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.

Former SEC-registered adviser

Tricor Advisory Services, LLC

Former SEC-registered adviserLas Vegas, NevadaCRD 141775SEC 801-67209IAPD
Latest filing Dec 9, 2015
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$137M
reported, Item 5.F
Discretionary
21%
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
11
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$137M as of Mar 31, 2015
Mar 29, 2012$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Mar 31, 2015
Mar 29, 20120 then
Employees (5.A)11 as of Mar 31, 2015
Mar 27, 201315 then
Private funds: no history
RAUM +6.8% over the last fiscal year+8.6% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Dec 9, 2015; every figure names its basis
RAUM per advisor
$12.5MderivedRAUM 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
$259,175derivedRAUM over accounts (5.F.2.f)
Discretionary
21%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+6.8%derivedbetween the last two annual amendments
Advisor growth, one year
-8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
529reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • Frank Aguilar · Ceo/Ccocontrol
      since 09/2006 · owns less than 5%
    • Leonard Jason Garofalo · Director/Managercontrol
      since 09/2006 · owns less than 5%
    • Frank Aguilar · Ownercontrol
      since 09/2006 · owns 50% to 75% of Napaca, Inc.
    • Leonard Jason Garofalo · Ownercontrol
      since 09/2006 · owns 75% or more of Jason L. Garofalo, Inc.
    Entity owners
    • Tricor Financial Services, Limited · Owner
      direct · owns 75% or more
    • Jason L. Garofalo, Inc. · Owner
      indirect · owns 25% to 50% of Tricor Financial Services, Limited
    • Napaca, Inc. · Owner
      indirect · owns 25% to 50% of Tricor Financial Services, Limited
    Related persons
    Schedule D 7.A
    Advisers that list Tricor Advisory Services, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Meridian, ID
    • Park City, UT
    What changed
    consecutive filings, newest first
    • Accounts · 595 to 529
      Mar 13, 2015 to Mar 31, 2015
    • Financial planning clients · 26-50 to 11-25
      Mar 13, 2015 to Mar 31, 2015
    • Discretionary RAUM · $21.5M to $29.0M
      Mar 13, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $107M to $108M
      Mar 13, 2015 to Mar 31, 2015
    • RAUM · $128M to $137M
      Mar 13, 2015 to Mar 31, 2015
    • Advisory employees · 12 to 11
      Mar 31, 2014 to Mar 13, 2015
    • Advisory activities · 5 to 4
      Mar 31, 2014 to Mar 13, 2015
    • BD registered reps · 12 to 11
      Mar 31, 2014 to Mar 13, 2015
    • Employees · 12 to 11
      Mar 31, 2014 to Mar 13, 2015
    • State-registered IARs · 12 to 11
      Mar 31, 2014 to Mar 13, 2015
    • Accounts · 784 to 595
      Oct 29, 2013 to Mar 31, 2014
    • Advisory employees · 15 to 12
      Oct 29, 2013 to Mar 31, 2014
    • BD registered reps · 15 to 12
      Oct 29, 2013 to Mar 31, 2014
    • Employees · 15 to 12
      Oct 29, 2013 to Mar 31, 2014
    • State-registered IARs · 15 to 12
      Oct 29, 2013 to Mar 31, 2014
    • Discretionary RAUM · $13.6M to $21.5M
      Oct 29, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $96.9M to $107M
      Oct 29, 2013 to Mar 31, 2014
    • RAUM · $111M to $128M
      Oct 29, 2013 to Mar 31, 2014
    • Accounts · 550 to 784
      Oct 16, 2012 to Mar 27, 2013
    • Advisory employees · unset to 15.0
      Oct 16, 2012 to Mar 27, 2013
    • BD registered reps · unset to 15.0
      Oct 16, 2012 to Mar 27, 2013
    • Employees · unset to 15.0
      Oct 16, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 15
      Oct 16, 2012 to Mar 27, 2013
    • Discretionary RAUM · $11.0M to $13.6M
      Oct 16, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $96.0M to $96.9M
      Oct 16, 2012 to Mar 27, 2013
    • RAUM · $107M to $111M
      Oct 16, 2012 to Mar 27, 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