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
M••••••• P••••••• S••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Aug 26, 2026 · 1 filings
RAUM
$25.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
59%
$14.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
- RAUM per advisor
- $4.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $192,253derivedHNW RAUM over HNW clients
- Average account
- $190,788derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planningreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$10.4M41%
- High-net-worth individuals$8.3M33%
- Individuals$6.7M26%
- Corporations and businesses$27,2230.1%
- Individual clients
- 80reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 133reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• W•••• T••••• | Brea, Ca | Jul 10, 2013 | 36 y | 2 |
| B•••• H•••• T••••Certified Financial Planner | Nampa, Id | Nov 26, 2013 | 27 y | 5 |
| A••••• C••••••••• P••• | Lansing, Mi | Aug 6, 2014 | 32 y | 5 |
| D••••• M•••••• T••••••• | Nampa, Id | Aug 8, 2023 | 15 y | 0 |
| V••••••• E• H••••• | Brea, Ca | Jan 1, 2025 | 20 y | 1 |
| B•••• P•••••• S•••••• | Brea, Ca | Jul 28, 2025 | 26 y | 4 |
| R••• D•••• Z••• | Fresno, Ca | Apr 29, 2026 | 14 y | 4 |
| R••••• V•••••Certified Financial Planner | Brea, Ca | Aug 7, 2026 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 days2 left over 36 months
Left, latest
- D•••• R••••• L••• to L••• W••••• A••••••• L••Feb 18, 2025 · Other
- C••• P••••• to 7•• C••••••• L••Jul 25, 2024 · Other
- M••••••• V•••••• L••••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Apr 16, 2020 · Other
- M••• A••• L••••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Apr 16, 2020 · Other
- B•••• A••• B••••••• to N••• F•••••••• S•••••••Feb 28, 2017 · Other
- M•••••• J••••• E•••• to C•••• C•••••• S••••••••• L•••Mar 15, 2016 · Other
Joined, latest
- R••••• V••••• from E••••• J••••Aug 7, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- R••• D•••• Z••• from H••••• B••••• S••••••••• L••Apr 29, 2026 · RIA to a state-registered adviser
- B•••• P•••••• S•••••• from C•••••• G•••• • C• I••Jul 28, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- D•••• R••••• L••• from M•••••• A•••••• N••••••Jan 10, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- V••••••• E• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 1, 2025 · Wirehouse to a state-registered adviser
- M••••••• V•••••• L••••••••• from P••••••••• S••••••••• C•••••••••Apr 24, 2019 · RIA to a state-registered adviser
- M••• A••• L••••••••• from P••••••••• S••••••••• C•••••••••Apr 23, 2019 · RIA to a state-registered adviser
- M•••••• J••••• E•••• from E•••••••• A•••••••• L••Jun 30, 2015 · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• C••••••••• P••• from C••••• A•••••• N••••••• L••Aug 6, 2014 · Other
- B•••• H•••• T•••• from G• A• R••••• • C••••••Nov 26, 2013 · Other
- B•••• A••• B••••••• from V••••••••• A••••••• S•••••••Sep 9, 2013 · Other
- J••••• W•••• T••••• from S••••••••• F••••••••• I•••Jul 10, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Apr 16, 2020 · Tulare, Ca
- 2 joined from P••••••••• S••••••••• C•••••••••Apr 18, 2019 · Tulare, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Brea, Ca · principal | 7 | 1 | 0 | ||
| Fresno, Ca | 3 | 1 | 0 | ||
| Glendora, Ca | 2 | 1 | 0 | ||
| Nampa, Id | 2 | 0 | 0 | ||
| Geneva, Il | 0 | 0 | 0 |
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
2 dated events
- D•••• R••••• L••• left M••••••• P••••••• S••••••••• L•• for L••• W••••• A••••••• L•• (registered 2025-06-18)Feb 18, 2025 · a•••••• firm change · fact
- C••• P••••• left M••••••• P••••••• S••••••••• L•• for 7•• C••••••• L•• (registered 2024-03-19)Jul 25, 2024 · a•••••• firm change · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-671-5720reportedpublic record, Form ADV, Aug 26, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026