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

C••••••••• F•••••••• P••••••• • W••••• M•••••••••

Former SEC-registered adviserSanta Cruz, CaliforniaCRD 142879SEC 801-87174IAPD
Legal name C••••••••• F•••••••• P•••••••• L••
Latest filing Oct 29, 2020
First filing on the tape Mar 30, 2015 · 19 filings
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$314M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$321M as of Mar 11, 2020
Mar 19, 2016$112M then
HNW client RAUM$287M as of Mar 11, 2020
Mar 30, 2018$152M then
State-registered IARs (5.B.3)4 as of Mar 11, 2020
Mar 19, 20162 then
Employees (5.A)4 as of Mar 11, 2020
Mar 19, 20164 then
Private funds: no history
RAUM +32% over the last fiscal year+32% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Oct 29, 2020; every figure names its basis
RAUM per advisor
$80.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+32%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.5%derived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$305M, 161 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$287M89%
  • Individuals$28.0M8.7%
  • Pension and profit-sharing plans$6.5M2.0%
Individual clients
50reported
HNW clients
113reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
169reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$305M for 161 clientsreported
Compensation
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
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
    • A•••••••• M•••• F•••••• · Managing Partnercontrol
      since 06/2019 · owns 25% to 50%
    • C••••••••• M••••••• D•••• · Managing Member / Chief Compliance Officercontrol
      since 12/2006 · owns 50% to 75%
    • H••• E•••••• K••• H••• · Managing Partner
      since 06/2019 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Los Gatos, CA2 employees
    • Sacramento, CA2 employees
    • Davis, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 160 to 169
      Nov 8, 2019 to Mar 11, 2020
    • HNW clients · 95 to 113
      Nov 8, 2019 to Mar 11, 2020
    • Individual clients · 58 to 50
      Nov 8, 2019 to Mar 11, 2020
    • Assets in custody · $90.9M to $305M
      Nov 8, 2019 to Mar 11, 2020
    • Employees · 6 to 4
      Nov 8, 2019 to Mar 11, 2020
    • Financial planning clients · 51-100 to 26-50
      Nov 8, 2019 to Mar 11, 2020
    • Discretionary RAUM · $244M to $321M
      Nov 8, 2019 to Mar 11, 2020
    • HNW RAUM · $205M to $287M
      Nov 8, 2019 to Mar 11, 2020
    • Individual RAUM · $36.0M to $28.0M
      Nov 8, 2019 to Mar 11, 2020
    • Pension RAUM · $3.0M to $6.5M
      Nov 8, 2019 to Mar 11, 2020
    • RAUM · $244M to $321M
      Nov 8, 2019 to Mar 11, 2020
    • Accounts · 420 to 160
      Apr 13, 2018 to Mar 25, 2019
    • HNW clients · 71 to 95
      Apr 13, 2018 to Mar 25, 2019
    • Individual clients · 94 to 58
      Apr 13, 2018 to Mar 25, 2019
    • Pension plan clients · 11 to 4
      Apr 13, 2018 to Mar 25, 2019
    • Assets in custody · unset to 90941992.0
      Apr 13, 2018 to Mar 25, 2019
    • Custody of client assets · false to true
      Apr 13, 2018 to Mar 25, 2019
    • Employees · 5 to 6
      Apr 13, 2018 to Mar 25, 2019
    • Discretionary RAUM · $135M to $244M
      Apr 13, 2018 to Mar 25, 2019
    • HNW RAUM · $152M to $205M
      Apr 13, 2018 to Mar 25, 2019
    • Individual RAUM · $9.6M to $36.0M
      Apr 13, 2018 to Mar 25, 2019
    • Non-discretionary RAUM · $33.5M to $0
      Apr 13, 2018 to Mar 25, 2019
    • Pension RAUM · $6.9M to $3.0M
      Apr 13, 2018 to Mar 25, 2019
    • RAUM · $168M to $244M
      Apr 13, 2018 to Mar 25, 2019
    • Accounts · 92 to 420
      Mar 21, 2017 to Mar 30, 2018
    • Advisory employees · 2 to 4
      Mar 21, 2017 to Mar 30, 2018
    • HNW clients · unset to 71.0
      Mar 21, 2017 to Mar 30, 2018
    • Individual clients · unset to 94.0
      Mar 21, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 11.0
      Mar 21, 2017 to Mar 30, 2018
    • Employees · 3 to 5
      Mar 21, 2017 to Mar 30, 2018
    • Financial planning clients · 26-50 to 51-100
      Mar 21, 2017 to Mar 30, 2018
    • State-registered IARs · 2 to 4
      Mar 21, 2017 to Mar 30, 2018
    • Other offices · unset to 3.0
      Mar 21, 2017 to Mar 30, 2018
    • Discretionary RAUM · $7.8M to $135M
      Mar 21, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 151878000.0
      Mar 21, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 9600000.0
      Mar 21, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $133M to $33.5M
      Mar 21, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 6910000.0
      Mar 21, 2017 to Mar 30, 2018
    • RAUM · $141M to $168M
      Mar 21, 2017 to Mar 30, 2018
    • Accounts · 75 to 92
      Aug 4, 2016 to Mar 20, 2017
    Signals
    2 dated events
    • Francis Mark Astrinos (Managing Partner) appeared on Schedule A of C••••••••• F•••••••• P••••••• • W••••• M•••••••••
      Jun 20, 2019 · Control person joined · fact
    • C••••••••• F•••••••• P••••••• • W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Mar 30, 2015 · 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