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

L•••• F•••••••• G••••• I•••

Former SEC-registered adviserThousand Oaks, CaliforniaCRD 146421SEC 801-70245IAPD
Latest filing Mar 22, 2019
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$307M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$304M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$307M as of Mar 22, 2019
Mar 30, 2012$127M then
HNW client RAUM$228M as of Mar 22, 2019
Mar 28, 2018$154M then
State-registered IARs (5.B.3)4 as of Mar 22, 2019
Mar 26, 20134 then
Employees (5.A)7 as of Mar 22, 2019
Mar 26, 20136 then
Private funds: no history
RAUM +8.8% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 22, 2019; every figure names its basis
RAUM per advisor
$76.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$387,151derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+19%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$228M74%
  • Individuals$76.1M25%
  • Pension and profit-sharing plans$2.3M0.7%
Individual clients
134reported
HNW clients
161reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
792reported
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
    • L••••• C••••••••• A•••••• · President And Chief Compliance Officercontrol
      since 03/2008 · owns 75% or more
    • B••••••••• J••••••• A••••• · Vice President
      since 01/2014 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 664 to 792
      Nov 13, 2018 to Mar 22, 2019
    • HNW clients · 136 to 161
      Nov 13, 2018 to Mar 22, 2019
    • Individual clients · 111 to 134
      Nov 13, 2018 to Mar 22, 2019
    • Pension plan clients · 6.0 to unset
      Nov 13, 2018 to Mar 22, 2019
    • Assets in custody · 20283842.0 to unset
      Nov 13, 2018 to Mar 22, 2019
    • Custody of client assets · true to false
      Nov 13, 2018 to Mar 22, 2019
    • Discretionary RAUM · $282M to $307M
      Nov 13, 2018 to Mar 22, 2019
    • HNW RAUM · $154M to $228M
      Nov 13, 2018 to Mar 22, 2019
    • Individual RAUM · $119M to $76.1M
      Nov 13, 2018 to Mar 22, 2019
    • Pension RAUM · $8.5M to $2.3M
      Nov 13, 2018 to Mar 22, 2019
    • RAUM · $282M to $307M
      Nov 13, 2018 to Mar 22, 2019
    • Insurance-licensed employees · 0 to 4
      Mar 28, 2018 to Nov 13, 2018
    • Related adviser · false to true
      Mar 28, 2018 to Nov 13, 2018
    • Accounts · 685 to 664
      Mar 29, 2017 to Mar 28, 2018
    • HNW clients · unset to 136.0
      Mar 29, 2017 to Mar 28, 2018
    • Individual clients · unset to 111.0
      Mar 29, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 6.0
      Mar 29, 2017 to Mar 28, 2018
    • Assets in custody · unset to 20283842.0
      Mar 29, 2017 to Mar 28, 2018
    • Custody of client assets · false to true
      Mar 29, 2017 to Mar 28, 2018
    • Employees · 6 to 7
      Mar 29, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Mar 28, 2018
    • Discretionary RAUM · $224M to $282M
      Mar 29, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 154397779.0
      Mar 29, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 118872625.0
      Mar 29, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 8542663.0
      Mar 29, 2017 to Mar 28, 2018
    • RAUM · $224M to $282M
      Mar 29, 2017 to Mar 28, 2018
    • Accounts · 597 to 685
      Mar 8, 2016 to Mar 29, 2017
    • Employees · 8 to 6
      Mar 8, 2016 to Mar 29, 2017
    • Discretionary RAUM · $187M to $224M
      Mar 8, 2016 to Mar 29, 2017
    • RAUM · $187M to $224M
      Mar 8, 2016 to Mar 29, 2017
    • Accounts · 550 to 597
      Sep 8, 2015 to Mar 8, 2016
    • Advisory employees · 3 to 4
      Sep 8, 2015 to Mar 8, 2016
    • Employees · 6 to 8
      Sep 8, 2015 to Mar 8, 2016
    • State-registered IARs · 3 to 4
      Sep 8, 2015 to Mar 8, 2016
    • Discretionary RAUM · $184M to $187M
      Sep 8, 2015 to Mar 8, 2016
    • RAUM · $184M to $187M
      Sep 8, 2015 to Mar 8, 2016
    • Accounts · 530 to 550
      Mar 24, 2015 to Sep 1, 2015
    • Discretionary RAUM · $180M to $184M
      Mar 24, 2015 to Sep 1, 2015
    • RAUM · $180M to $184M
      Mar 24, 2015 to Sep 1, 2015
    • Accounts · 566 to 530
      Mar 15, 2014 to Mar 24, 2015
    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