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

S••••• I••••••••• M•••••••••

Former SEC-registered adviserAnaheim Hills, CaliforniaCRD 164967SEC 801-76981IAPD
Latest filing Apr 28, 2015
First filing on the tape Jul 25, 2012 · 13 filings
RAUM
$88.2M
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
13 filings and snapshots on the tape
RAUM$88.2M as of Mar 3, 2015
Feb 4, 2013$96.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 3, 2015
Feb 4, 20131 then
Employees (5.A)1 as of Mar 3, 2015
Feb 4, 20133 then
Private funds: no history
RAUM -14% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 28, 2015; every figure names its basis
RAUM per advisor
$88.2MderivedRAUM 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
$864,265derivedRAUM 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
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
102reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• J•••••• B•••• · President & Chief Investment Officer (Since 2009), Chief Compliance Officer (Since 2014)control
        since 10/2009 · 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 · 82 to 102
        Dec 8, 2014 to Mar 3, 2015
      • Discretionary RAUM · $102M to $88.2M
        Dec 8, 2014 to Mar 3, 2015
      • RAUM · $102M to $88.2M
        Dec 8, 2014 to Mar 3, 2015
      • Employees · 3 to 1
        Aug 26, 2014 to Dec 8, 2014
      • Accounts · 158 to 82
        Nov 1, 2013 to Mar 7, 2014
      • Advisory employees · 2 to 1
        Nov 1, 2013 to Mar 7, 2014
      • Discretionary RAUM · $96.6M to $102M
        Nov 1, 2013 to Mar 7, 2014
      • RAUM · $96.6M to $102M
        Nov 1, 2013 to Mar 7, 2014
      • Accounts · 93 to 158
        Nov 28, 2012 to Feb 4, 2013
      • Employees · 4 to 3
        Nov 28, 2012 to Feb 4, 2013
      • Discretionary RAUM · $105M to $96.6M
        Nov 28, 2012 to Feb 4, 2013
      • RAUM · $105M to $96.6M
        Nov 28, 2012 to Feb 4, 2013
      • Advisory employees · unset to 2.0
        Jul 25, 2012 to Nov 28, 2012
      • BD registered reps · unset to 0.0
        Jul 25, 2012 to Nov 28, 2012
      • Employees · unset to 4.0
        Jul 25, 2012 to Nov 28, 2012
      • HQ city · NEWPORT BEACH to ANAHEIM HILLS
        Jul 25, 2012 to Nov 28, 2012
      • State-registered IARs · unset to 1.0
        Jul 25, 2012 to Nov 28, 2012
      • Succession · true to false
        Jul 25, 2012 to Nov 28, 2012
      Signals
      2 dated events
      • S••••• I••••••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 25, 2012 · Succession (Item 4) · fact
      • S••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
        Jul 25, 2012 · 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