DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S•••••• F••••• O•••••• I•••

Former SEC-registered adviserFormer SEC adviser· Escondido, Californiawebsite

Former SEC-registered adviser, based in Escondido, California.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
Not established
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 173846 · SEC 801-80624 · 6 filingsShow
CRD 173846SEC 801-80624First filing on the tape Nov 14, 2014, latest May 12, 2015IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Dec 1, 2014
Nov 14, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 12, 2015
Nov 14, 20141 then
Employees (5.A)1 as of May 12, 2015
Nov 14, 20141 then
Private funds: no history
Practice profile
derived from the filing of May 12, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••••• L•• W•••••Certified Financial PlannerEscondido, CaSep 8, 202521 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••••• T••••••• L•• · Chief Compliance Officer And Presidentcontrol
      since 12/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0.0 to unset
      Dec 1, 2014 to Mar 31, 2015
    • Advisory activities · 2 to 1
      Dec 1, 2014 to Mar 31, 2015
    • Discretionary RAUM · 0.0 to unset
      Dec 1, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · 0.0 to unset
      Dec 1, 2014 to Mar 31, 2015
    • RAUM · 0.0 to unset
      Dec 1, 2014 to Mar 31, 2015
    • Business name · S•••••• F••••• O•••••• L•• to S•••••• F••••• O•••••• I•••
      Nov 14, 2014 to Dec 1, 2014
    • HQ city · unset to ESCONDIDO
      Nov 14, 2014 to Dec 1, 2014
    • HQ state · unset to CA
      Nov 14, 2014 to Dec 1, 2014
    • Legal name · S•••••• F••••• O•••••• L•• to S•••••• F••••• O•••••• I•••
      Nov 14, 2014 to Dec 1, 2014
    Signals
    1 dated events
    • ••• Locked
      Nov 14, 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
    Website
    ••• Lockedreportedpublic record, Form ADV, Jun 8, 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
    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