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••••
Legal name C••••••••• M••••• F••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 7, 2014 · 28 filings
SEC status approved since Sep 15, 2014
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$648M
derived; firm RAUM over IAPD count
Employees
15
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$3.2B as of Mar 30, 2026
Feb 6, 2015$8.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 30, 2026
Feb 6, 20153 then
Employees (5.A)15 as of Mar 30, 2026
Feb 6, 20153 then
Private funds: no history
RAUM +23% over the last fiscal year+34% a year over threeIARs 0 to 8
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $648MderivedRAUM 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
- $648MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• W••••••••• | Boynton Beach, Fl | Feb 24, 2026 | 26 y | 3 |
| M•••••• E•••• P•••••••• | San Diego, Ca | Feb 24, 2026 | 16 y | 3 |
| J••••• E••••• E•••••••• | San Diego, Ca | Feb 24, 2026 | 15 y | 1 |
| M•••••• M•••••• | San Diego, Ca | Feb 24, 2026 | 13 y | 3 |
| M•••••• D•••• J•••• | Maple Glen, Pa | Apr 15, 2026 | 27 y | 0 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- M•••••• E•••• P•••••••• from C••••••••• A•••• M••••••••• L••Feb 24, 2026 · Other
- J••••• E••••• E•••••••• from C••••••••• A•••• M••••••••• L••Feb 24, 2026 · Other
- M•••••• M•••••• from C••••••••• A•••• M••••••••• L••Feb 24, 2026 · Other
- L•••• W••••••••• from C••••••••• A•••• M••••••••• L••Feb 24, 2026 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• A•••• M••••••••• L••Jan 13, 2026 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••••• D• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- K•••••• J•••• C•••••• · Managing Member, Chief Strategic Officercontrolsince 06/2014 · owns 25% to 50%
- K•••••• D•••••• W•••••• · Managing Member, Chief Marketing Officercontrolsince 02/2015 · owns 25% to 50%
- K•••••• M••••••• B•••••• · Managing Member, Chief Operating Officercontrolsince 06/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• F••••••••investment advisernRAUM $302M
- C••••••••• A•••• M••••••••• L••investment advisernRAUM $90.6M
Advisers that list C••••••••• F•••• as a related person
- 155205 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Sep 12, 2025 to Mar 30, 2026
- BD registered reps · 2 to 5Sep 12, 2025 to Mar 30, 2026
- Employees · 9 to 15Sep 12, 2025 to Mar 30, 2026
- State-registered IARs · 0 to 8Sep 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.6B to $3.2BSep 12, 2025 to Mar 30, 2026
- RAUM · $2.6B to $3.2BSep 12, 2025 to Mar 30, 2026
- Financial planning clients · unset to Sep 12, 2024 to Mar 11, 2025
- Discretionary RAUM · $1.7B to $2.6BSep 12, 2024 to Mar 11, 2025
- RAUM · $1.7B to $2.6BSep 12, 2024 to Mar 11, 2025
- Accounts · 4 to 5Nov 14, 2023 to Feb 26, 2024
- Advisory employees · 4 to 5Nov 14, 2023 to Feb 26, 2024
- BD registered reps · 1 to 2Nov 14, 2023 to Feb 26, 2024
- Business name · C••••••••• M••••• F••••• L•• to C••••••••• F••••Nov 14, 2023 to Feb 26, 2024
- Employees · 8 to 9Nov 14, 2023 to Feb 26, 2024
- Financial planning clients · 0 to unsetNov 14, 2023 to Feb 26, 2024
- Discretionary RAUM · $1.4B to $1.7BNov 14, 2023 to Feb 26, 2024
- RAUM · $1.4B to $1.7BNov 14, 2023 to Feb 26, 2024
- Advisory employees · 5 to 4Jan 11, 2023 to Mar 20, 2023
- Discretionary RAUM · $971M to $1.4BJan 11, 2023 to Mar 20, 2023
- RAUM · $971M to $1.4BJan 11, 2023 to Mar 20, 2023
- Advisory activities · 1 to 2Apr 22, 2022 to Dec 21, 2022
- Advisory employees · 4 to 5Dec 22, 2021 to Mar 8, 2022
- Employees · 7 to 8Dec 22, 2021 to Mar 8, 2022
- Discretionary RAUM · $950M to $971MDec 22, 2021 to Mar 8, 2022
- RAUM · $950M to $971MDec 22, 2021 to Mar 8, 2022
- Accounts · 5 to 4Mar 10, 2021 to Dec 22, 2021
- Employees · 6 to 7Mar 10, 2021 to Dec 22, 2021
- Discretionary RAUM · $649M to $950MMar 10, 2021 to Dec 22, 2021
- RAUM · $649M to $950MMar 10, 2021 to Dec 22, 2021
- Employees · 5 to 6Apr 30, 2020 to Mar 10, 2021
- Discretionary RAUM · $474M to $649MApr 30, 2020 to Mar 10, 2021
- RAUM · $474M to $649MApr 30, 2020 to Mar 10, 2021
- Accounts · 4 to 5Mar 1, 2019 to Apr 30, 2020
- Discretionary RAUM · $379M to $474MMar 1, 2019 to Apr 30, 2020
- RAUM · $379M to $474MMar 1, 2019 to Apr 30, 2020
- Accounts · 3 to 4Aug 28, 2018 to Mar 1, 2019
- Discretionary RAUM · $437M to $379MAug 28, 2018 to Mar 1, 2019
- RAUM · $437M to $379MAug 28, 2018 to Mar 1, 2019
- Accounts · 2 to 3Jul 3, 2017 to Mar 6, 2018
- BD registered reps · 3 to 1Jul 3, 2017 to Mar 6, 2018
Signals
10 dated events
- 2 advisors left C••••••••• A•••• M••••••••• L•• (San Diego, CA) for C••••••••• F•••• on the same dayJan 13, 2026 · Team lift-out · derived
- C••••••••• F•••• reported RAUM $2.6B, up 53% from $1.7B (2024-09-12 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- D Dahlia Black (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••••Sep 12, 2024 · Control person joined · fact
- Sue Krista Zipfel (Chief Compliance Officer) no longer on Schedule A of C••••••••• F•••• (listed 2024-02-26, absent 2024-09-12)Sep 12, 2024 · Control person left · inference
- C••••••••• F•••• reported RAUM $1.7B, up 28% from $1.4B (2023-11-14 to 2024-02-26)Feb 26, 2024 · RAUM change · derived
- Sue Krista Zipfel (Chief Compliance Officer) appeared on Schedule A of C••••••••• F••••Nov 14, 2023 · Control person joined · fact
- C••••••••• F•••• reported RAUM $1.4B, up 39% from $970.7M (2023-01-11 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- C••••••••• F•••• reported RAUM $949.8M, up 46% from $648.9M (2021-03-10 to 2021-12-22)Dec 22, 2021 · RAUM change · derived
- C••••••••• F•••• reported RAUM $648.9M, up 37% from $474.2M (2020-04-30 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
- C••••••••• M••••• F••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 2014 · 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
- Firm profile
- linkedin.com/company/counterpoint-mutual-funds-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- counterpointfunds.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-771-4000reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $648Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026