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

A••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserGranite Bay, CaliforniaCRD 152248SEC 801-67636IAPD
Legal name A•••••• F•••• C•••••• M••••••••• L••
Latest filing Apr 1, 2021
First filing on the tape Dec 12, 2011 · 35 filings
RAUM
$30.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$3.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$30.7M as of Apr 1, 2021
Jan 23, 2012$163M then
HNW client RAUM$3.8M as of Apr 1, 2021
Mar 29, 2019$3.6M then
State-registered IARs (5.B.3)1 as of Apr 1, 2021
Jan 23, 20120 then
Employees (5.A)2 as of Apr 1, 2021
Apr 1, 20138 then
Private funds: no history
RAUM -43% over the last fiscal year-24% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2021; every figure names its basis
RAUM per advisor
$30.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$7.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for investment companiesreportedItem 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
  • 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
  • Investment companies$26.9M88%
  • High-net-worth individuals$3.8M12%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• R•••••• L•• · Membercontrol
    since 01/2009 · owns 10% to 25%
  • G••••••••• R•••• A•••• · Ceo / President / Executive Representative / Membercontrol
    since 02/2007 · owns 25% to 50%
  • R••••• R•••••• G••••••• · Chief Compliance Officercontrol
    since 09/2020 · owns less than 5%
  • G••••••••• L•••••••• A•••• · Vp Customer Relations
    since 08/2016 · owns less than 5%
  • M•••••••• J••••• M•••••• · Trustee
    since 02/1997 · owns 25% to 50% of M••••••• F••••• T••••
Entity owners
  • M••••••• F••••• T•••• · Member
    direct · owns 5% to 10%
Related persons
Schedule D 7.A
  • A••••••••• Q••••••••• F••••
    n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 14 to 4
    Jun 29, 2020 to Apr 1, 2021
  • BD registered reps · 0 to 1
    Jun 29, 2020 to Apr 1, 2021
  • HNW clients · unset to 3.0
    Jun 29, 2020 to Apr 1, 2021
  • Financial planning clients · 0 to unset
    Jun 29, 2020 to Apr 1, 2021
  • HQ city · ROSEVILLE to GRANITE BAY
    Jun 29, 2020 to Apr 1, 2021
  • Discretionary RAUM · $53.9M to $30.7M
    Jun 29, 2020 to Apr 1, 2021
  • HNW RAUM · $3.5M to $3.8M
    Jun 29, 2020 to Apr 1, 2021
  • Individual RAUM · 392599.0 to unset
    Jun 29, 2020 to Apr 1, 2021
  • RAUM · $53.9M to $30.7M
    Jun 29, 2020 to Apr 1, 2021
  • Related adviser · false to true
    Jun 29, 2020 to Apr 1, 2021
  • Employees · 3 to 2
    Mar 29, 2019 to May 26, 2020
  • Discretionary RAUM · $59.1M to $53.9M
    Mar 29, 2019 to May 26, 2020
  • Accounts · 17 to 14
    Mar 29, 2019 to May 26, 2020
  • HNW RAUM · $3.6M to $3.5M
    Mar 29, 2019 to May 26, 2020
  • Individual RAUM · $549,000 to $392,599
    Mar 29, 2019 to May 26, 2020
  • RAUM · $59.1M to $53.9M
    Mar 29, 2019 to May 26, 2020
  • Accounts · 51 to 17
    Sep 26, 2018 to Mar 29, 2019
  • Advisory employees · 3 to 1
    Sep 26, 2018 to Mar 29, 2019
  • Employees · 8 to 3
    Sep 26, 2018 to Mar 29, 2019
  • Discretionary RAUM · $65.0M to $59.1M
    Sep 26, 2018 to Mar 29, 2019
  • HNW RAUM · unset to 3558000.0
    Sep 26, 2018 to Mar 29, 2019
  • Individual RAUM · unset to 549000.0
    Sep 26, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $5.0M to $0
    Sep 26, 2018 to Mar 29, 2019
  • RAUM · $70.0M to $59.1M
    Sep 26, 2018 to Mar 29, 2019
  • Related adviser · true to false
    Sep 26, 2018 to Mar 29, 2019
  • Related broker-dealer · true to false
    Sep 26, 2018 to Mar 29, 2019
  • Accounts · 81 to 51
    Jan 26, 2018 to Mar 15, 2018
  • HNW clients · 40.0 to unset
    Jan 26, 2018 to Mar 15, 2018
  • Employees · 4 to 8
    Jan 26, 2018 to Mar 15, 2018
  • Discretionary RAUM · $93.0M to $65.0M
    Jan 26, 2018 to Mar 15, 2018
  • HNW RAUM · 65000000.0 to unset
    Jan 26, 2018 to Mar 15, 2018
  • RAUM · $98.0M to $70.0M
    Jan 26, 2018 to Mar 15, 2018
  • Advisory employees · 2 to 3
    Jan 23, 2018 to Jan 26, 2018
  • Employees · 5 to 4
    Jan 23, 2018 to Jan 26, 2018
  • HNW clients · unset to 40.0
    Jul 20, 2017 to Jan 23, 2018
  • Other offices · unset to 0.0
    Jul 20, 2017 to Jan 23, 2018
  • HNW RAUM · unset to 65000000.0
    Jul 20, 2017 to Jan 23, 2018
  • Related adviser · false to true
    Jul 20, 2017 to Jan 23, 2018
  • Related broker-dealer · false to true
    Jul 20, 2017 to Jan 23, 2018
  • Employees · 6 to 5
    Mar 8, 2017 to Mar 23, 2017
Signals
1 dated events
  • Garfield Robert Roach (Chief Compliance Officer) appeared on Schedule A of A••••••••• C•••••• M••••••••• L••
    Apr 1, 2021 · Control person joined · fact
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