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
Y•••••••• C•••••• M••••••••• L••
Latest filing Jun 11, 2024
First filing on the tape Nov 23, 2011 · 38 filings
RAUM
$12.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$12.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$12.8M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$14.5M as of Mar 31, 2023
Apr 3, 2012$112M then
HNW client RAUM$13.5M as of Mar 31, 2023
Mar 30, 2018$72.1M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 4, 20130 then
Employees (5.A)3 as of Mar 31, 2023
Apr 4, 201310 then
Private funds: no history
RAUM -19% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 2024; every figure names its basis
- RAUM per advisor
- $12.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $359,379derivedHNW RAUM over HNW clients
- Average account
- $319,343derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$12.2M96%
- Individuals$554,8544.3%
- Individual clients
- 6reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $507,298 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| D••••• R• S••••••••Chartered Financial Analyst | Fallbrook, Ca | May 10, 2024 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• D•••••• R• · Chief Compliance Officer / Chief Executive Officercontrolsince 05/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Y•••••••• C•••••• M••••••••• L•• as a related person
- 312297 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 56 to 40Feb 22, 2024 to Apr 25, 2024
- HNW clients · 44 to 34Feb 22, 2024 to Apr 25, 2024
- Individual clients · 12 to 6Feb 22, 2024 to Apr 25, 2024
- Discretionary RAUM · $14.5M to $12.8MFeb 22, 2024 to Apr 25, 2024
- HNW RAUM · $13.5M to $12.2MFeb 22, 2024 to Apr 25, 2024
- Individual RAUM · $920,513 to $554,854Feb 22, 2024 to Apr 25, 2024
- RAUM · $14.5M to $12.8MFeb 22, 2024 to Apr 25, 2024
- Accounts · 40 to 56Jan 5, 2024 to Jan 11, 2024
- HNW clients · 37 to 44Jan 5, 2024 to Jan 11, 2024
- Individual clients · 6 to 12Jan 5, 2024 to Jan 11, 2024
- Discretionary RAUM · $11.6M to $14.5MJan 5, 2024 to Jan 11, 2024
- HNW RAUM · $11.1M to $13.5MJan 5, 2024 to Jan 11, 2024
- Individual RAUM · $507,298 to $920,513Jan 5, 2024 to Jan 11, 2024
- RAUM · $11.6M to $14.5MJan 5, 2024 to Jan 11, 2024
- Accounts · 56 to 40Jun 2, 2023 to Jan 5, 2024
- HNW clients · 44 to 37Jun 2, 2023 to Jan 5, 2024
- Individual clients · 12 to 6Jun 2, 2023 to Jan 5, 2024
- Employees · 3 to 2Jun 2, 2023 to Jan 5, 2024
- Discretionary RAUM · $14.5M to $11.6MJun 2, 2023 to Jan 5, 2024
- HNW RAUM · $13.5M to $11.1MJun 2, 2023 to Jan 5, 2024
- Individual RAUM · $920,513 to $507,298Jun 2, 2023 to Jan 5, 2024
- RAUM · $14.5M to $11.6MJun 2, 2023 to Jan 5, 2024
- Related adviser · true to falseJun 2, 2023 to Jan 5, 2024
- Wrap assets (manager) · $920,513 to $507,298Jun 2, 2023 to Jan 5, 2024
- Accounts · 60 to 56Sep 7, 2022 to Mar 31, 2023
- Individual clients · 15 to 12Sep 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $15.7M to $14.5MSep 7, 2022 to Mar 31, 2023
- HNW RAUM · $13.8M to $13.5MSep 7, 2022 to Mar 31, 2023
- Individual RAUM · $1.8M to $920,513Sep 7, 2022 to Mar 31, 2023
- RAUM · $15.7M to $14.5MSep 7, 2022 to Mar 31, 2023
- Wrap assets (manager) · $1.8M to $920,513Sep 7, 2022 to Mar 31, 2023
- Accounts · 79 to 60Mar 29, 2021 to Mar 28, 2022
- HNW clients · 60 to 44Mar 29, 2021 to Mar 28, 2022
- Individual clients · 18 to 15Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $16.7M to $15.7MMar 29, 2021 to Mar 28, 2022
- HNW RAUM · $14.8M to $13.8MMar 29, 2021 to Mar 28, 2022
- Individual RAUM · $1.8M to $1.8MMar 29, 2021 to Mar 28, 2022
- RAUM · $16.7M to $15.7MMar 29, 2021 to Mar 28, 2022
- Wrap assets (manager) · $1.8M to $1.8MMar 29, 2021 to Mar 28, 2022
- Accounts · 119 to 79Jan 19, 2021 to Mar 29, 2021
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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/6600287reportedpublic record, Form ADV, Sep 19, 2026
- Website
- Y••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
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
- $12.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026