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

D•••• C•••••• G••••• L••

Former SEC-registered adviserAvila Beach, CaliforniaCRD 165076SEC 801-76991IAPD
Latest filing Mar 31, 2020
First filing on the tape Jul 30, 2012 · 15 filings
RAUM
$91.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$91.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$91.4M as of Mar 31, 2020
Mar 28, 2013$230M then
HNW client RAUM$86.8M as of Mar 31, 2020
Mar 28, 2018$92.3M then
State-registered IARs (5.B.3)1 as of Mar 31, 2020
Mar 28, 20132 then
Employees (5.A)3 as of Mar 31, 2020
Mar 28, 20134 then
Private funds: no history
RAUM +0.9% over the last fiscal year-8.5% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Mar 31, 2020; every figure names its basis
RAUM per advisor
$91.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$870,511derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.9%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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)
  • 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
  • High-net-worth individuals$86.8M95%
  • Individuals$4.6M5.0%
Individual clients
17reported
HNW clients
26reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
105reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• C••••••••• J••• · Ceo Ccocontrol
    since 11/2012 · 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 · 125 to 105
    Jan 2, 2020 to Mar 31, 2020
  • Advisory activities · 4 to 3
    Jan 2, 2020 to Mar 31, 2020
  • Corporate clients · 1 to 0
    Jan 2, 2020 to Mar 31, 2020
  • Employees · 2 to 3
    Jan 2, 2020 to Mar 31, 2020
  • Discretionary RAUM · $90.6M to $91.4M
    Jan 2, 2020 to Mar 31, 2020
  • HNW RAUM · $85.5M to $86.8M
    Jan 2, 2020 to Mar 31, 2020
  • Individual RAUM · $4.9M to $4.6M
    Jan 2, 2020 to Mar 31, 2020
  • RAUM · $90.6M to $91.4M
    Jan 2, 2020 to Mar 31, 2020
  • Related adviser · true to false
    Jan 2, 2020 to Mar 31, 2020
  • BD registered reps · 1 to 0
    Sep 20, 2019 to Jan 2, 2020
  • Insurance-licensed employees · 1 to 0
    Sep 20, 2019 to Jan 2, 2020
  • State-registered IARs · 2 to 1
    Sep 20, 2019 to Jan 2, 2020
  • Related broker-dealer · true to false
    Sep 20, 2019 to Jan 2, 2020
  • Advisory employees · 2 to 1
    Mar 26, 2019 to Sep 20, 2019
  • BD registered reps · 2 to 1
    Mar 26, 2019 to Sep 20, 2019
  • Employees · 3 to 2
    Mar 26, 2019 to Sep 20, 2019
  • State-registered IARs · 3 to 2
    Mar 26, 2019 to Sep 20, 2019
  • Accounts · 188 to 125
    Mar 28, 2018 to Mar 26, 2019
  • Corporate clients · 2 to 1
    Mar 28, 2018 to Mar 26, 2019
  • HNW clients · 31 to 26
    Mar 28, 2018 to Mar 26, 2019
  • Discretionary RAUM · $94.3M to $90.6M
    Mar 28, 2018 to Mar 26, 2019
  • HNW RAUM · $92.3M to $85.5M
    Mar 28, 2018 to Mar 26, 2019
  • Individual RAUM · $1.7M to $4.9M
    Mar 28, 2018 to Mar 26, 2019
  • RAUM · $94.3M to $90.6M
    Mar 28, 2018 to Mar 26, 2019
  • Accounts · 206 to 188
    Feb 1, 2017 to Mar 28, 2018
  • BD registered reps · 1 to 2
    Feb 1, 2017 to Mar 28, 2018
  • Charity clients · unset to 0.0
    Feb 1, 2017 to Mar 28, 2018
  • Corporate clients · unset to 2.0
    Feb 1, 2017 to Mar 28, 2018
  • HNW clients · unset to 31.0
    Feb 1, 2017 to Mar 28, 2018
  • Individual clients · unset to 17.0
    Feb 1, 2017 to Mar 28, 2018
  • Pension plan clients · unset to 0.0
    Feb 1, 2017 to Mar 28, 2018
  • Pooled vehicle clients · unset to 0.0
    Feb 1, 2017 to Mar 28, 2018
  • Insurance-licensed employees · 0 to 1
    Feb 1, 2017 to Mar 28, 2018
  • Other offices · unset to 0.0
    Feb 1, 2017 to Mar 28, 2018
  • Discretionary RAUM · $102M to $94.3M
    Feb 1, 2017 to Mar 28, 2018
  • HNW RAUM · unset to 92287512.0
    Feb 1, 2017 to Mar 28, 2018
  • Individual RAUM · unset to 1716874.0
    Feb 1, 2017 to Mar 28, 2018
  • Non-discretionary RAUM · $17.6M to $0
    Feb 1, 2017 to Mar 28, 2018
  • Pension RAUM · unset to 0.0
    Feb 1, 2017 to Mar 28, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Feb 1, 2017 to Mar 28, 2018
Signals
2 dated events
  • D•••• C•••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 9, 2012 · Succession (Item 4) · fact
  • D•••• C•••••• G•••• filed its initial SEC registration (Form ADV)
    Jul 30, 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