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

D•••• S• R•••••••

Former SEC-registered adviserValencia, CaliforniaCRD 143703SEC 801-118156IAPD
Legal name D•••• S• R•••••••• I•••
Latest filing Apr 6, 2023
First filing on the tape Mar 6, 2012 · 26 filings
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$101M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$105M as of Mar 30, 2023
Mar 6, 2012$34.5M then
HNW client RAUM$41.6M as of Mar 30, 2023
Mar 1, 2021$69.5M then
State-registered IARs (5.B.3)4 as of Mar 30, 2023
Mar 6, 20120 then
Employees (5.A)4 as of Mar 30, 2023
Mar 1, 20212 then
Private funds: no history
RAUM -31% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Apr 6, 2023; every figure names its basis
RAUM per advisor
$26.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$171,630derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$59.3M57%
  • High-net-worth individuals$41.6M40%
  • Pension and profit-sharing plans$2.0M1.9%
  • Charitable organizations$1.8M1.7%
Individual clients
208reported
HNW clients
29reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
613reported
Financial planning clients
101-250reported
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
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
    • E••••• D•••••• M•••• · Ccocontrol
      since 08/2021 · owns less than 5%
    • R•••••••• D••••• S• · Presidentcontrol
      since 02/2007 · owns 50% to 75%
    • R•••••••• A•••• L••••• · Owner
      since 04/2007 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Valencia, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 659 to 613
      Jan 24, 2023 to Mar 30, 2023
    • HNW clients · 47 to 29
      Jan 24, 2023 to Mar 30, 2023
    • Individual clients · 209 to 208
      Jan 24, 2023 to Mar 30, 2023
    • Pension plan clients · 3 to 2
      Jan 24, 2023 to Mar 30, 2023
    • Discretionary RAUM · $152M to $105M
      Jan 24, 2023 to Mar 30, 2023
    • HNW RAUM · $79.2M to $41.6M
      Jan 24, 2023 to Mar 30, 2023
    • Individual RAUM · $66.2M to $59.3M
      Jan 24, 2023 to Mar 30, 2023
    • Pension RAUM · $3.1M to $2.0M
      Jan 24, 2023 to Mar 30, 2023
    • RAUM · $152M to $105M
      Jan 24, 2023 to Mar 30, 2023
    • Accounts · 590 to 659
      Oct 19, 2021 to Mar 30, 2022
    • Advisory employees · 2 to 4
      Oct 19, 2021 to Mar 30, 2022
    • HNW clients · 42 to 47
      Oct 19, 2021 to Mar 30, 2022
    • Individual clients · 201 to 209
      Oct 19, 2021 to Mar 30, 2022
    • Employees · 2 to 4
      Oct 19, 2021 to Mar 30, 2022
    • State-registered IARs · 2 to 4
      Oct 19, 2021 to Mar 30, 2022
    • Discretionary RAUM · $139M to $152M
      Oct 19, 2021 to Mar 30, 2022
    • HNW RAUM · $69.5M to $79.2M
      Oct 19, 2021 to Mar 30, 2022
    • Individual RAUM · $64.0M to $66.2M
      Oct 19, 2021 to Mar 30, 2022
    • Pension RAUM · $2.6M to $3.1M
      Oct 19, 2021 to Mar 30, 2022
    • RAUM · $139M to $152M
      Oct 19, 2021 to Mar 30, 2022
    • Accounts · 427 to 590
      Jan 20, 2021 to Mar 1, 2021
    • Charity clients · 3 to 1
      Jan 20, 2021 to Mar 1, 2021
    • HNW clients · 31 to 42
      Jan 20, 2021 to Mar 1, 2021
    • Individual clients · 195 to 201
      Jan 20, 2021 to Mar 1, 2021
    • Pension plan clients · 5 to 3
      Jan 20, 2021 to Mar 1, 2021
    • Employees · 3 to 2
      Jan 20, 2021 to Mar 1, 2021
    • State-registered IARs · 3 to 2
      Jan 20, 2021 to Mar 1, 2021
    • Discretionary RAUM · $104M to $139M
      Jan 20, 2021 to Mar 1, 2021
    • HNW RAUM · $43.5M to $69.5M
      Jan 20, 2021 to Mar 1, 2021
    • Individual RAUM · $55.1M to $64.0M
      Jan 20, 2021 to Mar 1, 2021
    • Pension RAUM · $3.4M to $2.6M
      Jan 20, 2021 to Mar 1, 2021
    • RAUM · $104M to $139M
      Jan 20, 2021 to Mar 1, 2021
    • Employees · 2 to 3
      Nov 27, 2020 to Jan 20, 2021
    • State-registered IARs · 2 to 3
      Nov 27, 2020 to Jan 20, 2021
    • Accounts · 222 to 427
      Apr 16, 2012 to Jan 31, 2020
    • Advisory employees · unset to 2.0
      Apr 16, 2012 to Jan 31, 2020
    • BD registered reps · unset to 0.0
      Apr 16, 2012 to Jan 31, 2020
    • Business name · D•••• S• R••••••• C••• I••• to D•••• S• R•••••••
      Apr 16, 2012 to Jan 31, 2020
    • Charity clients · unset to 3.0
      Apr 16, 2012 to Jan 31, 2020
    • HNW clients · unset to 31.0
      Apr 16, 2012 to Jan 31, 2020
    Signals
    6 dated events
    • N••• T••••• U•••• left D•••• S• R••••••• for A••••••• A••••••• • S••••••••• L•• (registered 2023-10-26)
      Sep 29, 2023 · Advisor changed firm · fact
    • E•••• M••••••• S••• left D•••• S• R••••••• for A••••••• A••••••• • S••••••••• L•• (registered 2023-10-26)
      Sep 29, 2023 · Advisor changed firm · fact
    • 2 advisors left D•••• S• R••••••• (Valencia, CA) for A••••••• A••••••• • S••••••••• L•• on the same day
      Sep 29, 2023 · Team lift-out · derived
    • Marie Denise Evans (Cco) appeared on Schedule A of D•••• S• R•••••••
      Jul 15, 2021 · Control person joined · fact
    • Magdalena Elgonde Scheffy (Chief Compliance Officer) no longer on Schedule A of D•••• S• R••••••• (listed 2021-03-01, absent 2021-07-15)
      Jul 15, 2021 · Control person left · inference
    • D•••• S• R••••••• filed its initial SEC registration (Form ADV)
      Jan 31, 2020 · 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