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•••••••• C•••••• L••

Former SEC-registered adviserKetchum, IdahoCRD 144480SEC 801-68164IAPD
Latest filing Jul 20, 2020
First filing on the tape Feb 21, 2012 · 29 filings
RAUM
$553M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$511M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$553M as of Mar 5, 2020
Feb 21, 2012$275M then
HNW client RAUM$454M as of Mar 5, 2020
Feb 28, 2018$414M then
State-registered IARs (5.B.3)8 as of Mar 5, 2020
Feb 21, 20120 then
Employees (5.A)10 as of Mar 5, 2020
Mar 8, 20138 then
Private funds: no history
RAUM +25% over the last fiscal year+15% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jul 20, 2020; every figure names its basis
RAUM per advisor
$69.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$670,865derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$454M82%
  • Individuals$57.0M10%
  • Charitable organizations$42.6M7.7%
Individual clients
148reported
HNW clients
115reported
Pension plan clients
0reported
Charitable clients
13reported
Accounts
825reported
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
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•••••• M•••• L••••••• · Chairman/Managing Membercontrol
      since 06/2007 · owns less than 5%
    • E••••••• J••••• R•••••• · President/Chief Compliance Officer/Managing Membercontrol
      since 06/2007 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • San Francisco, CA4 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 907 to 825
      Mar 4, 2019 to Mar 5, 2020
    • Advisory employees · 7 to 8
      Mar 4, 2019 to Mar 5, 2020
    • Charity clients · 17 to 13
      Mar 4, 2019 to Mar 5, 2020
    • Corporate clients · unset to 0.0
      Mar 4, 2019 to Mar 5, 2020
    • HNW clients · 168 to 115
      Mar 4, 2019 to Mar 5, 2020
    • Individual clients · 95 to 148
      Mar 4, 2019 to Mar 5, 2020
    • Pension plan clients · unset to 0.0
      Mar 4, 2019 to Mar 5, 2020
    • Pooled vehicle clients · unset to 0.0
      Mar 4, 2019 to Mar 5, 2020
    • Employees · 9 to 10
      Mar 4, 2019 to Mar 5, 2020
    • State-registered IARs · 7 to 8
      Mar 4, 2019 to Mar 5, 2020
    • Organization form · Limited Liability Company to Limited Liability Partnership
      Mar 4, 2019 to Mar 5, 2020
    • Discretionary RAUM · $441M to $552M
      Mar 4, 2019 to Mar 5, 2020
    • HNW RAUM · $402M to $454M
      Mar 4, 2019 to Mar 5, 2020
    • Individual RAUM · $16.6M to $57.0M
      Mar 4, 2019 to Mar 5, 2020
    • Non-discretionary RAUM · $1.9M to $1.3M
      Mar 4, 2019 to Mar 5, 2020
    • Pension RAUM · unset to 0.0
      Mar 4, 2019 to Mar 5, 2020
    • Pooled vehicle RAUM · unset to 0.0
      Mar 4, 2019 to Mar 5, 2020
    • RAUM · $443M to $553M
      Mar 4, 2019 to Mar 5, 2020
    • Accounts · 840 to 907
      Feb 14, 2019 to Mar 4, 2019
    • Charity clients · 14 to 17
      Feb 14, 2019 to Mar 4, 2019
    • HNW clients · 157 to 168
      Feb 14, 2019 to Mar 4, 2019
    • Individual clients · 113 to 95
      Feb 14, 2019 to Mar 4, 2019
    • Discretionary RAUM · $454M to $441M
      Feb 14, 2019 to Mar 4, 2019
    • HNW RAUM · $414M to $402M
      Feb 14, 2019 to Mar 4, 2019
    • Individual RAUM · $19.2M to $16.6M
      Feb 14, 2019 to Mar 4, 2019
    • Non-discretionary RAUM · $1.9M to $1.9M
      Feb 14, 2019 to Mar 4, 2019
    • RAUM · $456M to $443M
      Feb 14, 2019 to Mar 4, 2019
    • Accounts · 785 to 840
      Feb 22, 2017 to Feb 28, 2018
    • Charity clients · unset to 14.0
      Feb 22, 2017 to Feb 28, 2018
    • HNW clients · unset to 157.0
      Feb 22, 2017 to Feb 28, 2018
    • Individual clients · unset to 113.0
      Feb 22, 2017 to Feb 28, 2018
    • Employees · 10 to 9
      Feb 22, 2017 to Feb 28, 2018
    • State-registered IARs · 8 to 7
      Feb 22, 2017 to Feb 28, 2018
    • Other offices · unset to 2.0
      Feb 22, 2017 to Feb 28, 2018
    • Discretionary RAUM · $366M to $454M
      Feb 22, 2017 to Feb 28, 2018
    • HNW RAUM · unset to 414182858.0
      Feb 22, 2017 to Feb 28, 2018
    • Individual RAUM · unset to 19180188.0
      Feb 22, 2017 to Feb 28, 2018
    • Non-discretionary RAUM · $1.3M to $1.9M
      Feb 22, 2017 to Feb 28, 2018
    • RAUM · $367M to $456M
      Feb 22, 2017 to Feb 28, 2018
    • Accounts · 759 to 785
      Aug 10, 2016 to Feb 22, 2017
    Signals
    1 dated events
    • C•••••••• C•••••• L•• reported RAUM $553.5M, up 25% from $442.6M (2019-03-04 to 2020-03-05)
      Mar 5, 2020 · RAUM change · derived
    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