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
A•••• F•••••••• A•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 25, 2021 · 25 filings
SEC status approved since Apr 23, 2021
RAUM
$46.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$46.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$46.9M as of Mar 31, 2026
Feb 16, 2022$149M then
HNW client RAUM$18.6M as of Mar 31, 2026
Feb 16, 2022$37.3M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 16, 20226 then
Employees (5.A)3 as of Mar 31, 2026
Feb 16, 20226 then
Private funds: no history
RAUM -56% over the last fiscal year-25% a year over threeIARs 3 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $23.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 133derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $123,485derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -56%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -73%derived
- Compensation
- percentage of assets, hourly, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 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
- Individuals$28.3M60%
- High-net-worth individuals$18.6M40%
- Individual clients
- 249reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 380reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- A••••• C••• G••••• to Q•••••• W••••• A••••••• L••Jun 30, 2026 · RIA to a state-registered adviser
- S••••• P••• V•• M•••• to Q•••••• W••••• A••••••• L••Jun 30, 2026 · RIA to a state-registered adviser
- R•••••• S•••• M•••••• to F•••••••• C•••••• M••••••••• L••May 8, 2025 · RIA to a state-registered adviser
- T•••••• G••••• H••••••• to D•••••••• C•••••• A•••• M••••••••• L••Sep 25, 2024 · RIA to a state-registered adviser
Joined, latest
- T•••••• G••••• H••••••• from F•••••••• G•••••• A•••• M••••••••• I•••Dec 17, 2019 · RIA to RIA
- R•••••• S•••• M•••••• from M•• F•••••••• S•••••••• I•••Mar 1, 2018 · Other
- S••••• P••• V•• M•••• from P•••••• F•••••••• S••••••••• I••Apr 3, 2012 · Other
- A••••• C••• G••••• from P•••••• F•••••••• S••••••••• I••Mar 26, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• A•••••• C••• · President/Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Oroville, Ca · principal | 0 | 0 | 1 | ||
| Winter Garden, Fl | 0 | 0 | 1 | ||
| Boise, Id | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chico, CA2 employees
- Rocklin, CA1 employees
- Sparks, NV1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 985 to 380May 8, 2025 to Mar 31, 2026
- Charity clients · 1.0 to unsetMay 8, 2025 to Mar 31, 2026
- Corporate clients · 5.0 to unsetMay 8, 2025 to Mar 31, 2026
- HNW clients · 12 to 17May 8, 2025 to Mar 31, 2026
- Individual clients · 961 to 249May 8, 2025 to Mar 31, 2026
- Pension plan clients · 9.0 to unsetMay 8, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0.0 to unsetMay 8, 2025 to Mar 31, 2026
- Employees · 2 to 3May 8, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 2May 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $98.6M to $46.9MMay 8, 2025 to Mar 31, 2026
- HNW RAUM · $11.8M to $18.6MMay 8, 2025 to Mar 31, 2026
- Individual RAUM · $86.7M to $28.3MMay 8, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $9.2M to $0May 8, 2025 to Mar 31, 2026
- Pension RAUM · 7915658.0 to unsetMay 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 0.0 to unsetMay 8, 2025 to Mar 31, 2026
- RAUM · $108M to $46.9MMay 8, 2025 to Mar 31, 2026
- Related adviser · false to trueMay 8, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Mar 12, 2025 to May 8, 2025
- Employees · 4 to 2Mar 12, 2025 to May 8, 2025
- Financial planning clients · 1-10 to 1-10Mar 12, 2025 to May 8, 2025
- State-registered IARs · 3 to 2Mar 12, 2025 to May 8, 2025
- Other offices · 2 to 1Mar 12, 2025 to May 8, 2025
- Accounts · 936 to 985Oct 11, 2024 to Mar 12, 2025
- Corporate clients · 7 to 5Oct 11, 2024 to Mar 12, 2025
- HNW clients · 4 to 12Oct 11, 2024 to Mar 12, 2025
- Individual clients · 692 to 961Oct 11, 2024 to Mar 12, 2025
- Pension plan clients · 8 to 9Oct 11, 2024 to Mar 12, 2025
- Other offices · 5 to 2Oct 11, 2024 to Mar 12, 2025
- Discretionary RAUM · $99.2M to $98.6MOct 11, 2024 to Mar 12, 2025
- HNW RAUM · $9.7M to $11.8MOct 11, 2024 to Mar 12, 2025
- Individual RAUM · $89.1M to $86.7MOct 11, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $6.8M to $9.2MOct 11, 2024 to Mar 12, 2025
- Pension RAUM · $6.3M to $7.9MOct 11, 2024 to Mar 12, 2025
- RAUM · $106M to $108MOct 11, 2024 to Mar 12, 2025
- Advisory employees · 4 to 3Aug 23, 2024 to Oct 11, 2024
- Employees · 5 to 4Aug 23, 2024 to Oct 11, 2024
- State-registered IARs · 4 to 3Mar 14, 2024 to Aug 23, 2024
- Advisory employees · 3 to 4Oct 9, 2023 to Mar 14, 2024
- Charity clients · 2 to 1Oct 9, 2023 to Mar 14, 2024
- Corporate clients · 2 to 7Oct 9, 2023 to Mar 14, 2024
Signals
6 dated events
- A•••• F•••••••• A•••••••• I••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $46.9M)Jul 1, 2026 · Left the SEC roster · derived
- S••••• P••• V•• M•••• left A•••• F•••••••• A•••••••• I••• for Q•••••• W••••• A••••••• L•• (registered 2026-01-14)Jun 30, 2026 · Advisor changed firm · fact
- A••••• C••• G••••• left A•••• F•••••••• A•••••••• I••• for Q•••••• W••••• A••••••• L•• (registered 2025-09-05)Jun 30, 2026 · Advisor changed firm · fact
- R•••••• S•••• M•••••• left A•••• F•••••••• A•••••••• I••• for F•••••••• C•••••• M••••••••• L•• (registered 2025-01-30)May 8, 2025 · Advisor changed firm · fact
- T•••••• G••••• H••••••• left A•••• F•••••••• A•••••••• I••• for D•••••••• C•••••• A•••• M••••••••• L•• (registered 2024-10-01)Sep 25, 2024 · Advisor changed firm · fact
- A•••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 25, 2021 · 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