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.
Former SEC-registered adviser
Dfpg Investments, LLC
Latest filing Mar 29, 2024
First filing on the tape May 20, 2016 · 54 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
0 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$2.0B as of Mar 31, 2023
Mar 29, 2017$241M then
HNW client RAUM$0 as of Mar 29, 2024
Mar 29, 2018$163M then
State-registered IARs (5.B.3)20 as of Mar 29, 2024
Mar 29, 201718 then
Employees (5.A)20 as of Mar 29, 2024
Mar 29, 201729 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 54 to 20offices 23 to 25
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -63%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -100%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $0 for 0 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
Left, latest
- Janice Marie Powell to Diversify Advisory Services, LLCJul 12, 2024 · Other
- Eric Scott Koford to Diversify Advisory Services, LLCFeb 9, 2024 · RIA to affiliated broker-dealer or bank
- Daniel Allan Teague to Diversify Advisory Services, LLCFeb 9, 2024 · RIA to affiliated broker-dealer or bank
- Daniel Gerald Gomez to Diversify Advisory Services, LLCFeb 9, 2024 · RIA to affiliated broker-dealer or bank
- Charles Elmer Sorensen to Diversify Advisory Services, LLCFeb 9, 2024 · RIA to affiliated broker-dealer or bank
- Peter R Burnham to Diversify Advisory Services, LLCFeb 8, 2024 · RIA to affiliated broker-dealer or bank
- Charles Chadwick Campbell to Diversify Advisory Services, LLCFeb 8, 2024 · RIA to affiliated broker-dealer or bank
- Christopher Layton Claridge to Diversify Advisory Services, LLCFeb 8, 2024 · RIA to affiliated broker-dealer or bank
- Richard Kim to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
- Joseph Albert Ghabour to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
- David Jay Wrigley to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
- Bryan Sonderby to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
- Noah Kamuela Beecher to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
- David J Ali to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
- Tyler Haskell to Diversify Advisory Services, LLCJan 2, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- Michael Mccabe from Fox & Company Wealth ManagementOct 12, 2023 · Other
- Hyung Jin Kim from Klk Capital Management LLCAug 25, 2023 · RIA to RIA
- Leon Chang Soo Kim from Klk Capital Management LLCAug 25, 2023 · RIA to RIA
- Janice Marie Powell from Securities America Advisors, Inc.Mar 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- Adilene Calixtro from Fermata AdvisorsMar 1, 2023 · RIA to RIA
- Laura Elizabeth Balback from Cwm Advisory, LLCJan 12, 2023 · RIA to RIA
- Anthony Angelo Cipolla from Eagle Strategies LLCJan 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- Noah Kamuela Beecher from Eagle Strategies LLCJan 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- Peter R Burnham from Surevest Private WealthDec 12, 2022 · RIA to RIA
- Moriah Ranade from Surevest Private WealthDec 5, 2022 · RIA to RIA
- Breanne Nicole Polonia from Surevest Private WealthDec 1, 2022 · RIA to RIA
- Haddy Alexander Homampour from Surevest Private WealthNov 30, 2022 · RIA to RIA
- Robin Leon Andersen from Townsquare Capital, LLCOct 25, 2022 · RIA to RIA
- Joseph Albert Ghabour from Kestra Advisory Services, LLCOct 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- David J Ali from Kestra Advisory Services, LLCOct 21, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Diversify Advisory Services, LLCFeb 8, 2024 · Sandy, Ut · Firm absorbed
- 2 left for Diversify Advisory Services, LLCDec 31, 2023 · Bethlehem, Pa
- 17 left for Diversify Advisory Services, LLCDec 31, 2023 · Sandy, Ut · Firm absorbed
- 5 left for Diversify Advisory Services, LLCDec 22, 2023 · Santa Rosa, Ca
- 2 left for Connect Financial AdvisorsAug 15, 2022 · South Jordan, Ut
- 2 left for Centaurus Financial, Inc.Aug 2, 2017 · Gilbert, Az
- 2 joined from Klk Capital Management LLCDec 31, 2023 · Los Angeles, Ca
- 2 joined from Eagle Strategies LLCJan 13, 2023 · Santa Rosa, Ca
- 2 joined from Surevest Private WealthDec 12, 2022 · Los Angeles, Ca
- 4 joined from Kestra Advisory Services, LLCOct 21, 2022 · Austin, Tx
- 3 joined from Transamerica Financial Advisors, LLCJun 1, 2022 · Mesa, Az
- 2 joined from Ars Investment Advisors, Inc.Feb 18, 2021 · Logan, Ut
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Bradley Anderson · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- Michael Allan Bendix · Ceocontrolsince 01/2013 · owns less than 5%
- David Ryan Laga · Cfo & Coocontrolsince 02/2016 · owns less than 5%
