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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SEC-registered adviser
C••• F•••••••• A•••••••
Legal name C••• F•••••••• A•••••••• L••
Latest filing Jan 12, 2026
First filing on the tape Sep 19, 2013 · 31 filings
SEC status approved since Oct 16, 2013
RAUM
$179M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
99%
$177M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$179M as of Jan 12, 2026
Mar 25, 2014$102M then
HNW client RAUM$115M as of Jan 12, 2026
Mar 14, 2018$68.0M then
State-registered IARs (5.B.3)4 as of Jan 12, 2026
Mar 25, 20143 then
Employees (5.A)5 as of Jan 12, 2026
Mar 25, 20144 then
Private funds: no history
RAUM +5.7% over the last fiscal year+5.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $44.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $352,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M64%
- Individuals$62.9M35%
- Pension and profit-sharing plans$1.1M0.6%
- Individual clients
- 203reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 507reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• O••• B••• | San Bernardino, Ca | Oct 16, 2013 | 36 y | 1 |
| R•••••• E•• M•••••• M••••••• | San Bernardino, Ca | Feb 6, 2019 | 10 y | 0 |
| A••••• D••••• B••• | San Bernardino, Ca | Feb 28, 2025 | 36 y | 1 |
| P••• V••••• H•••••• | San Bernardino, Ca | Sep 12, 2025 | 34 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P••• V••••• H•••••• from M••••• S•••••• D• I•••Sep 12, 2025 · Other
- A••••• D••••• B••• from G•• A•••••••Feb 28, 2025 · Other
- R••••• O••• B••• from G•• A•••••••Oct 16, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• A•••••• D••••• · Managing Membercontrolsince 10/2013 · owns 10% to 25%
- B•••• R•••••• O••• · Managing Member & Presidentcontrolsince 10/2013 · owns 75% or more
- M•••••••• R••••••• E•• M•••••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Bernardino, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 506 to 507Mar 18, 2025 to Jan 12, 2026
- Individual clients · 207 to 203Mar 18, 2025 to Jan 12, 2026
- Employees · 6 to 5Mar 18, 2025 to Jan 12, 2026
- Discretionary RAUM · $149M to $152MMar 18, 2025 to Jan 12, 2026
- HNW RAUM · $108M to $115MMar 18, 2025 to Jan 12, 2026
- Individual RAUM · $60.7M to $62.9MMar 18, 2025 to Jan 12, 2026
- Non-discretionary RAUM · $20.1M to $26.1MMar 18, 2025 to Jan 12, 2026
- Pension RAUM · $136,678 to $1.1MMar 18, 2025 to Jan 12, 2026
- RAUM · $169M to $179MMar 18, 2025 to Jan 12, 2026
- Accounts · 534 to 506Mar 19, 2024 to Mar 18, 2025
- BD registered reps · 2 to 1Mar 19, 2024 to Mar 18, 2025
- HNW clients · 45 to 46Mar 19, 2024 to Mar 18, 2025
- Individual clients · 212 to 207Mar 19, 2024 to Mar 18, 2025
- Commission compensation · true to falseMar 19, 2024 to Mar 18, 2025
- Employees · 5 to 6Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 0Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $141M to $149MMar 19, 2024 to Mar 18, 2025
- HNW RAUM · $100M to $108MMar 19, 2024 to Mar 18, 2025
- Individual RAUM · $58.6M to $60.7MMar 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $17.9M to $20.1MMar 19, 2024 to Mar 18, 2025
- Pension RAUM · $164,078 to $136,678Mar 19, 2024 to Mar 18, 2025
- RAUM · $159M to $169MMar 19, 2024 to Mar 18, 2025
- Accounts · 497 to 534Mar 22, 2023 to Mar 19, 2024
- HNW clients · 40 to 45Mar 22, 2023 to Mar 19, 2024
- Individual clients · 207 to 212Mar 22, 2023 to Mar 19, 2024
- Financial planning clients · 0 to 1-10Mar 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $132M to $141MMar 22, 2023 to Mar 19, 2024
- HNW RAUM · $87.7M to $100MMar 22, 2023 to Mar 19, 2024
- Individual RAUM · $62.5M to $58.6MMar 22, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $19.4M to $17.9MMar 22, 2023 to Mar 19, 2024
- Pension RAUM · $1.1M to $164,078Mar 22, 2023 to Mar 19, 2024
- RAUM · $151M to $159MMar 22, 2023 to Mar 19, 2024
- Accounts · 504 to 497May 13, 2022 to Mar 22, 2023
- BD registered reps · 1 to 2May 13, 2022 to Mar 22, 2023
- HNW clients · 60 to 40May 13, 2022 to Mar 22, 2023
- Individual clients · 396 to 207May 13, 2022 to Mar 22, 2023
- Discretionary RAUM · $154M to $132MMay 13, 2022 to Mar 22, 2023
- HNW RAUM · $120M to $87.7MMay 13, 2022 to Mar 22, 2023
- Individual RAUM · $56.4M to $62.5MMay 13, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $23.6M to $19.4MMay 13, 2022 to Mar 22, 2023
Signals
1 dated events
- B••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Sep 19, 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.
How to reach
public business contact points only, each with its source
- Business email
- c•••@c••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-410-7900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 909-382-4545reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 909-382-4563reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 909-382-4545reportedpublic record, Form ADV, Jan 12, 2026
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
- $44.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026