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

L••••• P•••••• C••••• G••••• I•••

Former SEC-registered adviserKamas, UtahCRD 159063SEC 801-72808IAPD
Latest filing Jul 13, 2017
First filing on the tape Nov 17, 2011 · 22 filings
RAUM
$36.6M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$35.4M as of Mar 29, 2017
Mar 16, 2012$92.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2017
Mar 16, 20120 then
Employees (5.A)1 as of Mar 29, 2017
Mar 27, 20132 then
Private funds: no history
RAUM -67% over the last fiscal year-29% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Jul 13, 2017; every figure names its basis
RAUM per advisor
$36.6MderivedRAUM 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
$179,283derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-68%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
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
204reported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••• R•••• N••••••• · Managing Director And Ccocontrol
      since 11/2011 · owns 75% or more
    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
    • Discretionary RAUM · $35.4M to $36.6M
      Jun 26, 2017 to Jul 7, 2017
    • RAUM · $35.4M to $36.6M
      Jun 26, 2017 to Jul 7, 2017
    • Insurance-licensed employees · 1 to 0
      May 5, 2017 to Jun 13, 2017
    • Accounts · 481 to 204
      Mar 24, 2017 to Mar 29, 2017
    • Advisory activities · 3 to 2
      Mar 24, 2017 to Mar 29, 2017
    • Insurance-licensed employees · 0 to 1
      Mar 24, 2017 to Mar 29, 2017
    • Discretionary RAUM · $98.4M to $35.4M
      Mar 24, 2017 to Mar 29, 2017
    • Non-discretionary RAUM · $12.1M to $0
      Mar 24, 2017 to Mar 29, 2017
    • RAUM · $111M to $35.4M
      Mar 24, 2017 to Mar 29, 2017
    • Advisory employees · 3 to 1
      Apr 4, 2016 to Mar 24, 2017
    • Employees · 4 to 1
      Apr 4, 2016 to Mar 24, 2017
    • Insurance-licensed employees · 1 to 0
      Apr 4, 2016 to Mar 24, 2017
    • HQ city · NEWPORT BEACH to KAMAS
      Apr 4, 2016 to Mar 24, 2017
    • HQ state · CA to UT
      Apr 4, 2016 to Mar 24, 2017
    • State-registered IARs · 3 to 1
      Apr 4, 2016 to Mar 24, 2017
    • Accounts · 385 to 481
      Dec 4, 2015 to Feb 23, 2016
    • Employees · 3 to 4
      Dec 4, 2015 to Feb 23, 2016
    • Insurance-licensed employees · 0 to 1
      Dec 4, 2015 to Feb 23, 2016
    • Discretionary RAUM · $100M to $98.4M
      Dec 4, 2015 to Feb 23, 2016
    • Non-discretionary RAUM · $979,881 to $12.1M
      Dec 4, 2015 to Feb 23, 2016
    • RAUM · $101M to $111M
      Dec 4, 2015 to Feb 23, 2016
    • Accounts · 275 to 385
      Mar 27, 2014 to Mar 26, 2015
    • Advisory employees · 2 to 3
      Mar 27, 2014 to Mar 26, 2015
    • Employees · 2 to 3
      Mar 27, 2014 to Mar 26, 2015
    • State-registered IARs · 2 to 3
      Mar 27, 2014 to Mar 26, 2015
    • Discretionary RAUM · $6.1M to $100M
      Mar 27, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $97.4M to $979,881
      Mar 27, 2014 to Mar 26, 2015
    • RAUM · $104M to $101M
      Mar 27, 2014 to Mar 26, 2015
    • Accounts · 269 to 275
      Dec 6, 2013 to Mar 27, 2014
    • Discretionary RAUM · $5.6M to $6.1M
      Dec 6, 2013 to Mar 27, 2014
    • Non-discretionary RAUM · $96.8M to $97.4M
      Dec 6, 2013 to Mar 27, 2014
    • RAUM · $102M to $104M
      Dec 6, 2013 to Mar 27, 2014
    • HQ city · IRVINE to NEWPORT BEACH
      Mar 27, 2013 to Dec 6, 2013
    • Accounts · 253 to 269
      Sep 27, 2012 to Mar 27, 2013
    • Advisory employees · unset to 2.0
      Sep 27, 2012 to Mar 27, 2013
    • BD registered reps · unset to 1.0
      Sep 27, 2012 to Mar 27, 2013
    • Employees · unset to 2.0
      Sep 27, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 2
      Sep 27, 2012 to Mar 27, 2013
    • Discretionary RAUM · $4.0M to $5.6M
      Sep 27, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $88.1M to $96.8M
      Sep 27, 2012 to Mar 27, 2013
    Signals
    No event on the tape.
    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