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

A•• P•••••••• L••

Former SEC-registered adviserVisalia, CaliforniaCRD 165566SEC 801-77214IAPD
Latest filing Mar 30, 2015
First filing on the tape Sep 28, 2012 · 5 filings
RAUM
$135M
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
13
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$135M as of Mar 30, 2015
Feb 7, 2013$145M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Feb 7, 20130 then
Employees (5.A)13 as of Mar 30, 2015
Feb 7, 20133 then
Private funds: no history
RAUM -6.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$135MderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
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
      • K••••••• E••••• A••• · Managing Directorcontrol
        since 08/2012 · owns 75% or more
      • W•••••• L••• · Chief Financial Officer, Chief Compliance Officercontrol
        since 09/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 10
        Mar 18, 2014 to Mar 30, 2015
      • Employees · 5 to 13
        Mar 18, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $145M to $135M
        Mar 18, 2014 to Mar 30, 2015
      • RAUM · $145M to $135M
        Mar 18, 2014 to Mar 30, 2015
      • Employees · 3 to 5
        Aug 28, 2013 to Mar 18, 2014
      • HQ city · unset to VISALIA
        Feb 7, 2013 to Aug 28, 2013
      • HQ state · unset to CA
        Feb 7, 2013 to Aug 28, 2013
      • Accounts · unset to 1.0
        Sep 28, 2012 to Feb 7, 2013
      • Advisory employees · unset to 3.0
        Sep 28, 2012 to Feb 7, 2013
      • BD registered reps · unset to 0.0
        Sep 28, 2012 to Feb 7, 2013
      • Employees · unset to 3.0
        Sep 28, 2012 to Feb 7, 2013
      • Financial planning clients · 0 to unset
        Sep 28, 2012 to Feb 7, 2013
      • State-registered IARs · unset to 0.0
        Sep 28, 2012 to Feb 7, 2013
      • Discretionary RAUM · unset to 0.0
        Sep 28, 2012 to Feb 7, 2013
      • Non-discretionary RAUM · unset to 145000000.0
        Sep 28, 2012 to Feb 7, 2013
      • RAUM · unset to 145000000.0
        Sep 28, 2012 to Feb 7, 2013
      Signals
      1 dated events
      • A•• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 28, 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