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

T•• S••••••• G••••

Former SEC-registered adviserRoseville, CaliforniaCRD 150705SEC 801-70367IAPD
Legal name C•••••• I••••••••• M••••••••• L••
Latest filing Mar 27, 2014
First filing on the tape Mar 6, 2012 · 6 filings
RAUM
$66.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$22.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$66.2M as of Mar 27, 2014
Mar 6, 2012$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2014
Mar 6, 20120 then
Employees (5.A)3 as of Mar 27, 2014
Mar 27, 20134 then
Private funds: no history
RAUM -29% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
RAUM per advisor
$22.1MderivedRAUM 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
$118,644derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
558reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••• J•••• H•••••••••Roseville, CaSep 2, 200934 y3
S••• A•••••• L••••••Menifee, CaSep 2, 200932 y3
A•••••• M••••••• P•••••••Menifee, CaJan 2, 202617 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• K•••• J•••• · Managing Membercontrol
      since 09/2009 · owns 50% to 75%
    • L••••••• S•••• A•••••• · Managing Member And Chief Compliance Officercontrol
      since 09/2009 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Menifee, Ca210
    Offices
    Schedule D 1.F, the 25 largest
    • Laguna Niguel, CA
    What changed
    consecutive filings, newest first
    • Advisory activities · 2 to 1
      Feb 14, 2014 to Mar 27, 2014
    • BD registered reps · 2 to 3
      Feb 14, 2014 to Mar 27, 2014
    • Employees · 4 to 3
      Feb 14, 2014 to Mar 27, 2014
    • State-registered IARs · 4 to 3
      Feb 14, 2014 to Mar 27, 2014
    • Accounts · 394 to 558
      Mar 27, 2013 to Feb 14, 2014
    • Advisory activities · 5 to 2
      Mar 27, 2013 to Feb 14, 2014
    • Legal name · CAPITAL INVESTMENT MANAGEMENT GROUP, INC. to C•••••• I••••••••• M••••••••• L••
      Mar 27, 2013 to Feb 14, 2014
    • Discretionary RAUM · $93.9M to $66.2M
      Mar 27, 2013 to Feb 14, 2014
    • RAUM · $93.9M to $66.2M
      Mar 27, 2013 to Feb 14, 2014
    • Succession · true to false
      Mar 27, 2013 to Feb 14, 2014
    • Accounts · 362 to 394
      Jun 12, 2012 to Mar 27, 2013
    • Advisory employees · unset to 3.0
      Jun 12, 2012 to Mar 27, 2013
    • BD registered reps · unset to 2.0
      Jun 12, 2012 to Mar 27, 2013
    • Employees · unset to 4.0
      Jun 12, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 4
      Jun 12, 2012 to Mar 27, 2013
    • Organization form · Corporation to Limited Liability Company
      Jun 12, 2012 to Mar 27, 2013
    • Discretionary RAUM · $103M to $93.9M
      Jun 12, 2012 to Mar 27, 2013
    • RAUM · $103M to $93.9M
      Jun 12, 2012 to Mar 27, 2013
    • Succession · false to true
      Jun 12, 2012 to Mar 27, 2013
    Signals
    1 dated events
    • T•• S••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 27, 2013 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Website
    S•••••••GROUP.NETreportedpublic record, Form ADV, Sep 19, 2026
    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
    $22.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026