1, 2013
    • RAUM · $736M to $798M
      Jan 30, 2013 to Apr 1, 2013
    • Accounts · 4,970 to 3,949
      Sep 5, 2012 to Dec 21, 2012
    • Advisory employees · unset to 12.0
      Sep 5, 2012 to Dec 21, 2012
    • BD registered reps · unset to 7.0
      Sep 5, 2012 to Dec 21, 2012
    • Employees · unset to 14.0
      Sep 5, 2012 to Dec 21, 2012
    • State-registered IARs · unset to 13.0
      Sep 5, 2012 to Dec 21, 2012
    • Discretionary RAUM · $612M to $668M
      Sep 5, 2012 to Dec 21, 2012
    • Non-discretionary RAUM · $79.6M to $68.2M
      Sep 5, 2012 to Dec 21, 2012
    • RAUM · $691M to $736M
      Sep 5, 2012 to Dec 21, 2012
    • Advisory activities · 3 to 4
      Mar 16, 2012 to Mar 30, 2012
    • Accounts · 8,151 to 4,970
      Jan 17, 2012 to Mar 16, 2012
    • Insurance-licensed employees · 4 to 7
      Jan 17, 2012 to Mar 16, 2012
    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