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

Financial Advisers Of America, LLC

Former SEC-registered adviserCarlsbad, CaliforniaCRD 142170SEC 801-69221IAPD
Latest filing May 13, 2013
First filing on the tape Jan 5, 2012 · 15 filings
RAUM
$164M
reported, Item 5.F
Discretionary
33%
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
50
50 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$164M as of Feb 28, 2013
Jan 5, 2012$140M then
HNW client RAUM: no history
State-registered IARs (5.B.3)50 as of Feb 28, 2013
Jan 5, 20120 then
Employees (5.A): 50
Private funds: no history
RAUM +17% over the last fiscal yearIARs 0 to 50
Practice profile
derived from the filing of May 13, 2013; every figure names its basis
RAUM per advisor
$3.3MderivedRAUM 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
$240,621derivedRAUM over accounts (5.F.2.f)
Discretionary
33%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
1.8derived28 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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 a broker-dealer (6.A.1)
  • 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
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
681reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Kenneth Merle Jr Johnston · Managing Director, Principal & Ccocontrol
    since 05/2013 · owns 10% to 25%
  • Rosemarie Chiyoko Adams · Member
    since 06/2009 · owns less than 5%
  • Priscilla A Ahern · Member
    since 09/2009 · owns less than 5%
  • Thomas S Ahern · Member
    since 09/2009 · owns less than 5%
  • Anthony Francis Blair · Member
    since 04/2007 · owns 5% to 10%
  • L Craig Cunningham · Member
    since 06/2009 · owns 5% to 10%
  • Nicolette Irisa Denney · Finop
    since 10/2011 · owns less than 5%
  • Michael Lewis Hughes · Member
    since 10/2007 · owns less than 5%
  • Jodi Marie Johnston · Member
    since 05/2013 · owns less than 5%
  • Cameron Lee Karg · Member
    since 06/2009 · owns 5% to 10%
  • William R Jr. Lasarzig · Member
    since 08/2009 · owns 5% to 10%
  • Dillon James Lukehart · Member
    since 05/2009 · owns less than 5%
  • Michael John Pelland · Member
    since 06/2009 · owns less than 5%
  • Robert J Pesavento · Member
    since 09/2009 · owns less than 5%
  • Susan J Pesavento · Member
    since 09/2009 · owns less than 5%
  • Eileen Mariel Proud · Member
    since 02/2008 · owns less than 5%
  • Scott Alan Sabins · Member
    since 06/2006 · owns 10% to 25%
  • Steven William Sabins · Member
    since 03/2009 · owns 5% to 10%
  • Donald Alan Warner · Member
    since 04/2011 · owns less than 5%
  • Rodney E S Wilson · Member
    since 02/2008 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Albuquerque, NM
  • Bakersfield, CA
  • Boise, ID
  • Escondido, CA
  • Fallbrook, CA
  • Henderson, NV
  • Henderson, NV
  • Honolulu, HI
  • Honolulu, HI
  • Honolulu, HI
  • Houston, TX
  • Laguna Niguel, CA
  • Las Vegas, NV
  • Los Angeles, CA
  • Mequon, WI
  • Modesto, CA
  • Pasadena, CA
  • Phoenix, AZ
  • Ramona, CA
  • Santa Ana, CA
  • Santa Maria, CA
  • Westfield, MA
  • ,
What changed
consecutive filings, newest first
  • Accounts · 580 to 681
    Jan 14, 2013 to Feb 28, 2013
  • Advisory employees · 33 to 50
    Jan 14, 2013 to Feb 28, 2013
  • BD registered reps · 42 to 49
    Jan 14, 2013 to Feb 28, 2013
  • Employees · 42 to 50
    Jan 14, 2013 to Feb 28, 2013
  • Insurance-licensed employees · 4 to 14
    Jan 14, 2013 to Feb 28, 2013
  • State-registered IARs · 17 to 50
    Jan 14, 2013 to Feb 28, 2013
  • Discretionary RAUM · $47.0M to $54.0M
    Jan 14, 2013 to Feb 28, 2013
  • Non-discretionary RAUM · $93.0M to $110M
    Jan 14, 2013 to Feb 28, 2013
  • RAUM · $140M to $164M
    Jan 14, 2013 to Feb 28, 2013
  • Advisory employees · unset to 33.0
    Aug 15, 2012 to Jan 14, 2013
  • BD registered reps · unset to 42.0
    Aug 15, 2012 to Jan 14, 2013
  • Employees · unset to 42.0
    Aug 15, 2012 to Jan 14, 2013
  • State-registered IARs · 0 to 17
    Aug 15, 2012 to Jan 14, 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