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

V••••• F••••••••• L••

Former SEC-registered adviserArroyo Grande, CaliforniaCRD 149909SEC 801-70489IAPD
Latest filing May 31, 2017
First filing on the tape Mar 14, 2012 · 24 filings
RAUM
$40.7M
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
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$40.7M as of Mar 29, 2017
Mar 14, 2012$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 29, 2017
Mar 14, 20120 then
Employees (5.A)9 as of Mar 29, 2017
Mar 15, 20135 then
Private funds: no history
RAUM -74% over the last fiscal year-28% a year over threeIARs 8 to 8
Practice profile
derived from the filing of May 31, 2017; every figure names its basis
RAUM per advisor
$5.1MderivedRAUM 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
$151,422derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-74%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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, portfolio management for businesses and institutions, 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
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
269reported
Financial planning clients
1-10reported
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
    • I••• D••••• A•••• · Chief Compliance Officercontrol
      since 10/2014 · owns less than 5%
    • S••••• K••••• M••••• · Membercontrol
      since 05/2012 · owns 25% to 50%
    • S•••••••• A•••• B•••• · Managing Membercontrol
      since 09/2009 · owns 25% to 50%
    • S••••••• K••••• C•••••• · Membercontrol
      since 02/2012 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • D••••• J••• R•••
      insurancen
    • W••••••••• I•••••••• S•••••••• L••
      real estaten
    • W•••••••••
      investment adviseryRAUM $2.1B
    Offices
    Schedule D 1.F, the 25 largest
    • Arroyo Grande, CA
    • San Luis Obispo, CA
    • Santa Maria, CA
    • Solvang, CA
    • Woodland Hills, CA
    What changed
    consecutive filings, newest first
    • HQ city · SAN LUIS OBISPO to ARROYO GRANDE
      Mar 29, 2017 to May 31, 2017
    • Accounts · 830 to 269
      Feb 26, 2016 to Mar 29, 2017
    • Employees · 14 to 9
      Feb 26, 2016 to Mar 29, 2017
    • Financial planning clients · 0 to 1-10
      Feb 26, 2016 to Mar 29, 2017
    • Discretionary RAUM · $153M to $40.7M
      Feb 26, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $5.5M to $0
      Feb 26, 2016 to Mar 29, 2017
    • RAUM · $158M to $40.7M
      Feb 26, 2016 to Mar 29, 2017
    • Accounts · 806 to 830
      Oct 14, 2015 to Feb 26, 2016
    • Financial planning clients · 1-10 to 0
      Oct 14, 2015 to Feb 26, 2016
    • Discretionary RAUM · $138M to $153M
      Oct 14, 2015 to Feb 26, 2016
    • Non-discretionary RAUM · $5.6M to $5.5M
      Oct 14, 2015 to Feb 26, 2016
    • RAUM · $143M to $158M
      Oct 14, 2015 to Feb 26, 2016
    • Related adviser · false to true
      Oct 14, 2015 to Feb 26, 2016
    • Advisory employees · 7 to 8
      Jun 2, 2015 to Aug 20, 2015
    • Employees · 13 to 14
      Jun 2, 2015 to Aug 20, 2015
    • State-registered IARs · 7 to 8
      Jun 2, 2015 to Aug 20, 2015
    • Advisory employees · 6 to 7
      Apr 10, 2015 to Jun 2, 2015
    • BD registered reps · 1 to 2
      Apr 10, 2015 to Jun 2, 2015
    • Employees · 11 to 13
      Apr 10, 2015 to Jun 2, 2015
    • State-registered IARs · 6 to 7
      Apr 10, 2015 to Jun 2, 2015
    • Related adviser · true to false
      Apr 10, 2015 to Jun 2, 2015
    • Accounts · 774 to 806
      Jun 26, 2014 to Jan 27, 2015
    • Advisory employees · 4 to 6
      Jun 26, 2014 to Jan 27, 2015
    • Advisory activities · 3 to 4
      Jun 26, 2014 to Jan 27, 2015
    • Employees · 8 to 11
      Jun 26, 2014 to Jan 27, 2015
    • State-registered IARs · 4 to 6
      Jun 26, 2014 to Jan 27, 2015
    • Discretionary RAUM · $106M to $138M
      Jun 26, 2014 to Jan 27, 2015
    • Non-discretionary RAUM · $4.7M to $5.6M
      Jun 26, 2014 to Jan 27, 2015
    • RAUM · $111M to $143M
      Jun 26, 2014 to Jan 27, 2015
    • Related insurance company · false to true
      Jun 26, 2014 to Jan 27, 2015
    • Accounts · 900 to 774
      Feb 11, 2014 to Mar 31, 2014
    • Advisory employees · 7 to 4
      Feb 11, 2014 to Mar 31, 2014
    • Commission compensation · true to false
      Feb 11, 2014 to Mar 31, 2014
    • Employees · 7 to 8
      Feb 11, 2014 to Mar 31, 2014
    • Insurance-licensed employees · 0 to 1
      Feb 11, 2014 to Mar 31, 2014
    • Financial planning clients · 0 to 1-10
      Feb 11, 2014 to Mar 31, 2014
    • Discretionary RAUM · $158M to $106M
      Feb 11, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $0 to $4.7M
      Feb 11, 2014 to Mar 31, 2014
    • RAUM · $158M to $111M
      Feb 11, 2014 to Mar 31, 2014
    • Related adviser · false to true
      Feb 11, 2014 to Mar 31, 2014
    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