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.

Former SEC-registered adviser

Delphi Private Advisors

Former SEC-registered adviserSan Diego, CaliforniaCRD 151135SEC 801-70708IAPD
Legal name Delphi Private Advisors, LLC
Latest filing Feb 5, 2019
First filing on the tape Mar 15, 2012 · 20 filings
RAUM
$860M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$828M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$860M as of Feb 5, 2019
Mar 15, 2012$164M then
HNW client RAUM$817M as of Feb 5, 2019
Mar 2, 2018$880M then
State-registered IARs (5.B.3)10 as of Feb 5, 2019
Mar 15, 20120 then
Employees (5.A)10 as of Feb 5, 2019
Apr 1, 20137 then
Private funds: no history
RAUM -9.3% over the last fiscal year+17% a year over threeIARs 8 to 10
Practice profile
derived from the filing of Feb 5, 2019; every figure names its basis
RAUM per advisor
$86.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.3%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$848MreportedItem 5.I
Custody
$158M, 18 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$817M95%
  • Charitable organizations$31.8M3.7%
  • Individuals$11.3M1.3%
Individual clients
30reported
HNW clients
152reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
759reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$158M for 18 clientsreported
Compensation
% of AUMreported
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
Joined, 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
    • Steven Gary Hirschfeld · Director Of Firm Administration And Chief Compliance Officercontrol
      since 12/2016 · owns less than 5%
    • Fraser Keith Mckenzie · Managing Membercontrol
      since 11/2009 · owns 50% to 75%
    • Michael Darren Reinig · Managing Membercontrol
      since 11/2009 · 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 · 635 to 759
      Oct 11, 2018 to Feb 5, 2019
    • Advisory employees · 9 to 7
      Oct 11, 2018 to Feb 5, 2019
    • Charity clients · 1.0 to unset
      Oct 11, 2018 to Feb 5, 2019
    • HNW clients · 137 to 152
      Oct 11, 2018 to Feb 5, 2019
    • Individual clients · 72 to 30
      Oct 11, 2018 to Feb 5, 2019
    • Pension plan clients · 1.0 to unset
      Oct 11, 2018 to Feb 5, 2019
    • Assets in custody · unset to 157531695.0
      Oct 11, 2018 to Feb 5, 2019
    • Custody of client assets · false to true
      Oct 11, 2018 to Feb 5, 2019
    • Employees · 9 to 10
      Oct 11, 2018 to Feb 5, 2019
    • Financial planning clients · 51-100 to 26-50
      Oct 11, 2018 to Feb 5, 2019
    • State-registered IARs · 8 to 10
      Oct 11, 2018 to Feb 5, 2019
    • Discretionary RAUM · $949M to $860M
      Oct 11, 2018 to Feb 5, 2019
    • HNW RAUM · $880M to $817M
      Oct 11, 2018 to Feb 5, 2019
    • Individual RAUM · $33.1M to $11.3M
      Oct 11, 2018 to Feb 5, 2019
    • Pension RAUM · 1043060.0 to unset
      Oct 11, 2018 to Feb 5, 2019
    • RAUM · $949M to $860M
      Oct 11, 2018 to Feb 5, 2019
    • Accounts · 645 to 635
      Sep 29, 2017 to Mar 2, 2018
    • Advisory employees · 7 to 9
      Sep 29, 2017 to Mar 2, 2018
    • Charity clients · unset to 1.0
      Sep 29, 2017 to Mar 2, 2018
    • HNW clients · unset to 137.0
      Sep 29, 2017 to Mar 2, 2018
    • Individual clients · unset to 72.0
      Sep 29, 2017 to Mar 2, 2018
    • Pension plan clients · unset to 1.0
      Sep 29, 2017 to Mar 2, 2018
    • Employees · 8 to 9
      Sep 29, 2017 to Mar 2, 2018
    • State-registered IARs · 7 to 8
      Sep 29, 2017 to Mar 2, 2018
    • Other offices · unset to 0.0
      Sep 29, 2017 to Mar 2, 2018
    • Discretionary RAUM · $746M to $949M
      Sep 29, 2017 to Mar 2, 2018
    • HNW RAUM · unset to 879757162.0
      Sep 29, 2017 to Mar 2, 2018
    • Individual RAUM · unset to 33056196.0
      Sep 29, 2017 to Mar 2, 2018
    • Pension RAUM · unset to 1043060.0
      Sep 29, 2017 to Mar 2, 2018
    • RAUM · $746M to $949M
      Sep 29, 2017 to Mar 2, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 29, 2017 to Mar 2, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 29, 2017 to Mar 2, 2018
    • Accounts · 538 to 645
      Mar 16, 2016 to Jan 6, 2017
    • Advisory employees · 8 to 7
      Mar 16, 2016 to Jan 6, 2017
    • Employees · 9 to 8
      Mar 16, 2016 to Jan 6, 2017
    • State-registered IARs · 8 to 7
      Mar 16, 2016 to Jan 6, 2017
    • Discretionary RAUM · $542M to $746M
      Mar 16, 2016 to Jan 6, 2017
    • RAUM · $542M to $746M
      Mar 16, 2016 to Jan 6, 2017
    • Accounts · 452 to 538
      Nov 6, 2015 to Mar 16, 2016
    • Discretionary RAUM · $419M to $542M
      Nov 6, 2015 to Mar 16, 2016
    Signals
    1 dated events
    • Delphi Private Advisors reported RAUM $948.9M, up 27% from $746.0M (2017-09-29 to 2018-03-02)
      Mar 2, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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