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

A••••• F•••••••• G••••• L••

Former SEC-registered adviserCarmel, CaliforniaCRD 144850SEC 801-68754IAPD
Latest filing Oct 5, 2012
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$36.0M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$36.2M gross assets
History
6 filings and snapshots on the tape
RAUM$36.0M as of Oct 5, 2012
Mar 30, 2012$333M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Oct 5, 2012
Mar 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 5, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$36.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$36.0M, 1 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$36.0M for 1 clientsreported
Compensation
% of AUM, performancereported
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S••••••••• T•••• R••••• F•••• L•Other Private Fund$36.2M19Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • C•••••• B••••• T••••• · Owner And Managing Membercontrol
    since 03/2008 · owns 25% to 50%
  • G••••••• R•••• C••••••••• M•••••• · Chief Financial Officer/Chief Legal Officercontrol
    since 03/2008 · owns less than 5%
  • G•••••• D•••••• J••••• · President/Chief Compliance Officer/Chief Operating Officercontrol
    since 03/2008 · owns less than 5%
  • B••••••••• C•••• A••• · Trusteecontrol
    since 11/2007 · owns F of B•••••••• F••••• T••••
  • B••••••••• J•••• · Trusteecontrol
    since 11/2007 · owns F of B•••••••• F••••• T••••
Entity owners
  • B•••••••• F••••• T•••• · Owner
    direct · owns 10% to 25%
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
  • Insurance-licensed employees · 2 to 0
    Sep 6, 2012 to Oct 5, 2012
  • Related adviser · true to false
    Sep 6, 2012 to Oct 5, 2012
  • Insurance-licensed employees · 3 to 2
    Jul 20, 2012 to Sep 6, 2012
  • Related adviser · false to true
    Jul 20, 2012 to Sep 6, 2012
  • Related broker-dealer · false to true
    Jul 20, 2012 to Sep 6, 2012
  • Accounts · 305 to 1
    Apr 30, 2012 to Jul 20, 2012
  • Advisory activities · 4 to 1
    Apr 30, 2012 to Jul 20, 2012
  • Commission compensation · true to false
    Apr 30, 2012 to Jul 20, 2012
  • Assets in custody · $35.0M to $36.0M
    Apr 30, 2012 to Jul 20, 2012
  • Insurance-licensed employees · 0 to 3
    Apr 30, 2012 to Jul 20, 2012
  • Financial planning clients · 11-25 to 0
    Apr 30, 2012 to Jul 20, 2012
  • Discretionary RAUM · $320M to $36.0M
    Apr 30, 2012 to Jul 20, 2012
  • Non-discretionary RAUM · $13.0M to $0
    Apr 30, 2012 to Jul 20, 2012
  • RAUM · $333M to $36.0M
    Apr 30, 2012 to Jul 20, 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