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

D•••• • S••••• W••••• M••••••••• I•••

Former SEC-registered adviserLa Mesa, CaliforniaCRD 155348SEC 801-110157IAPD
Latest filing Jun 16, 2022
First filing on the tape Mar 8, 2017 · 21 filings
RAUM
$189M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$189M as of Mar 7, 2022
Feb 15, 2018$137M then
HNW client RAUM$111M as of Mar 7, 2022
Feb 15, 2018$76.7M then
State-registered IARs (5.B.3)3 as of Mar 7, 2022
Feb 15, 20183 then
Employees (5.A)5 as of Mar 7, 2022
Feb 15, 20185 then
Private funds: no history
RAUM +13% over the last fiscal year+9.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 16, 2022; every figure names its basis
RAUM per advisor
$63.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$265,639derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.8%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$176M, 262 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
  • 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$111M59%
  • Individuals$64.6M34%
  • Pension and profit-sharing plans$13.4M7.1%
Individual clients
207reported
HNW clients
55reported
Pension plan clients
11reported
Charitable clients
0reported
Accounts
713reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$176M for 262 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• M•••• C•••••• · Presidentcontrol
      since 01/2006 · owns 50% to 75%
    • S•••••• J•••••• M•••••• · Vice President & Chief Compliance Officercontrol
      since 01/2006 · owns 50% to 75%
    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
    • Accounts · 666 to 713
      Mar 8, 2021 to Mar 7, 2022
    • HNW clients · 54 to 55
      Mar 8, 2021 to Mar 7, 2022
    • Individual clients · 189 to 207
      Mar 8, 2021 to Mar 7, 2022
    • Assets in custody · $153M to $176M
      Mar 8, 2021 to Mar 7, 2022
    • Discretionary RAUM · $153M to $176M
      Mar 8, 2021 to Mar 7, 2022
    • HNW RAUM · $99.1M to $111M
      Mar 8, 2021 to Mar 7, 2022
    • Individual RAUM · $57.9M to $64.6M
      Mar 8, 2021 to Mar 7, 2022
    • Non-discretionary RAUM · $15.4M to $13.4M
      Mar 8, 2021 to Mar 7, 2022
    • Pension RAUM · $11.2M to $13.4M
      Mar 8, 2021 to Mar 7, 2022
    • RAUM · $168M to $189M
      Mar 8, 2021 to Mar 7, 2022
    • Accounts · 663 to 666
      Jun 22, 2020 to Mar 8, 2021
    • HNW clients · 42 to 54
      Jun 22, 2020 to Mar 8, 2021
    • Individual clients · 610 to 189
      Jun 22, 2020 to Mar 8, 2021
    • Assets in custody · $149M to $153M
      Jun 22, 2020 to Mar 8, 2021
    • Discretionary RAUM · $149M to $153M
      Jun 22, 2020 to Mar 8, 2021
    • HNW RAUM · $84.6M to $99.1M
      Jun 22, 2020 to Mar 8, 2021
    • Individual RAUM · $68.5M to $57.9M
      Jun 22, 2020 to Mar 8, 2021
    • Non-discretionary RAUM · $13.9M to $15.4M
      Jun 22, 2020 to Mar 8, 2021
    • Pension RAUM · $9.9M to $11.2M
      Jun 22, 2020 to Mar 8, 2021
    • RAUM · $163M to $168M
      Jun 22, 2020 to Mar 8, 2021
    • Accounts · 667 to 663
      Feb 12, 2019 to Jan 14, 2020
    • HNW clients · 41 to 42
      Feb 12, 2019 to Jan 14, 2020
    • Individual clients · 211 to 610
      Feb 12, 2019 to Jan 14, 2020
    • Pension plan clients · 10 to 11
      Feb 12, 2019 to Jan 14, 2020
    • Assets in custody · $135M to $149M
      Feb 12, 2019 to Jan 14, 2020
    • Discretionary RAUM · $135M to $149M
      Feb 12, 2019 to Jan 14, 2020
    • HNW RAUM · $78.0M to $84.6M
      Feb 12, 2019 to Jan 14, 2020
    • Individual RAUM · $60.3M to $68.5M
      Feb 12, 2019 to Jan 14, 2020
    • Non-discretionary RAUM · $10.9M to $13.9M
      Feb 12, 2019 to Jan 14, 2020
    • Pension RAUM · $7.3M to $9.9M
      Feb 12, 2019 to Jan 14, 2020
    • RAUM · $146M to $163M
      Feb 12, 2019 to Jan 14, 2020
    • Accounts · 641 to 667
      Jan 25, 2019 to Feb 12, 2019
    • Charity clients · unset to 0.0
      Jan 25, 2019 to Feb 12, 2019
    • Corporate clients · 1 to 0
      Jan 25, 2019 to Feb 12, 2019
    • HNW clients · 40 to 41
      Jan 25, 2019 to Feb 12, 2019
    • Individual clients · 204 to 211
      Jan 25, 2019 to Feb 12, 2019
    • Pension plan clients · unset to 10.0
      Jan 25, 2019 to Feb 12, 2019
    • Pooled vehicle clients · unset to 0.0
      Jan 25, 2019 to Feb 12, 2019
    • Assets in custody · $102M to $135M
      Jan 25, 2019 to Feb 12, 2019
    • Financial planning clients · 101-250 to 251-500
      Jan 25, 2019 to Feb 12, 2019
    Signals
    2 dated events
    • E••• C•••••• D•••• left D•••• • S••••• W••••• M••••••••• I••• for H••••••••• L•• (registered 2023-01-10)
      Jan 13, 2023 · Advisor changed firm · fact
    • D•••• • S••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 8, 2017 · 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