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••••• F•••••••• G••••

Former SEC-registered adviserSan Mateo, CaliforniaCRD 157936SEC 801-79669IAPD
Legal name D••••• F•••••••• A•• I••••••••• G••••• L••
Latest filing Sep 15, 2015
First filing on the tape Apr 21, 2014 · 12 filings
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$134M as of Sep 15, 2015
Apr 21, 2014$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Sep 15, 2015
Apr 21, 20146 then
Employees (5.A)17 as of Sep 15, 2015
Apr 21, 20146 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 15, 2015; every figure names its basis
RAUM per advisor
$26.8MderivedRAUM 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
$147,091derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.4derivedItem 5.A over advisors
Advisors per office
5.0derived1 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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • 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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
911reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••• J••••• · Chief Compliance Officercontrol
    since 08/2015 · owns less than 5%
  • C•••• W•••••• R•• · Managing Membercontrol
    since 01/2015 · owns 75% or more of D••••• G••••• S•••••••• L••
Entity owners
  • D••••• G••••• S•••••••• L•• · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • M•••• C•••
    investment companyn
  • W••••• R•• C•••
    insurancey
  • W••••• R•• C•••
    real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Legal name · D••••• FINANCIAL AND INVESTMENT GROUP, INC. to D••••• FINANCIAL AND INVESTMENT GROUP, LLC
    Feb 11, 2015 to Mar 3, 2015
  • Succession · true to false
    Feb 11, 2015 to Mar 3, 2015
  • Accounts · 710 to 911
    Oct 9, 2014 to Feb 11, 2015
  • Advisory employees · 5 to 9
    Oct 9, 2014 to Feb 11, 2015
  • BD registered reps · 1 to 0
    Oct 9, 2014 to Feb 11, 2015
  • Employees · 5 to 17
    Oct 9, 2014 to Feb 11, 2015
  • Discretionary RAUM · $102M to $134M
    Oct 9, 2014 to Feb 11, 2015
  • Non-discretionary RAUM · $13.0M to $0
    Oct 9, 2014 to Feb 11, 2015
  • RAUM · $115M to $134M
    Oct 9, 2014 to Feb 11, 2015
  • Related insurance company · false to true
    Oct 9, 2014 to Feb 11, 2015
  • Succession · false to true
    Oct 9, 2014 to Feb 11, 2015
  • Advisory employees · 6 to 5
    May 6, 2014 to May 6, 2014
  • Employees · 6 to 5
    May 6, 2014 to May 6, 2014
  • State-registered IARs · 6 to 5
    May 6, 2014 to May 6, 2014
Signals
2 dated events
  • D••••• F•••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Feb 11, 2015 · Succession (Item 4) · fact
  • D••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
    Apr 21, 2014 · 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