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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SEC-registered adviser
O•••• F•••••••• G••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 20, 2021 · 8 filings
SEC status approved since Jun 21, 2021
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$239M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$239M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$239M as of Mar 30, 2026
Apr 1, 2022$105M then
HNW client RAUM$239M as of Mar 30, 2026
Apr 1, 2022$105M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 1, 20221 then
Employees (5.A)2 as of Mar 30, 2026
Apr 1, 20222 then
Private funds: no history
RAUM +42% over the last fiscal year+29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $944,387derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$239M100%
- Individual clients
- 0reported
- HNW clients
- 120reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 253reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• O•••••• R•••• | Encinitas, Ca | Sep 11, 2012 | 22 y | 4 |
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
- C••••• O•••••• R•••• from A•••••• C•••••• M••••••••• L••Sep 11, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• E••••• A• · Chief Executive Officer And Chief Operating Officercontrolsince 05/2021 · owns less than 5%
- R••••• C•••••• O•••••• · Managing Member And Chief Compliance Officercontrolsince 07/2012 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $168,330,000 to $238,930,000 (+42.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 226 to 253Mar 28, 2025 to Mar 30, 2026
- HNW clients · 115 to 120Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $168M to $239MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $168M to $239MMar 28, 2025 to Mar 30, 2026
- RAUM · $168M to $239MMar 28, 2025 to Mar 30, 2026
- Accounts · 115 to 226Apr 1, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 51-100Apr 1, 2024 to Mar 28, 2025
- HQ city · unset to Apr 1, 2024 to Mar 28, 2025
- HQ state · unset to Apr 1, 2024 to Mar 28, 2025
- Discretionary RAUM · $138M to $168MApr 1, 2024 to Mar 28, 2025
- HNW RAUM · $138M to $168MApr 1, 2024 to Mar 28, 2025
- RAUM · $138M to $168MApr 1, 2024 to Mar 28, 2025
- Accounts · 108 to 115Mar 27, 2023 to Apr 1, 2024
- Charity clients · unset to 0.0Mar 27, 2023 to Apr 1, 2024
- Corporate clients · unset to 0.0Mar 27, 2023 to Apr 1, 2024
- HNW clients · 108 to 115Mar 27, 2023 to Apr 1, 2024
- Individual clients · unset to 0.0Mar 27, 2023 to Apr 1, 2024
- Pension plan clients · unset to 0.0Mar 27, 2023 to Apr 1, 2024
- Pooled vehicle clients · unset to 0.0Mar 27, 2023 to Apr 1, 2024
- Discretionary RAUM · $111M to $138MMar 27, 2023 to Apr 1, 2024
- HNW RAUM · $111M to $138MMar 27, 2023 to Apr 1, 2024
- RAUM · $111M to $138MMar 27, 2023 to Apr 1, 2024
- Accounts · 113 to 108Apr 7, 2022 to Mar 27, 2023
- HNW clients · 113 to 108Apr 7, 2022 to Mar 27, 2023
- Discretionary RAUM · $105M to $111MApr 7, 2022 to Mar 27, 2023
- HNW RAUM · $105M to $111MApr 7, 2022 to Mar 27, 2023
- RAUM · $105M to $111MApr 7, 2022 to Mar 27, 2023
- Accounts · 127 to 113May 27, 2021 to Apr 1, 2022
- HNW clients · 127 to 113May 27, 2021 to Apr 1, 2022
- Discretionary RAUM · $101M to $105MMay 27, 2021 to Apr 1, 2022
- HNW RAUM · $101M to $105MMay 27, 2021 to Apr 1, 2022
- Individual RAUM · unset to 0.0May 27, 2021 to Apr 1, 2022
- Pension RAUM · unset to 0.0May 27, 2021 to Apr 1, 2022
- Pooled vehicle RAUM · unset to 0.0May 27, 2021 to Apr 1, 2022
- RAUM · $101M to $105MMay 27, 2021 to Apr 1, 2022
Signals
1 dated events
- O•••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 20, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@disciplinefunds.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-882-9983reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-255-1107reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- disciplinefunds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 18582205383reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- disciplinefunds.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026