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•••••• A•••••••• L••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 167638SEC 801-78391IAPD
Latest filing Mar 17, 2020
First filing on the tape Jul 25, 2013 · 13 filings
RAUM
$15.7M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$15.7M as of Mar 17, 2020
Apr 1, 2014$21.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2020
Apr 1, 20140 then
Employees (5.A)6 as of Mar 17, 2020
Apr 1, 20146 then
Private funds: no history
RAUM -0.4% over the last fiscal year-9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2020; 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
$152,158derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, pension consulting, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$15.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
26reported
Charitable clients
n/areported
Accounts
103reported
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
  • W•••••• J••• M• · Chief Compliance Officercontrol
    since 02/2019 · owns less than 5%
  • Y••••• D••••• N•• · Managing Member, Chief Executive Officercontrol
    since 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 101 to 103
    Mar 29, 2019 to Mar 17, 2020
  • Advisory activities · 2 to 4
    Mar 29, 2019 to Mar 17, 2020
  • Pension plan clients · 101 to 26
    Mar 29, 2019 to Mar 17, 2020
  • Employees · 7 to 6
    Mar 29, 2019 to Mar 17, 2020
  • Financial planning clients · 26-50 to 0
    Mar 29, 2019 to Mar 17, 2020
  • Discretionary RAUM · $15.7M to $15.7M
    Mar 29, 2019 to Mar 17, 2020
  • Pension RAUM · $15.7M to $15.7M
    Mar 29, 2019 to Mar 17, 2020
  • RAUM · $15.7M to $15.7M
    Mar 29, 2019 to Mar 17, 2020
  • Accounts · 65 to 101
    Mar 30, 2018 to Mar 29, 2019
  • Pension plan clients · 103 to 101
    Mar 30, 2018 to Mar 29, 2019
  • Employees · 4 to 7
    Mar 30, 2018 to Mar 29, 2019
  • Discretionary RAUM · $17.1M to $15.7M
    Mar 30, 2018 to Mar 29, 2019
  • Pension RAUM · $17.1M to $15.7M
    Mar 30, 2018 to Mar 29, 2019
  • RAUM · $17.1M to $15.7M
    Mar 30, 2018 to Mar 29, 2019
  • Accounts · 103 to 65
    Apr 28, 2017 to Mar 30, 2018
  • Advisory activities · 6 to 2
    Apr 28, 2017 to Mar 30, 2018
  • Pension plan clients · unset to 103.0
    Apr 28, 2017 to Mar 30, 2018
  • Employees · 3 to 4
    Apr 28, 2017 to Mar 30, 2018
  • Financial planning clients · 11-25 to 26-50
    Apr 28, 2017 to Mar 30, 2018
  • Other offices · unset to 0.0
    Apr 28, 2017 to Mar 30, 2018
  • Discretionary RAUM · $21.0M to $17.1M
    Apr 28, 2017 to Mar 30, 2018
  • Pension RAUM · unset to 17090000.0
    Apr 28, 2017 to Mar 30, 2018
  • RAUM · $21.0M to $17.1M
    Apr 28, 2017 to Mar 30, 2018
  • Discretionary RAUM · $21.4M to $21.0M
    Apr 1, 2017 to Apr 28, 2017
  • RAUM · $21.4M to $21.0M
    Apr 1, 2017 to Apr 28, 2017
  • Accounts · 58 to 103
    Mar 29, 2016 to Apr 1, 2017
  • Employees · 2 to 3
    Mar 29, 2016 to Apr 1, 2017
  • Discretionary RAUM · $25.9M to $21.4M
    Mar 29, 2016 to Apr 1, 2017
  • RAUM · $25.9M to $21.4M
    Mar 29, 2016 to Apr 1, 2017
  • Advisory employees · 4 to 2
    Jul 9, 2015 to Mar 29, 2016
  • Employees · 5 to 2
    Jul 9, 2015 to Mar 29, 2016
  • Discretionary RAUM · $27.0M to $25.9M
    Jul 9, 2015 to Mar 29, 2016
  • RAUM · $27.0M to $25.9M
    Jul 9, 2015 to Mar 29, 2016
  • Accounts · 73 to 58
    Apr 1, 2014 to Mar 31, 2015
  • Advisory activities · 5 to 6
    Apr 1, 2014 to Mar 31, 2015
  • Employees · 6 to 5
    Apr 1, 2014 to Mar 31, 2015
  • Financial planning clients · 26-50 to 11-25
    Apr 1, 2014 to Mar 31, 2015
  • Discretionary RAUM · $21.2M to $27.0M
    Apr 1, 2014 to Mar 31, 2015
  • RAUM · $21.2M to $27.0M
    Apr 1, 2014 to Mar 31, 2015
  • Accounts · 131 to 73
    Jul 31, 2013 to Apr 1, 2014
Signals
4 dated events
  • Mitchell Kevin Starkey (Chief Operating Officer) no longer on Schedule A of A•••••• A•••••••• L•• (listed 2019-03-29, absent 2020-03-17)
    Mar 17, 2020 · Control person left · inference
  • M Jon Wieman (Chief Compliance Officer) appeared on Schedule A of A•••••• A•••••••• L••
    Mar 29, 2019 · Control person joined · fact
  • Mitchell Kevin Starkey (Chief Operating Officer) appeared on Schedule A of A•••••• A•••••••• L••
    Mar 29, 2019 · Control person joined · fact
  • A•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 25, 2013 · 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