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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• R••••• F•••••••• G••••• L••

Former SEC-registered adviserFolsom, CaliforniaCRD 154990SEC 801-71888IAPD
Latest filing Apr 7, 2021
First filing on the tape Feb 10, 2012 · 30 filings
RAUM
$70.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
30%
$21.1M 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
30 filings and snapshots on the tape
RAUM$70.1M as of Mar 2, 2021
Feb 10, 2012$112M then
HNW client RAUM$12.5M as of Mar 2, 2021
Mar 5, 2018$37.0M then
State-registered IARs (5.B.3)1 as of Mar 2, 2021
Jan 31, 20130 then
Employees (5.A)2 as of Mar 2, 2021
Jan 31, 20135 then
Private funds: no history
RAUM -31% over the last fiscal year-13% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Apr 7, 2021; every figure names its basis
RAUM per advisor
$70.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$579,339derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
70%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
-31%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$6.0M, 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • 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
  • Pension and profit-sharing plans$49.0M70%
  • High-net-worth individuals$12.5M18%
  • Individuals$8.6M12%
Individual clients
30reported
HNW clients
9reported
Pension plan clients
23reported
Charitable clients
n/areported
Accounts
121reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$6.0M for 18 clientsreported
Compensation
% of AUM, fixed, 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
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Y•••• M••••••• M•••• · President And Chief Compliance Officercontrol
    since 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Folsom, Ca · principal001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 123 to 121
    Jul 1, 2020 to Mar 2, 2021
  • Advisory employees · 2 to 1
    Jul 1, 2020 to Mar 2, 2021
  • Advisory activities · 5 to 4
    Jul 1, 2020 to Mar 2, 2021
  • HNW clients · 16 to 9
    Jul 1, 2020 to Mar 2, 2021
  • Individual clients · 23 to 30
    Jul 1, 2020 to Mar 2, 2021
  • Pension plan clients · 24 to 23
    Jul 1, 2020 to Mar 2, 2021
  • Assets in custody · $5.8M to $6.0M
    Jul 1, 2020 to Mar 2, 2021
  • Employees · 4 to 2
    Jul 1, 2020 to Mar 2, 2021
  • State-registered IARs · 2 to 1
    Jul 1, 2020 to Mar 2, 2021
  • HNW RAUM · $29.1M to $12.5M
    Jul 1, 2020 to Mar 2, 2021
  • Individual RAUM · $4.4M to $8.6M
    Jul 1, 2020 to Mar 2, 2021
  • Non-discretionary RAUM · $101M to $70.1M
    Jul 1, 2020 to Mar 2, 2021
  • Pension RAUM · $51.0M to $49.0M
    Jul 1, 2020 to Mar 2, 2021
  • RAUM · $101M to $70.1M
    Jul 1, 2020 to Mar 2, 2021
  • Accounts · 240 to 123
    Mar 4, 2019 to Mar 27, 2020
  • HNW clients · 15 to 16
    Mar 4, 2019 to Mar 27, 2020
  • Individual clients · 26 to 23
    Mar 4, 2019 to Mar 27, 2020
  • Pension plan clients · 25 to 24
    Mar 4, 2019 to Mar 27, 2020
  • Assets in custody · unset to 5802360.0
    Mar 4, 2019 to Mar 27, 2020
  • Custody of client assets · false to true
    Mar 4, 2019 to Mar 27, 2020
  • Discretionary RAUM · $18.5M to $0
    Mar 4, 2019 to Mar 27, 2020
  • HNW RAUM · $38.3M to $29.1M
    Mar 4, 2019 to Mar 27, 2020
  • Individual RAUM · $5.3M to $4.4M
    Mar 4, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $84.2M to $101M
    Mar 4, 2019 to Mar 27, 2020
  • Pension RAUM · $43.5M to $51.0M
    Mar 4, 2019 to Mar 27, 2020
  • RAUM · $103M to $101M
    Mar 4, 2019 to Mar 27, 2020
  • Accounts · 249 to 240
    Jul 11, 2018 to Mar 4, 2019
  • HNW clients · 12 to 15
    Jul 11, 2018 to Mar 4, 2019
  • Individual clients · 39 to 26
    Jul 11, 2018 to Mar 4, 2019
  • Assets in custody · 106400000.0 to unset
    Jul 11, 2018 to Mar 4, 2019
  • Custody of client assets · true to false
    Jul 11, 2018 to Mar 4, 2019
  • Discretionary RAUM · $19.6M to $18.5M
    Jul 11, 2018 to Mar 4, 2019
  • HNW RAUM · $37.0M to $38.3M
    Jul 11, 2018 to Mar 4, 2019
  • Individual RAUM · $18.8M to $5.3M
    Jul 11, 2018 to Mar 4, 2019
  • Non-discretionary RAUM · $86.8M to $84.2M
    Jul 11, 2018 to Mar 4, 2019
  • Pension RAUM · $39.0M to $43.5M
    Jul 11, 2018 to Mar 4, 2019
  • RAUM · $106M to $103M
    Jul 11, 2018 to Mar 4, 2019
  • Accounts · 487 to 249
    Oct 12, 2017 to Mar 5, 2018
  • HNW clients · 10 to 12
    Oct 12, 2017 to Mar 5, 2018
  • Individual clients · 43 to 39
    Oct 12, 2017 to Mar 5, 2018
Signals
3 dated events
  • M•••••• Y••• left C•••••• R••••• F•••••••• G••••• L•• for T•• A•••••••• G•••• (registered 2026-06-12)
    Aug 31, 2026 · Advisor changed firm · fact
  • Marie M•••••• Y••• (President And Chief Compliance Officer) appeared on Schedule A of C•••••• R••••• F•••••••• G••••• L••
    Mar 2, 2021 · Control person joined · fact
  • Leroy Ellwood Jones (Sole Member, President & Chief Compliance Officer) no longer on Schedule A of C•••••• R••••• F•••••••• G••••• L•• (listed 2020-07-01, absent 2021-03-02)
    Mar 2, 2021 · Control person left · inference
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
CAPITALWEALTHPLANNER.COMreportedpublic record, Form ADV, Sep 18, 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
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