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

C•••••• W••••• M••••••••• I•••

Former SEC-registered adviserIrvine, CaliforniaCRD 153258SEC 801-124722IAPD
Latest filing Mar 24, 2022
First filing on the tape Mar 24, 2022 · 2 filings
RAUM
$128M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
94%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$128M as of Mar 24, 2022
Mar 24, 2022$128M then
HNW client RAUM$110M as of Mar 24, 2022
Mar 24, 2022$110M then
State-registered IARs (5.B.3)2 as of Mar 24, 2022
Mar 24, 20222 then
Employees (5.A)3 as of Mar 24, 2022
Mar 24, 20223 then
Private funds: no history
Practice profile
derived from the filing of Mar 24, 2022; every figure names its basis
RAUM per advisor
$63.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$440,525derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$13.4M, 7 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$110M86%
  • Individuals$10.1M7.9%
  • Pension and profit-sharing plans$8.1M6.4%
  • Corporations and businesses$10,4250.0%
Individual clients
38reported
HNW clients
50reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
290reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$13.4M for 7 clientsreported
Compensation
% of AUM, 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
    • C•••••••• G•••• R• · Ceo And Ccocontrol
      since 03/2010 · owns 75% or more
    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
    One filing, no change to show.
    Signals
    4 dated events
    • G••• R• C••••••• left C•••••• W••••• M••••••••• I••• for A••••• W••••• (registered 2023-04-05)
      Apr 13, 2023 · Advisor changed firm · fact
    • 2 advisors left C•••••• W••••• M••••••••• I••• (Irvine, CA) for A••••• W••••• on the same day
      Apr 13, 2023 · Team lift-out · derived
    • T•••• M••••••• O•••••• left C•••••• W••••• M••••••••• I••• for A••••• W••••• (registered 2023-03-03)
      Apr 13, 2023 · Advisor changed firm · fact
    • C•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 24, 2022 · 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.
    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