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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H•••••••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 175313SEC 801-106639IAPD
Legal name F••••• T••••••••• I•••
Latest filing Apr 7, 2016
First filing on the tape Sep 2, 2015 · 4 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Apr 7, 2016
Jan 14, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 7, 2016
Sep 2, 20153 then
Employees (5.A)3 as of Apr 7, 2016
Sep 2, 20153 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 7, 2016; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
3.0derived1 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
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • L••••• I••• A••••• · Ceocontrol
      since 09/2012 · owns 50% to 75%
    • M••••••• C••••••••• J••• · President & Ciocontrol
      since 09/2012 · owns 50% to 75%
    • W••••• K••••• N••• · Ccocontrol
      since 04/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 5 to 3
      Jan 14, 2016 to Mar 28, 2016
    • Accounts · unset to 0.0
      Sep 2, 2015 to Jan 14, 2016
    • Advisory activities · 2 to 1
      Sep 2, 2015 to Jan 14, 2016
    • Business name · F••••• T••••••••• I••• to H•••••••••
      Sep 2, 2015 to Jan 14, 2016
    • Employees · 3 to 5
      Sep 2, 2015 to Jan 14, 2016
    • Discretionary RAUM · unset to 0.0
      Sep 2, 2015 to Jan 14, 2016
    • Non-discretionary RAUM · unset to 0.0
      Sep 2, 2015 to Jan 14, 2016
    • RAUM · unset to 0.0
      Sep 2, 2015 to Jan 14, 2016
    Signals
    2 dated events
    • 2 advisors left G••••• I••••••••• M••••••••• I••• (San Diego, CA) for H••••••••• on the same day
      Nov 30, 2023 · Team lift-out · derived
    • F••••• T••••••••• I••• filed its initial SEC registration (Form ADV)
      Sep 2, 2015 · 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