- Daniel James Luke · Director & Gspcontrolsince 01/2013 · owns less than 5%
- Ryan Omer Smith · Presidentcontrolsince 01/2013 · owns less than 5%
- Michael Allan Bendix · Membercontrolsince 07/2019 · owns 75% or more of Springwood Capital, LLC
- David Ryan Laga · Membercontrolsince 07/2019 · owns 75% or more of Multnomah Capital, LLC
- Daniel James Luke · Trusteecontrolsince 07/2019 · owns 75% or more of The Daniel J. Luke Trust
- Ryan Omer Smith · Trusteecontrolsince 07/2019 · owns 75% or more of R. Omer Smith Revocable Trust
- Charles Richard Badalamenti · Finopsince 10/2010 · owns less than 5%
Entity owners
- Falcon Park Capital, LLC · Limited Liability Companydirect · owns 75% or more
- Anjanahary Capital, LLC · Memberindirect · owns 25% to 50% of Falcon Park Capital, LLC
- Atitlan Capital, LLC · Memberindirect · owns 25% to 50% of Falcon Park Capital, LLC
- Daniel J Luke Trustee, Daniel J Luke Trust · Memberindirect · owns 75% or more of Atitlan Capital, LLC
- Multnomah Capital, LLC · Memberindirect · owns F of Falcon Park Capital, LLC
- Ryan O Smith Trustee, R. Omer Smith Rev Trust · Memberindirect · owns 75% or more of Anjanahary Capital, LLC
- Springwood Capital, LLC · Memberindirect · owns 25% to 50% of Falcon Park Capital, LLC
Related persons
Schedule D 7.A
- Dfpg Insurancereal estatey
- Diversify Advisory Services, LLCinvestment advisernRAUM $4.6B
- Diversify Insurance, Inc.real estaten
- Diversify Wealth Management, LLCinvestment advisernRAUM $4.1B
- Diversify Wealth Management LLCinvestment advisernRAUM $540M
- Wade Read Capital, LLCinvestment adviserpooled vehicle sponsory
Advisers that list Dfpg Investments, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ashburn, Va | 0 | 0 | 0 | ||
| Bethlehem, Pa | 0 | 0 | 0 | ||
| La Canada, Ca | 0 | 0 | 0 | ||
| Lehi, Ut | 0 | 0 | 0 | ||
| Lewes, De | 0 | 0 | 0 | ||
| Logan, Ut | 0 | 0 | 0 | ||
| Rancho Santa Fe, Ca | 0 | 0 | 0 | ||
| Salt Lake City, Ut | 0 | 0 | 0 | ||
| San Jose, Ca | 0 | 0 | 0 | ||
| Sandy, Ut · principal | 0 | 0 | 0 | ||
| Santa Rosa, Ca | 0 | 0 | 0 | ||
| South Jordan, Ut | 0 | 0 | 0 | ||
| Thatcher, Az | 0 | 0 | 0 | ||
| Prosper, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sandy, UT7 employees
- San Jose, CA6 employees
- Thatcher, AZ3 employees
- Orem, UT3 employees
- Lewes, DE3 employees
- Los Angeles, CA3 employees
- Dover, DE2 employees
- Rancho Sante Fe, CA2 employees
- Orange, CA2 employees
- Bethlehem, PA2 employees
- Newport Beach, CA2 employees
- Santa Rosa, CA2 employees
- , 1 employees
- , 1 employees
- Salt Lake City, UT1 employees
- , 1 employees
- Greenville, SC1 employees
- Dallas, TX1 employees
- Pocatello, ID1 employees
- Medford, OR1 employees
- Logan, UT1 employees
- Decatur, AL1 employees
- , 1 employees
- , 1 employees
- Irvine, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 10642.0 to unsetJan 19, 2024 to Mar 29, 2024
- Advisory employees · 87 to 0Jan 19, 2024 to Mar 29, 2024
- BD registered reps · 127 to 20Jan 19, 2024 to Mar 29, 2024
- Corporate clients · 54 to 0Jan 19, 2024 to Mar 29, 2024
- HNW clients · 2,088 to 0Jan 19, 2024 to Mar 29, 2024
- Individual clients · 4,603 to 0Jan 19, 2024 to Mar 29, 2024
- Pension plan clients · 540 to 0Jan 19, 2024 to Mar 29, 2024
- Assets in custody · $259M to $0Jan 19, 2024 to Mar 29, 2024
- Employees · 156 to 20Jan 19, 2024 to Mar 29, 2024
- Insurance-licensed employees · 6 to 20Jan 19, 2024 to Mar 29, 2024
- State-registered IARs · 54 to 20Jan 19, 2024 to Mar 29, 2024
- Discretionary RAUM · 2006029864.0 to unsetJan 19, 2024 to Mar 29, 2024
- HNW RAUM · $1.3B to $0Jan 19, 2024 to Mar 29, 2024
- Individual RAUM · $528M to $0Jan 19, 2024 to Mar 29, 2024
- Non-discretionary RAUM · 3702466.0 to unsetJan 19, 2024 to Mar 29, 2024
- Pension RAUM · $132M to $0Jan 19, 2024 to Mar 29, 2024
- RAUM · 2009732330.0 to unsetJan 19, 2024 to Mar 29, 2024
- Other offices · 24 to 25Jul 27, 2023 to Sep 14, 2023
- Other offices · 23 to 24Jul 6, 2023 to Jul 20, 2023
- Assets in custody · $72.3M to $259MMay 11, 2023 to May 24, 2023
- Accounts · 5,531 to 10,642Mar 20, 2023 to Mar 31, 2023
- Advisory employees · 54 to 87Mar 20, 2023 to Mar 31, 2023
- Corporate clients · 25 to 54Mar 20, 2023 to Mar 31, 2023
- HNW clients · 1,755 to 2,088Mar 20, 2023 to Mar 31, 2023
- Individual clients · 3,470 to 4,603Mar 20, 2023 to Mar 31, 2023
- Pension plan clients · 281 to 540Mar 20, 2023 to Mar 31, 2023
- Employees · 131 to 156Mar 20, 2023 to Mar 31, 2023
- Insurance-licensed employees · 2 to 6Mar 20, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $2.0BMar 20, 2023 to Mar 31, 2023
- HNW RAUM · $679M to $1.3BMar 20, 2023 to Mar 31, 2023
- Individual RAUM · $281M to $528MMar 20, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $3.4M to $3.7MMar 20, 2023 to Mar 31, 2023
