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

F••••• W••••• S••••••••• I•••

Former SEC-registered adviserCosta Mesa, CaliforniaCRD 144177SEC 801-70025IAPD
Latest filing Jun 16, 2014
First filing on the tape Dec 16, 2011 · 13 filings
RAUM
$85.2M
reported, Item 5.F
Discretionary
100%
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$85.2M as of Mar 27, 2014
Feb 10, 2012$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 27, 2014
Feb 10, 20120 then
Employees (5.A)6 as of Mar 27, 2014
Feb 20, 20135 then
Private funds: no history
RAUM -24% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Jun 16, 2014; every figure names its basis
RAUM per advisor
$14.2MderivedRAUM 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
$239,993derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-24%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
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 an insurance broker or agent (6.A.6)
  • 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
355reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••• D••••••• D•••• · Presidentcontrol
    since 06/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 512 to 355
    Jan 7, 2014 to Mar 27, 2014
  • Advisory employees · 3 to 6
    Jan 7, 2014 to Mar 27, 2014
  • Advisory activities · 1 to 2
    Jan 7, 2014 to Mar 27, 2014
  • Employees · 4 to 6
    Jan 7, 2014 to Mar 27, 2014
  • State-registered IARs · 3 to 6
    Jan 7, 2014 to Mar 27, 2014
  • Discretionary RAUM · $112M to $85.2M
    Jan 7, 2014 to Mar 27, 2014
  • RAUM · $112M to $85.2M
    Jan 7, 2014 to Mar 27, 2014
  • Advisory activities · 2 to 1
    Nov 20, 2013 to Jan 7, 2014
  • Advisory employees · 5 to 3
    Feb 20, 2013 to Mar 26, 2013
  • Employees · 5 to 4
    Feb 20, 2013 to Mar 26, 2013
  • State-registered IARs · 5 to 3
    Feb 20, 2013 to Mar 26, 2013
  • Accounts · 490 to 512
    Nov 12, 2012 to Feb 20, 2013
  • Commission compensation · true to false
    Nov 12, 2012 to Feb 20, 2013
  • Discretionary RAUM · $103M to $112M
    Nov 12, 2012 to Feb 20, 2013
  • RAUM · $103M to $112M
    Nov 12, 2012 to Feb 20, 2013
  • Advisory employees · unset to 5.0
    Feb 10, 2012 to Nov 9, 2012
  • Employees · unset to 5.0
    Feb 10, 2012 to Nov 9, 2012
  • State-registered IARs · 0 to 5
    Feb 10, 2012 to Nov 9, 2012
  • Accounts · 436 to 490
    Dec 16, 2011 to Feb 10, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 16, 2011 to Feb 10, 2012
  • Discretionary RAUM · $102M to $103M
    Dec 16, 2011 to Feb 10, 2012
  • RAUM · $102M to $103M
    Dec 16, 2011 to Feb 10, 2012
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