DFX Intelligence

RIA Intelligence

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F••••• P••••••• L••

No RAUM reportedSEC-registered· San Francisco, Californiawebsite

No RAUM reported, based in San Francisco, California.

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

Advisors
4
Net advisor flow, 12 months
0
0 joined, 0 left
See where advisers wentSee teams that moved
More
Advisors (4)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 161038 · SEC 801-73254 · 39 filingsShow
CRD 161038SEC 801-73254First filing on the tape Feb 10, 2012, latest May 15, 2026SEC status approved since Feb 17, 2012IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 10, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of May 15, 2026
Jan 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of May 15, 2026
Mar 22, 20133 then
Employees (5.A)5 as of May 15, 2026
Mar 22, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
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
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      4 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      C•••••• M•••••• C••••••••San Francisco, Ca Feb 17, 201215 y0
      J••• C•••••• T•••••••San Francisco, Ca Aug 29, 201215 y0
      E••• L••••• C••••••••San Francisco, Ca Jun 28, 201314 y0
      K•••• L•••Vancouver, Wa Aug 21, 202313 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• C••••••• M•••••• · Directorcontrol
        since 02/2012 · owns 50% to 75%
      • C••••••••• E•••• L••••• · Chief Executive Officer/Chief Compliance Officercontrol
        since 02/2012 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      San Francisco, Ca · principal400
      Novato, Ca200
      Offices
      Schedule D 1.F, the 25 largest
      • Novato, CA2 employees
      • New York, NY1 employee
      • , 1 employee
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Nov 15, 2024 to Jan 31, 2025
      • Employees · 4 to 5
        Nov 15, 2024 to Jan 31, 2025
      • Financial planning clients · unset to
        Nov 15, 2024 to Jan 31, 2025
      • Discretionary RAUM · unset to 0.0
        Nov 15, 2024 to Jan 31, 2025
      • Non-discretionary RAUM · unset to 0.0
        Nov 15, 2024 to Jan 31, 2025
      Full history · 26 changes
      • RAUM · unset to 0.0
        Nov 15, 2024 to Jan 31, 2025
      • Advisory employees · 3 to 4
        Apr 3, 2023 to Mar 1, 2024
      • State-registered IARs · 3 to 4
        Apr 3, 2023 to Mar 1, 2024
      • Other offices · 3 to 4
        Apr 3, 2023 to Mar 1, 2024
      • Advisory employees · 4 to 3
        Mar 4, 2022 to Mar 29, 2023
      • Employees · 5 to 4
        Mar 4, 2022 to Mar 29, 2023
      • State-registered IARs · 4 to 3
        Mar 4, 2022 to Mar 29, 2023
      • Other offices · 4 to 3
        Mar 4, 2022 to Mar 29, 2023
      • Employees · 4 to 5
        Feb 15, 2019 to Mar 16, 2020
      • Individual clients · 496.0 to unset
        Nov 2, 2018 to Feb 15, 2019
      • Individual RAUM · 0.0 to unset
        Nov 2, 2018 to Feb 15, 2019
      • Individual clients · unset to 496.0
        Nov 14, 2017 to Feb 5, 2018
      • Individual RAUM · unset to 0.0
        Nov 14, 2017 to Feb 5, 2018
      • Other offices · unset to 4.0
        Feb 24, 2017 to Nov 14, 2017
      • Advisory employees · 3 to 4
        Mar 22, 2013 to Feb 7, 2014
      • State-registered IARs · 3 to 4
        Mar 22, 2013 to Feb 7, 2014
      • Advisory employees · unset to 3.0
        Oct 26, 2012 to Mar 22, 2013
      • Advisory activities · 2 to 1
        Oct 26, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Oct 26, 2012 to Mar 22, 2013
      • Employees · unset to 4.0
        Oct 26, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 3.0
        Oct 26, 2012 to Mar 22, 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, May 15, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, May 15, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      No RAUM reportedderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: regulatory AUM, RAUM change, 1 year, private clients.