- Pension RAUM · $106M to $132MMar 20, 2023 to Mar 31, 2023
- RAUM · $1.1B to $2.0BMar 20, 2023 to Mar 31, 2023
- Wrap assets (manager) · $205M to $0Mar 20, 2023 to Mar 31, 2023
- Wrap assets (sponsor) · $205M to $0Mar 20, 2023 to Mar 31, 2023
- Other offices · 21 to 23Dec 13, 2022 to Jan 11, 2023
- Other offices · 19 to 21Sep 15, 2022 to Nov 1, 2022
- Related adviser · false to trueMar 29, 2022 to Apr 14, 2022
- Accounts · 3,688 to 5,531Jan 10, 2022 to Mar 29, 2022
Signals
58 dated events
- Janice Marie Powell left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Jul 12, 2024 · Advisor changed firm · fact
- Dfpg Investments, Llc reported 20 state-registered advisory representatives, down from 54 (2024-01-19 to 2024-03-29)Mar 29, 2024 · Advisor headcount change · derived
- Daniel Allan Teague left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Feb 9, 2024 · Advisor changed firm · fact
- Daniel Gerald Gomez left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2024-01-12)Feb 9, 2024 · Advisor changed firm · fact
- Eric Koford left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Feb 9, 2024 · Advisor changed firm · fact
- Charles Elmer Sorensen left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Feb 9, 2024 · Advisor changed firm · fact
- Charles Chadwick Campbell left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-26)Feb 8, 2024 · Advisor changed firm · fact
- Peter R Burnham left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2024-01-02)Feb 8, 2024 · Advisor changed firm · fact
- Christopher Layton Claridge left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-18)Feb 8, 2024 · Advisor changed firm · fact
- Dfpg Investments, LLC's advisors moved to Diversify Advisory Services, LLC (Sandy, UT): 5 of 8 registered, a day apartFeb 8, 2024 · Firm absorbed (people side) · derived
- Robin Leon Andersen left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Jan 2, 2024 · Advisor changed firm · fact
- Leon Chang Soo Kim left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-13)Jan 2, 2024 · Advisor changed firm · fact
- Laura Elizabeth Balback left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-25)Jan 2, 2024 · Advisor changed firm · fact
- Moriah Ranade left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2024-01-02)Jan 2, 2024 · Advisor changed firm · fact
- Richard Kim left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-13)Jan 2, 2024 · Advisor changed firm · fact
- Eddie Ghabour left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-27)Jan 2, 2024 · Advisor changed firm · fact
- David J Ali left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-25)Jan 2, 2024 · Advisor changed firm · fact
- Breanne Nicole Polonia left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-07)Jan 2, 2024 · Advisor changed firm · fact
- Michael Mccabe left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-10-12)Jan 2, 2024 · Advisor changed firm · fact
- Anthony Angelo Cipolla left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-10-03)Jan 2, 2024 · Advisor changed firm · fact
- Joseph Albert Ghabour left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-26)Jan 2, 2024 · Advisor changed firm · fact
- Michael Thomas Redmond left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-10-03)Jan 2, 2024 · Advisor changed firm · fact
- Tyler Haskell left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Jan 2, 2024 · Advisor changed firm · fact
- Haddy Alexander Homampour left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-07)Jan 2, 2024 · Advisor changed firm · fact
- David Jay Wrigley left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-09-15)Jan 2, 2024 · Advisor changed firm · fact
- Bryan Sonderby left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-08)Jan 2, 2024 · Advisor changed firm · fact
- Noah Kamuela Beecher left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2025-01-01)Jan 2, 2024 · Advisor changed firm · fact
- Adilene Calixtro left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-10-03)Dec 31, 2023 · Advisor changed firm · fact
- Anthony Al Nasser left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-22)Dec 31, 2023 · Advisor changed firm · fact
- James Anthony Serratelli left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-08)Dec 31, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Dfpg Investments, Inc. · Private Equityshared crd · intermediary
- DFPG Investments, LLC · Venture Capitalshared crd · org
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
Across the graphs
Dfpg Investments, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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