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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SEC-registered adviser
C••••• A••••••• G••••• L••
Latest filing Apr 15, 2026
First filing on the tape Feb 26, 2015 · 20 filings
SEC status approved since Mar 9, 2015
RAUM
$574M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$423M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$191M
derived; firm RAUM over IAPD count
Employees
3
3 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$574M as of Apr 15, 2026
Mar 28, 2016$171M then
HNW client RAUM$403M as of Apr 15, 2026
Mar 30, 2018$165M then
State-registered IARs (5.B.3)3 as of Apr 15, 2026
Mar 28, 20161 then
Employees (5.A)3 as of Apr 15, 2026
Mar 28, 20161 then
Private funds: no history
RAUM +18% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $191MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $60.1M, 41 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$403M70%
- Charitable organizations$119M21%
- Individuals$20.0M3.5%
- Corporations and businesses$17.0M3.0%
- Pension and profit-sharing plans$15.1M2.6%
- Individual clients
- 73reported
- HNW clients
- 64reported
- Pension plan clients
- 11reported
- Charitable clients
- 3reported
- Accounts
- 548reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.1M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• E••• C••••• | Santa Barbara, Ca | Jan 7, 2010 | 29 y | 2 |
| J••••• D• H••••Certified Financial Planner | Santa Barbara, Ca | Jun 13, 2018 | 17 y | 1 |
| D•••• B•••••• G•••• | Santa Barbara, Ca | May 9, 2023 | 17 y | 0 |
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
Joined, latest
- J••••• D• H•••• from C•••••••• F••••••••• I•••Jun 13, 2018 · Other
- R••• E••• C••••• from C••••••• A•••• M••••••••• L••Jan 7, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••• E••• · Managing Member/Principalcontrolsince 08/2009 · owns 50% to 75%
- H••••• J•••••• D• · Member/Ccocontrolsince 01/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 516 to 548Mar 18, 2025 to Mar 12, 2026
- Corporate clients · 7 to 6Mar 18, 2025 to Mar 12, 2026
- HNW clients · 61 to 64Mar 18, 2025 to Mar 12, 2026
- Individual clients · 66 to 73Mar 18, 2025 to Mar 12, 2026
- Pension plan clients · 10 to 11Mar 18, 2025 to Mar 12, 2026
- Assets in custody · $58.8M to $60.1MMar 18, 2025 to Mar 12, 2026
- Discretionary RAUM · $485M to $572MMar 18, 2025 to Mar 12, 2026
- HNW RAUM · $343M to $403MMar 18, 2025 to Mar 12, 2026
- Individual RAUM · $19.5M to $20.0MMar 18, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $420,034 to $1.3MMar 18, 2025 to Mar 12, 2026
- Pension RAUM · $11.6M to $15.1MMar 18, 2025 to Mar 12, 2026
- RAUM · $485M to $574MMar 18, 2025 to Mar 12, 2026
- Accounts · 444 to 516Mar 6, 2024 to Mar 18, 2025
- Corporate clients · 5 to 7Mar 6, 2024 to Mar 18, 2025
- HNW clients · 57 to 61Mar 6, 2024 to Mar 18, 2025
- Individual clients · 60 to 66Mar 6, 2024 to Mar 18, 2025
- Pension plan clients · 1 to 10Mar 6, 2024 to Mar 18, 2025
- Assets in custody · $55.2M to $58.8MMar 6, 2024 to Mar 18, 2025
- Financial planning clients · 51-100 to 101-250Mar 6, 2024 to Mar 18, 2025
- Discretionary RAUM · $418M to $485MMar 6, 2024 to Mar 18, 2025
- HNW RAUM · $305M to $343MMar 6, 2024 to Mar 18, 2025
- Individual RAUM · $15.4M to $19.5MMar 6, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $525,446 to $420,034Mar 6, 2024 to Mar 18, 2025
- Pension RAUM · $1.4M to $11.6MMar 6, 2024 to Mar 18, 2025
- RAUM · $419M to $485MMar 6, 2024 to Mar 18, 2025
- Accounts · 424 to 444Jul 13, 2023 to Mar 6, 2024
- HNW clients · 55 to 57Jul 13, 2023 to Mar 6, 2024
- Assets in custody · $49.6M to $55.2MJul 13, 2023 to Mar 6, 2024
- Discretionary RAUM · $395M to $418MJul 13, 2023 to Mar 6, 2024
- HNW RAUM · $299M to $305MJul 13, 2023 to Mar 6, 2024
- Individual RAUM · $19.1M to $15.4MJul 13, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $508,407 to $525,446Jul 13, 2023 to Mar 6, 2024
- Pension RAUM · $2.2M to $1.4MJul 13, 2023 to Mar 6, 2024
- RAUM · $396M to $419MJul 13, 2023 to Mar 6, 2024
- Accounts · 375 to 424Jun 14, 2023 to Jul 13, 2023
- Corporate clients · 3 to 5Jun 14, 2023 to Jul 13, 2023
- HNW clients · 51 to 55Jun 14, 2023 to Jul 13, 2023
- Individual clients · 54 to 60Jun 14, 2023 to Jul 13, 2023
- Discretionary RAUM · $322M to $395MJun 14, 2023 to Jul 13, 2023
- HNW RAUM · $250M to $299MJun 14, 2023 to Jul 13, 2023
Signals
3 dated events
- C••••• A••••••• G••••• L•• reported RAUM $371.0M, up 48% from $250.2M (2021-03-08 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- D Joshua Hayes (Member) appeared on Schedule A of C••••• A••••••• G••••• L••Mar 22, 2022 · Control person joined · fact
- C••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2015 · First SEC registration · 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
- Business email
- info@curtisadvisory.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-963-6181reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••-ADVISORY-GROUPreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C•••••ADVISORY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 805-963-6181reportedpublic record, Form ADV, Apr 15, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $191Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026