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•••••• A•••••••• I•••

Former SEC-registered adviserCorte Madera, CaliforniaCRD 148520SEC 801-69732IAPD
Latest filing Mar 1, 2019
First filing on the tape Feb 22, 2012 · 13 filings
RAUM
$285M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
99%
$281M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$285M as of Mar 1, 2019
Feb 22, 2012$170M then
HNW client RAUM$228M as of Mar 1, 2019
Mar 9, 2018$235M then
State-registered IARs (5.B.3)3 as of Mar 1, 2019
Feb 22, 20120 then
Employees (5.A)5 as of Mar 1, 2019
Mar 25, 20135 then
Private funds: no history
RAUM -2.2% over the last fiscal year+6.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 1, 2019; every figure names its basis
RAUM per advisor
$95.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$246,374derivedRAUM over accounts (5.F.2.f)
Discretionary
71%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.6%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$64.6M, 120 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$228M80%
  • Individuals$53.2M19%
  • Pension and profit-sharing plans$3.1M1.1%
  • Charitable organizations$878,4910.3%
  • Corporations and businesses$56,9470.0%
Individual clients
172reported
HNW clients
124reported
Pension plan clients
4reported
Charitable clients
3reported
Accounts
1,158reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$64.6M for 120 clientsreported
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
    • D•••• M•••••••• M••• · Owner And Presidentcontrol
      since 10/2008 · owns 75% or more
    • C•••••••• R••••••• M•••• · Chief Compliance Officer
      since 08/2013 · owns less than 5%
    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 · 1,124 to 1,158
      Mar 9, 2018 to Mar 1, 2019
    • HNW clients · 122 to 124
      Mar 9, 2018 to Mar 1, 2019
    • Individual clients · 161 to 172
      Mar 9, 2018 to Mar 1, 2019
    • Assets in custody · $80.4M to $64.6M
      Mar 9, 2018 to Mar 1, 2019
    • Discretionary RAUM · $203M to $204M
      Mar 9, 2018 to Mar 1, 2019
    • HNW RAUM · $235M to $228M
      Mar 9, 2018 to Mar 1, 2019
    • Individual RAUM · $52.2M to $53.2M
      Mar 9, 2018 to Mar 1, 2019
    • Non-discretionary RAUM · $88.9M to $81.4M
      Mar 9, 2018 to Mar 1, 2019
    • Pension RAUM · $3.0M to $3.1M
      Mar 9, 2018 to Mar 1, 2019
    • RAUM · $292M to $285M
      Mar 9, 2018 to Mar 1, 2019
    • Accounts · 1,132 to 1,124
      Mar 3, 2017 to Mar 9, 2018
    • Charity clients · unset to 3.0
      Mar 3, 2017 to Mar 9, 2018
    • Corporate clients · unset to 1.0
      Mar 3, 2017 to Mar 9, 2018
    • HNW clients · unset to 122.0
      Mar 3, 2017 to Mar 9, 2018
    • Individual clients · unset to 161.0
      Mar 3, 2017 to Mar 9, 2018
    • Pension plan clients · unset to 4.0
      Mar 3, 2017 to Mar 9, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 3, 2017 to Mar 9, 2018
    • Assets in custody · unset to 80350153.0
      Mar 3, 2017 to Mar 9, 2018
    • Custody of client assets · false to true
      Mar 3, 2017 to Mar 9, 2018
    • Employees · 4 to 5
      Mar 3, 2017 to Mar 9, 2018
    • Other offices · unset to 0.0
      Mar 3, 2017 to Mar 9, 2018
    • Discretionary RAUM · $166M to $203M
      Mar 3, 2017 to Mar 9, 2018
    • HNW RAUM · unset to 235363203.0
      Mar 3, 2017 to Mar 9, 2018
    • Individual RAUM · unset to 52183664.0
      Mar 3, 2017 to Mar 9, 2018
    • Non-discretionary RAUM · $80.6M to $88.9M
      Mar 3, 2017 to Mar 9, 2018
    • Pension RAUM · unset to 3041586.0
      Mar 3, 2017 to Mar 9, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 3, 2017 to Mar 9, 2018
    • RAUM · $246M to $292M
      Mar 3, 2017 to Mar 9, 2018
    • Accounts · 1,147 to 1,132
      Jul 26, 2016 to Mar 3, 2017
    • Employees · 6 to 4
      Jul 26, 2016 to Mar 3, 2017
    • State-registered IARs · 2 to 3
      Jul 26, 2016 to Mar 3, 2017
    • Discretionary RAUM · $153M to $166M
      Jul 26, 2016 to Mar 3, 2017
    • Non-discretionary RAUM · $84.9M to $80.6M
      Jul 26, 2016 to Mar 3, 2017
    • RAUM · $238M to $246M
      Jul 26, 2016 to Mar 3, 2017
    • Business name · P•••••• F•••••••• S•••••••• I••• to A•••••• A•••••••• I•••
      Jun 21, 2016 to Jul 26, 2016
    • Legal name · P•••••• F•••••••• S•••••••• I••• to A•••••• A•••••••• I•••
      Jun 21, 2016 to Jul 26, 2016
    • Accounts · 1,112 to 1,147
      Nov 5, 2015 to Mar 22, 2016
    • Employees · 5 to 6
      Nov 5, 2015 to Mar 22, 2016
    • State-registered IARs · 3 to 2
      Nov 5, 2015 to Mar 22, 2016
    • Discretionary RAUM · $0 to $153M
      Nov 5, 2015 to Mar 22, 2016
    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