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.

SEC-registered adviser

Claraphi Advisory Network, LLC

Independent wealth managerAliso Viejo, CaliforniaCRD 165868SEC 801-80575websiteIAPD
Latest filing Dec 1, 2023
First filing on the tape Nov 3, 2014 · 97 filings
SEC status approved since Dec 4, 2014
RAUM
$383M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$361M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
20
beyond the principal office
Private funds
0
reported on Schedule D
History
97 filings and snapshots on the tape
RAUM$383M as of Mar 31, 2023
Mar 31, 2015$130M then
HNW client RAUM$127M as of Mar 31, 2023
Mar 31, 2018$152M then
State-registered IARs (5.B.3)8 as of Mar 31, 2023
Mar 31, 20157 then
Employees (5.A)8 as of Mar 31, 2023
Mar 31, 20158 then
Private funds: no history
RAUM -61% over the last fiscal year-25% a year over threeIARs 29 to 8offices 22 to 20
Practice profile
derived from the filing of Dec 1, 2023; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$47.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
183derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$157,927derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.4derived21 offices incl. principal (1.F.5)
RAUM growth, one year
-61%derivedbetween the last two annual amendments
Advisor growth, one year
-72%derivedItem 5.B.3 between annual amendments
Client growth, one year
-46%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$20.6M, 601 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$234M61%
  • High-net-worth individuals$127M33%
  • Corporations and businesses$11.1M2.9%
  • Pension and profit-sharing plans$10.0M2.6%
Individual clients
1,362reported
HNW clients
105reported
Pension plan clients
11reported
Charitable clients
0reported
Accounts
2,422reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$20.6M for 601 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Amadou Diallo · Cto; Dir Of Human Resources (06/22), Ccocontrol
    since 05/2022 · owns less than 5%
  • Amadou Diallo · Managing Membercontrol
    since 05/2021 · owns 75% or more of Tradability, LLC
Entity owners
  • Pomegranate Holdings, LLC · Managing And Sole Memeber
    direct · owns 75% or more
  • Tradability, LLC · Managing And Sole Member
    indirect · owns 75% or more of Pomegranate Holdings, LLC
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Aliso Viejo, Ca · principal000
Hartland, Wi000
Laguna Niguel, Ca000
San Rafael, Ca000
Offices
Schedule D 1.F, the 25 largest
  • New York, NY3 employees
  • Pasadena, CA2 employees
  • Portland, OR2 employees
  • San Rafael, CA2 employees
  • Jericho, NY1 employees
  • Kennesaw, GA1 employees
  • Laguna Niguel, CA1 employees
  • Mary Esther, FL1 employees
  • Molalla, OR1 employees
  • Scottsdale, AZ1 employees
  • Tulsa, OK1 employees
  • Winter Haven, FL1 employees
  • , 1 employees
  • Carlsbad, CA1 employees
  • Dana Point, CA1 employees
  • Forest, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • high office count relative to headcountStatic outlier · filing Dec 1, 2023
    offices per registered advisor of 2.6 against a peer median of 0.6 (577 comparable advisers, 100.0th percentile, 8.0 robust deviations)
    peers: independent wealth managers, $100M to $500M (577) · 100% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 11,265 to 2,422
    Aug 31, 2022 to Mar 31, 2023
  • Advisory employees · 29 to 8
    Aug 31, 2022 to Mar 31, 2023
  • BD registered reps · 3 to 0
    Aug 31, 2022 to Mar 31, 2023
  • Corporate clients · 51 to 26
    Aug 31, 2022 to Mar 31, 2023
  • HNW clients · 181 to 105
    Aug 31, 2022 to Mar 31, 2023
