DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D••••••• I••••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Nov 21, 2011 · 38 filings
SEC status approved since Aug 19, 2011
RAUM
$663M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$509M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$663M as of Feb 25, 2026
Feb 24, 2012$158M then
HNW client RAUM$386M as of Feb 25, 2026
Feb 28, 2018$185M then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Feb 24, 20120 then
Employees (5.A)3 as of Feb 25, 2026
Jan 10, 20132 then
Private funds: no history
RAUM -0.3% over the last fiscal year+9.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 254derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $314,246derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $663MreportedItem 5.I
- Custody
- $179M, 274 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$386M58%
- Individuals$123M19%
- Pension and profit-sharing plans$84.8M13%
- Corporations and businesses$38.6M5.8%
- Charitable organizations$30.3M4.6%
- Individual clients
- 573reported
- HNW clients
- 188reported
- Pension plan clients
- 94reported
- Charitable clients
- 11reported
- Accounts
- 2,110reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $179M for 274 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••• J•••••• F•••••• | Redlands, Ca | Mar 18, 2016 | 26 y | 2 |
| J•••• A•••• W••••• | Redlands, Ca | Mar 18, 2016 | 24 y | 3 |
| J•••• F•••• J••••• | Pottsboro, Tx | Feb 19, 2019 | 24 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• F•••• J••••• from M••••• S••••••Feb 19, 2019 · Wirehouse to independent RIA
- H••• J•••••• F•••••• from M••••• S••••••Mar 18, 2016 · Other
- J•••• A•••• W••••• from M••••• S••••••Mar 18, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Apr 11, 2016 · Riverside, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• H•••• J•••••• · Managing Member And Chief Compliance Officersince 06/2017 · owns 50% to 75%
- W•••••• J••••• A•••• · Managing Membersince 06/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Redlands, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,922 to 2,110Feb 11, 2025 to Feb 25, 2026
- Charity clients · 10 to 11Feb 11, 2025 to Feb 25, 2026
- Corporate clients · 17 to 18Feb 11, 2025 to Feb 25, 2026
- HNW clients · 159 to 188Feb 11, 2025 to Feb 25, 2026
- Individual clients · 451 to 573Feb 11, 2025 to Feb 25, 2026
- Pension plan clients · 92 to 94Feb 11, 2025 to Feb 25, 2026
- Assets in custody · $331M to $179MFeb 11, 2025 to Feb 25, 2026
- Discretionary RAUM · $665M to $663MFeb 11, 2025 to Feb 25, 2026
- HNW RAUM · $414M to $386MFeb 11, 2025 to Feb 25, 2026
- Individual RAUM · $124M to $123MFeb 11, 2025 to Feb 25, 2026
- Pension RAUM · $79.9M to $84.8MFeb 11, 2025 to Feb 25, 2026
- RAUM · $665M to $663MFeb 11, 2025 to Feb 25, 2026
- Accounts · 1,853 to 1,922Feb 22, 2024 to Feb 11, 2025
- Advisory employees · 4 to 3Feb 22, 2024 to Feb 11, 2025
- BD registered reps · 3 to 2Feb 22, 2024 to Feb 11, 2025
- HNW clients · 146 to 159Feb 22, 2024 to Feb 11, 2025
- Individual clients · 424 to 451Feb 22, 2024 to Feb 11, 2025
- Pension plan clients · 87 to 92Feb 22, 2024 to Feb 11, 2025
- Assets in custody · $67.8M to $331MFeb 22, 2024 to Feb 11, 2025
- Employees · 4 to 3Feb 22, 2024 to Feb 11, 2025
- Financial planning clients · 1-10 to 0Feb 22, 2024 to Feb 11, 2025
- State-registered IARs · 4 to 3Feb 22, 2024 to Feb 11, 2025
- Discretionary RAUM · $617M to $665MFeb 22, 2024 to Feb 11, 2025
- HNW RAUM · $391M to $414MFeb 22, 2024 to Feb 11, 2025
- Individual RAUM · $100M to $124MFeb 22, 2024 to Feb 11, 2025
- Pension RAUM · $72.1M to $79.9MFeb 22, 2024 to Feb 11, 2025
- RAUM · $617M to $665MFeb 22, 2024 to Feb 11, 2025
- Accounts · 1,685 to 1,853Feb 8, 2023 to Feb 22, 2024
- Corporate clients · 18 to 17Feb 8, 2023 to Feb 22, 2024
- HNW clients · 142 to 146Feb 8, 2023 to Feb 22, 2024
- Individual clients · 406 to 424Feb 8, 2023 to Feb 22, 2024
- Assets in custody · $146M to $67.8MFeb 8, 2023 to Feb 22, 2024
- Discretionary RAUM · $506M to $617MFeb 8, 2023 to Feb 22, 2024
- HNW RAUM · $320M to $391MFeb 8, 2023 to Feb 22, 2024
- Individual RAUM · $82.8M to $100MFeb 8, 2023 to Feb 22, 2024
- Pension RAUM · $59.0M to $72.1MFeb 8, 2023 to Feb 22, 2024
- RAUM · $506M to $617MFeb 8, 2023 to Feb 22, 2024
- Wrap assets (sponsor) · $9.0M to $0Feb 8, 2023 to Feb 22, 2024
- Accounts · 1,611 to 1,685Feb 10, 2022 to Feb 8, 2023
- Corporate clients · 17 to 18Feb 10, 2022 to Feb 8, 2023
Signals
4 dated events
- D••••••• I••••••••• L•• reported RAUM $580.7M, up 28% from $452.2M (2021-10-01 to 2022-02-10)Feb 10, 2022 · RAUM change · derived
- Nichols Doyal Brown (Managing Member) no longer on Schedule A of D••••••• I••••••••• L•• (listed 2021-10-01, absent 2022-02-10)Feb 10, 2022 · Control person left · inference
- D••••••• I••••••••• L•• reported RAUM $406.0M, up 33% from $305.0M (2019-06-10 to 2020-01-23)Jan 23, 2020 · RAUM change · derived
- Phillip Edward Cicchillo (Managing Member And Chief Compliance Officer) no longer on Schedule A of D••••••• I••••••••• L•• (listed 2018-02-28, absent 2019-01-31)Jan 31, 2019 · 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
- Business email
- c••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-798-5713reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 909-328-4207reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- D•••••••INVESTORSLLC.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (909) 792-2894reportedpublic record, Form ADV, Feb 25, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026