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•••••••• M••••••••• I•••
Latest filing May 6, 2020
First filing on the tape Jun 5, 2018 · 7 filings
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$137M as of May 4, 2020
Mar 14, 2019$106M then
HNW client RAUM$104M as of May 4, 2020
Mar 14, 2019$73.6M then
State-registered IARs (5.B.3)1 as of May 4, 2020
Mar 14, 20191 then
Employees (5.A)2 as of May 4, 2020
Mar 14, 20192 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 6, 2020; every figure names its basis
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.5MderivedHNW RAUM over HNW clients
- Average account
- $564,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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$104M76%
- Individuals$32.2M24%
- Individual clients
- 57reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 242reported
- 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
Left, latest
none on the tape
Joined, latest
- B•••••• W•••••• C••• from T•• F•••••••• A•••••••Jan 31, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• B••••••• W•••••• · President & Chief Compliance Officercontrolsince 11/2007 · 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 · 202 to 242Apr 28, 2019 to May 4, 2020
- HQ city · PUKALANI to KULAApr 28, 2019 to May 4, 2020
- Discretionary RAUM · $106M to $137MApr 28, 2019 to May 4, 2020
- HNW RAUM · $73.6M to $104MApr 28, 2019 to May 4, 2020
- RAUM · $106M to $137MApr 28, 2019 to May 4, 2020
- Accounts · 208 to 202Dec 20, 2018 to Mar 14, 2019
- Advisory activities · 3 to 2Dec 20, 2018 to Mar 14, 2019
- HNW clients · 24 to 11Dec 20, 2018 to Mar 14, 2019
- Individual clients · 44 to 57Dec 20, 2018 to Mar 14, 2019
- Employees · 3 to 2Dec 20, 2018 to Mar 14, 2019
- HQ city · PUKALAMI to PUKALANIDec 20, 2018 to Mar 14, 2019
- Discretionary RAUM · $107M to $106MDec 20, 2018 to Mar 14, 2019
- HNW RAUM · $92.0M to $73.6MDec 20, 2018 to Mar 14, 2019
- Individual RAUM · $14.7M to $32.2MDec 20, 2018 to Mar 14, 2019
- RAUM · $107M to $106MDec 20, 2018 to Mar 14, 2019
- Accounts · 203 to 208Jun 5, 2018 to Dec 20, 2018
- Advisory activities · 2 to 3Jun 5, 2018 to Dec 20, 2018
- HNW clients · 10 to 24Jun 5, 2018 to Dec 20, 2018
- Individual clients · 57 to 44Jun 5, 2018 to Dec 20, 2018
- HQ city · BEVERLY HILLS to PUKALAMIJun 5, 2018 to Dec 20, 2018
- HQ state · CA to HIJun 5, 2018 to Dec 20, 2018
- Other offices · 1 to 0Jun 5, 2018 to Dec 20, 2018
- Discretionary RAUM · $112M to $107MJun 5, 2018 to Dec 20, 2018
- HNW RAUM · $76.3M to $92.0MJun 5, 2018 to Dec 20, 2018
- Individual RAUM · $35.9M to $14.7MJun 5, 2018 to Dec 20, 2018
- Non-discretionary RAUM · $1.1M to $0Jun 5, 2018 to Dec 20, 2018
- Pension RAUM · 1149145.0 to unsetJun 5, 2018 to Dec 20, 2018
- RAUM · $113M to $107MJun 5, 2018 to Dec 20, 2018
Signals
1 dated events
- C••• F•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 5, 2018 · 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