  • Individual clients · 2,511 to 1,362
    Aug 31, 2022 to Mar 31, 2023
  • Pension plan clients · 17 to 11
    Aug 31, 2022 to Mar 31, 2023
  • Employees · 29 to 8
    Aug 31, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 3 to 0
    Aug 31, 2022 to Mar 31, 2023
  • State-registered IARs · 29 to 8
    Aug 31, 2022 to Mar 31, 2023
  • Discretionary RAUM · $964M to $383M
    Aug 31, 2022 to Mar 31, 2023
  • HNW RAUM · $376M to $127M
    Aug 31, 2022 to Mar 31, 2023
  • Individual RAUM · $552M to $234M
    Aug 31, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $5.9M to $0
    Aug 31, 2022 to Mar 31, 2023
  • Pension RAUM · $16.4M to $10.0M
    Aug 31, 2022 to Mar 31, 2023
  • RAUM · $970M to $383M
    Aug 31, 2022 to Mar 31, 2023
  • Other offices · 22 to 20
    Jul 29, 2022 to Aug 4, 2022
  • Accounts · 12,086 to 11,265
    Mar 18, 2022 to Mar 31, 2022
  • Advisory employees · 33 to 29
    Mar 18, 2022 to Mar 31, 2022
  • BD registered reps · 5 to 3
    Mar 18, 2022 to Mar 31, 2022
  • Corporate clients · 36 to 51
    Mar 18, 2022 to Mar 31, 2022
  • HNW clients · 248 to 181
    Mar 18, 2022 to Mar 31, 2022
  • Individual clients · 2,723 to 2,511
    Mar 18, 2022 to Mar 31, 2022
  • Pension plan clients · 12 to 17
    Mar 18, 2022 to Mar 31, 2022
  • Assets in custody · $240M to $20.6M
    Mar 18, 2022 to Mar 31, 2022
  • Employees · 44 to 29
    Mar 18, 2022 to Mar 31, 2022
  • Insurance-licensed employees · 1 to 3
    Mar 18, 2022 to Mar 31, 2022
  • State-registered IARs · 41 to 29
    Mar 18, 2022 to Mar 31, 2022
  • Other offices · 27 to 22
    Mar 18, 2022 to Mar 31, 2022
  • Discretionary RAUM · $1.1B to $964M
    Mar 18, 2022 to Mar 31, 2022
  • HNW RAUM · $440M to $376M
    Mar 18, 2022 to Mar 31, 2022
  • Individual RAUM · $586M to $552M
    Mar 18, 2022 to Mar 31, 2022
  • Non-discretionary RAUM · $0 to $5.9M
    Mar 18, 2022 to Mar 31, 2022
  • Pension RAUM · $21.9M to $16.4M
    Mar 18, 2022 to Mar 31, 2022
  • RAUM · $1.1B to $970M
    Mar 18, 2022 to Mar 31, 2022
  • Accounts · 4,963 to 12,086
    Feb 5, 2021 to Mar 30, 2021
  • Advisory employees · 36 to 33
    Feb 5, 2021 to Mar 30, 2021
  • BD registered reps · 7 to 5
    Feb 5, 2021 to Mar 30, 2021
  • Corporate clients · 25 to 36
    Feb 5, 2021 to Mar 30, 2021
  • HNW clients · 175 to 248
    Feb 5, 2021 to Mar 30, 2021
Signals
57 dated events
  • Steven Ray Miller left Claraphi Advisory Network, Llc for Private Advisor Group, Llc (registered 2023-10-10)
    Dec 31, 2023 · Advisor changed firm · fact
  • Norman Ellsworth Mains left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2025-11-18)
    Dec 31, 2023 · Advisor changed firm · fact
  • Kiley Connors Maertz left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2023-06-21)
    Dec 31, 2023 · Advisor changed firm · fact
  • James Robert Mcmiller left Claraphi Advisory Network, Llc for Advisors On Call (registered 2022-08-11)
    Dec 31, 2023 · Advisor changed firm · fact
  • 2 advisors left Claraphi Advisory Network, LLC (Aliso Viejo, CA) for Compound Planning, Inc. on the same day
    Dec 31, 2023 · Team lift-out · derived
  • Gary Forrest Thomas left Claraphi Advisory Network, Llc for Turner Financial Group, Inc. (registered 2023-11-10)
    Dec 12, 2023 · Advisor changed firm · fact
  • Thavaselan Subramaniam left Claraphi Advisory Network, Llc for Turner Financial Group, Inc. (registered 2023-11-13)
    Dec 12, 2023 · Advisor changed firm · fact
  • Mohammed Sultan Ghouri left Claraphi Advisory Network, Llc for Turner Financial Group, Inc. (registered 2023-11-10)
    Dec 12, 2023 · Advisor changed firm · fact
