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

F•••••••• I••••••••• C••••••• L••

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 165458SEC 801-77158IAPD
Latest filing Apr 1, 2014
First filing on the tape Sep 12, 2012 · 4 filings
RAUM
$227M
reported, Item 5.F
Discretionary
0.0%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$227M as of Apr 1, 2014
Mar 28, 2013$244M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Apr 1, 2014
Mar 28, 20134 then
Employees (5.A)4 as of Apr 1, 2014
Mar 28, 20134 then
Private funds: no history
RAUM -7.2% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Apr 1, 2014; every figure names its basis
RAUM per advisor
$56.7MderivedRAUM 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
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-7.2%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
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
94reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• C••••••••• J•• · Manager And Membercontrol
    since 10/2012 · owns less than 5%
  • C••••••••• J•••••• H•••••••• · Chief Compliance Officer And Membercontrol
    since 04/2012 · owns less than 5%
  • M••••••• R••••• S•••• · Chairperson And Membercontrol
    since 10/2012 · owns less than 5%
  • V•• W••• G••••••• D••••• · Manager And Membercontrol
    since 04/2012 · owns less than 5%
Entity owners
  • F•••••••• C•••••• H•••••••• L•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Honolulu, HI
  • San Francisco, CA
What changed
consecutive filings, newest first
  • Accounts · 95 to 94
    Mar 28, 2013 to Apr 1, 2014
  • Advisory activities · 3 to 4
    Mar 28, 2013 to Apr 1, 2014
  • Non-discretionary RAUM · $244M to $227M
    Mar 28, 2013 to Apr 1, 2014
  • RAUM · $244M to $227M
    Mar 28, 2013 to Apr 1, 2014
  • Non-discretionary RAUM · $227M to $244M
    Nov 6, 2012 to Mar 28, 2013
  • RAUM · $227M to $244M
    Nov 6, 2012 to Mar 28, 2013
  • Advisory employees · unset to 4.0
    Sep 12, 2012 to Nov 6, 2012
  • BD registered reps · unset to 0.0
    Sep 12, 2012 to Nov 6, 2012
  • Employees · unset to 4.0
    Sep 12, 2012 to Nov 6, 2012
  • State-registered IARs · unset to 4.0
    Sep 12, 2012 to Nov 6, 2012
Signals
1 dated events
  • F•••••••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 12, 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