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

P••••• S••••• F•••••••• G••••• L••

Former SEC-registered adviserRoseville, CaliforniaCRD 149750SEC 801-70018IAPD
Latest filing Jul 15, 2016
First filing on the tape Feb 3, 2012 · 13 filings
RAUM
$84.7M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$84.7M as of Mar 30, 2016
Feb 3, 2012$97.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2016
Feb 3, 20120 then
Employees (5.A)3 as of Mar 30, 2016
Feb 19, 20133 then
Private funds: no history
RAUM -37% over the last fiscal year-8.7% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Jul 15, 2016; every figure names its basis
RAUM per advisor
$42.4MderivedRAUM 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
$243,430derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-37%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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
  • 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)
  • 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
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
348reported
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
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
    • T•••••• S••••• C•••••• · Managing Member/Chief Investment Officercontrol
      since 04/2009 · owns 50% to 75%
    • W••••••••• R•••••• C•••• · Managing Member/Chief Compliance Officercontrol
      since 01/2011 · owns 50% to 75%
    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 · 481 to 348
      Feb 1, 2016 to Mar 30, 2016
    • Advisory activities · 3 to 5
      Feb 1, 2016 to Mar 30, 2016
    • Discretionary RAUM · $123M to $84.3M
      Feb 1, 2016 to Mar 30, 2016
    • Non-discretionary RAUM · $11.2M to $399,657
      Feb 1, 2016 to Mar 30, 2016
    • RAUM · $134M to $84.7M
      Feb 1, 2016 to Mar 30, 2016
    • Advisory employees · 4 to 2
      Sep 1, 2015 to Feb 1, 2016
    • Advisory activities · 4 to 3
      Sep 1, 2015 to Feb 1, 2016
    • Employees · 5 to 3
      Sep 1, 2015 to Feb 1, 2016
    • Financial planning clients · 1-10 to 11-25
      Sep 1, 2015 to Feb 1, 2016
    • State-registered IARs · 4 to 2
      Sep 1, 2015 to Feb 1, 2016
    • Accounts · 428 to 481
      Jan 24, 2014 to Feb 24, 2015
    • Discretionary RAUM · $117M to $123M
      Jan 24, 2014 to Feb 24, 2015
    • Non-discretionary RAUM · $10.0M to $11.2M
      Jan 24, 2014 to Feb 24, 2015
    • RAUM · $127M to $134M
      Jan 24, 2014 to Feb 24, 2015
    • Accounts · 385 to 428
      Feb 19, 2013 to Jan 24, 2014
    • Advisory employees · 3 to 4
      Feb 19, 2013 to Jan 24, 2014
    • Advisory activities · 2 to 4
      Feb 19, 2013 to Jan 24, 2014
    • Employees · 3 to 5
      Feb 19, 2013 to Jan 24, 2014
    • State-registered IARs · 3 to 4
      Feb 19, 2013 to Jan 24, 2014
    • Discretionary RAUM · $102M to $117M
      Feb 19, 2013 to Jan 24, 2014
    • Non-discretionary RAUM · $9.7M to $10.0M
      Feb 19, 2013 to Jan 24, 2014
    • RAUM · $111M to $127M
      Feb 19, 2013 to Jan 24, 2014
    • Accounts · 340 to 385
      Dec 11, 2012 to Feb 19, 2013
    • Employees · 4 to 3
      Dec 11, 2012 to Feb 19, 2013
    • Discretionary RAUM · $88.8M to $102M
      Dec 11, 2012 to Feb 19, 2013
    • Non-discretionary RAUM · $8.6M to $9.7M
      Dec 11, 2012 to Feb 19, 2013
    • RAUM · $97.5M to $111M
      Dec 11, 2012 to Feb 19, 2013
    • Advisory employees · unset to 3.0
      Jul 13, 2012 to Dec 11, 2012
    • BD registered reps · unset to 3.0
      Jul 13, 2012 to Dec 11, 2012
    • Employees · unset to 4.0
      Jul 13, 2012 to Dec 11, 2012
    • State-registered IARs · 0 to 3
      Jul 13, 2012 to Dec 11, 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