  • 3 advisors left Claraphi Advisory Network, LLC (Aliso Viejo, CA) for Turner Financial Group, Inc. on the same day
    Dec 12, 2023 · Team lift-out · derived
  • Margaret Kathleen Mcpherson (Ceo) no longer on Schedule A of Claraphi Advisory Network, Llc (listed 2023-03-31, absent 2023-05-02)
    May 2, 2023 · Control person left · inference
  • Claraphi Advisory Network, Llc reported 8 state-registered advisory representatives, down from 29 (2022-08-31 to 2023-03-31)
    Mar 31, 2023 · Advisor headcount change · derived
  • Claraphi Advisory Network, Llc reported RAUM $382.5M, down 61% from $969.9M (2022-08-31 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • Wood Logan Varela (President) no longer on Schedule A of Claraphi Advisory Network, Llc (listed 2022-08-31, absent 2023-03-31)
    Mar 31, 2023 · Control person left · inference
  • Logan Wood Varela left Claraphi Advisory Network, Llc for Mariner (registered 2025-10-01)
    Dec 31, 2022 · Advisor changed firm · fact
  • Frank Ronald Stanley left Claraphi Advisory Network, Llc for Tactive Advisors, Llc (registered 2025-10-30)
    Dec 31, 2022 · Advisor changed firm · fact
  • Lawrence Sheldon Steinberg left Claraphi Advisory Network, Llc for Cabin Advisors, Llc (registered 2022-10-28)
    Dec 31, 2022 · Advisor changed firm · fact
  • Sterling Vaughn Louviere left Claraphi Advisory Network, Llc for Cabin Advisors, Llc (registered 2026-02-12)
    Dec 31, 2022 · Advisor changed firm · fact
  • Howard Leon Dingle left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2022-10-03)
    Dec 22, 2022 · Advisor changed firm · fact
  • Lee Audry Goss left Claraphi Advisory Network, Llc for Cabin Advisors, Llc (registered 2023-05-03)
    Dec 22, 2022 · Advisor changed firm · fact
  • 3 advisors left Claraphi Advisory Network, LLC (Pasadena, CA) for Cabin Advisors, LLC within 9 days
    Dec 22, 2022 · Team lift-out · derived
  • Hans-Christian Winkler left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2022-09-07)
    Dec 6, 2022 · Advisor changed firm · fact
  • Edgar Allen Thomas left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2022-09-26)
    Dec 6, 2022 · Advisor changed firm · fact
  • Gregory Avery Ramirez left Claraphi Advisory Network, Llc for Advisors On Call (registered 2024-02-23)
    Dec 6, 2022 · Advisor changed firm · fact
  • William Dennis Burns left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2025-01-01)
    Dec 6, 2022 · Advisor changed firm · fact
  • 2 advisors left Claraphi Advisory Network, LLC (Aliso Viejo, CA) for Compound Planning, Inc. on the same day
    Dec 6, 2022 · Team lift-out · derived
  • Christopher John Bowman left Claraphi Advisory Network, Llc for Creativeone Wealth, Llc (registered 2022-10-18)
    Oct 18, 2022 · Advisor changed firm · fact
  • Ronald Joe Farner left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2024-06-03)
    Oct 18, 2022 · Advisor changed firm · fact
  • David Lowell Hubble left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2025-01-01)
    Oct 18, 2022 · Advisor changed firm · fact
  • Cameron Tarr Hackett left Claraphi Advisory Network, Llc for Compound Planning, Inc. (registered 2022-09-08)
    Oct 18, 2022 · Advisor changed firm · fact
  • 2 advisors left Claraphi Advisory Network, LLC (Aliso Viejo, CA) for Compound Planning, Inc. on the same day
    Oct 18, 2022 · Team lift-out · derived
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
Website
CLARAPHI.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
949-215-0025reportedpublic record, Form ADV, Dec 1, 2023
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026