DFX Intelligence

RIA Intelligence

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R•••••• • A•••••••••

Former SEC-registered adviserFormer SEC adviser· San Diego, California

Former SEC-registered adviser, based in San Diego, California, reporting $419M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$419M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+18%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $417M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 160864 · SEC 801-73164 · 16 filingsShow
CRD 160864SEC 801-73164Legal name R•••••• A•• A••••••••• A••••••••• C•••••••••First filing on the tape Feb 6, 2012, latest Jun 30, 2020IAPD
RAUM
$419M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$417M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$419M as of Mar 19, 2020
Mar 19, 2013$252M then
HNW client RAUM$350M as of Mar 19, 2020
Mar 21, 2018$290M then
State-registered IARs (5.B.3)4 as of Mar 19, 2020
Mar 19, 20130 then
Employees (5.A)15 as of Mar 19, 2020
Mar 19, 20138 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$409,125derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+33%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, pension consultingreportedItem 5.G
Custody
$98.8M, 170 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$350M84%
  • Individuals$66.4M16%
  • Corporations and businesses$2.0M0.5%
Individual clients
178reported
HNW clients
123reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,024reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$98.8M for 170 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
Joined, latest
none on the tape
    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
      • R••••••• S•••••• L••• · President/Chief Compliance Officercontrol
        since 02/2012 · 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
      • Accounts · 993 to 1,024
        Mar 21, 2019 to Mar 19, 2020
      • HNW clients · 111 to 123
        Mar 21, 2019 to Mar 19, 2020
      • Individual clients · 130 to 178
        Mar 21, 2019 to Mar 19, 2020
      • Assets in custody · $156M to $98.8M
        Mar 21, 2019 to Mar 19, 2020
      • State-registered IARs · 3 to 4
        Mar 21, 2019 to Mar 19, 2020
      • Discretionary RAUM · $326M to $389M
        Mar 21, 2019 to Mar 19, 2020
      • HNW RAUM · $300M to $350M
        Mar 21, 2019 to Mar 19, 2020
      • Individual RAUM · $52.7M to $66.4M
        Mar 21, 2019 to Mar 19, 2020
      • Non-discretionary RAUM · $27.7M to $30.1M
        Mar 21, 2019 to Mar 19, 2020
      • RAUM · $354M to $419M
        Mar 21, 2019 to Mar 19, 2020
      • Accounts · 948 to 993
        Mar 21, 2018 to Mar 21, 2019
      • Advisory employees · 6 to 7
        Mar 21, 2018 to Mar 21, 2019
      • HNW clients · 112 to 111
        Mar 21, 2018 to Mar 21, 2019
      • Individual clients · 150 to 130
        Mar 21, 2018 to Mar 21, 2019
      • Assets in custody · $135M to $156M
        Mar 21, 2018 to Mar 21, 2019
      • Employees · 13 to 15
        Mar 21, 2018 to Mar 21, 2019
      • Insurance-licensed employees · 1 to 0
        Mar 21, 2018 to Mar 21, 2019
      • Financial planning clients · 11-25 to 26-50
        Mar 21, 2018 to Mar 21, 2019
      • Discretionary RAUM · $336M to $326M
        Mar 21, 2018 to Mar 21, 2019
      • HNW RAUM · $290M to $300M
        Mar 21, 2018 to Mar 21, 2019
      • Individual RAUM · $46.4M to $52.7M
        Mar 21, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $4.9M to $27.7M
        Mar 21, 2018 to Mar 21, 2019
      • Pension RAUM · 2092517.0 to unset
        Mar 21, 2018 to Mar 21, 2019
      • RAUM · $341M to $354M
        Mar 21, 2018 to Mar 21, 2019
      • Accounts · 850 to 948
        Mar 23, 2017 to Mar 21, 2018
      • Advisory employees · 7 to 6
        Mar 23, 2017 to Mar 21, 2018
      • HNW clients · unset to 112.0
        Mar 23, 2017 to Mar 21, 2018
      • Individual clients · unset to 150.0
        Mar 23, 2017 to Mar 21, 2018
      • Assets in custody · unset to 135232472.0
        Mar 23, 2017 to Mar 21, 2018
      • Custody of client assets · false to true
        Mar 23, 2017 to Mar 21, 2018
      • Employees · 12 to 13
        Mar 23, 2017 to Mar 21, 2018
      • Financial planning clients · 51-100 to 11-25
        Mar 23, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Mar 21, 2018
      • Discretionary RAUM · $280M to $336M
        Mar 23, 2017 to Mar 21, 2018
      • HNW RAUM · unset to 290494917.0
        Mar 23, 2017 to Mar 21, 2018
      • Individual RAUM · unset to 46355175.0
        Mar 23, 2017 to Mar 21, 2018
      • Non-discretionary RAUM · $1.9M to $4.9M
        Mar 23, 2017 to Mar 21, 2018
      • Pension RAUM · unset to 2092517.0
        Mar 23, 2017 to Mar 21, 2018
      • RAUM · $282M to $341M
        Mar 23, 2017 to Mar 21, 2018
      • Accounts · 846 to 850
        Jan 16, 2017 to Mar 23, 2017
      Signals
      1 dated events
      • ••• Locked
        Jul 25, 2012 · Succession (Item 4) · 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