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

I•••••• C•••••• M••••••••• L••

Former SEC-registered adviserSan Ramon, CaliforniaCRD 176530SEC 801-110464IAPD
Latest filing Mar 29, 2021
First filing on the tape Apr 14, 2017 · 15 filings
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$205M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$205M as of Feb 25, 2021
Mar 19, 2018$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 25, 2021
Mar 19, 20181 then
Employees (5.A)5 as of Feb 25, 2021
Mar 19, 20184 then
Private funds: no history
RAUM +12% over the last fiscal year+9.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
RAUM per advisor
$68.3MderivedRAUM 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
$518,893derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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
  • Individuals$205M100%
Individual clients
395reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
395reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••• D••••• R••••• · Managing Member, Chief Compliance Officercontrol
      since 12/2012 · 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 · 339 to 395
      Oct 19, 2020 to Feb 25, 2021
    • Individual clients · 339 to 395
      Oct 19, 2020 to Feb 25, 2021
    • Discretionary RAUM · $183M to $205M
      Oct 19, 2020 to Feb 25, 2021
    • Individual RAUM · $183M to $205M
      Oct 19, 2020 to Feb 25, 2021
    • RAUM · $183M to $205M
      Oct 19, 2020 to Feb 25, 2021
    • Accounts · 322 to 339
      Dec 19, 2019 to Mar 20, 2020
    • Advisory employees · 2 to 3
      Dec 19, 2019 to Mar 20, 2020
    • Individual clients · 322 to 339
      Dec 19, 2019 to Mar 20, 2020
    • Employees · 4 to 5
      Dec 19, 2019 to Mar 20, 2020
    • Financial planning clients · 0 to 11-25
      Dec 19, 2019 to Mar 20, 2020
    • State-registered IARs · 2 to 3
      Dec 19, 2019 to Mar 20, 2020
    • Discretionary RAUM · $154M to $183M
      Dec 19, 2019 to Mar 20, 2020
    • Individual RAUM · $154M to $183M
      Dec 19, 2019 to Mar 20, 2020
    • RAUM · $154M to $183M
      Dec 19, 2019 to Mar 20, 2020
    • Advisory employees · 1 to 2
      Nov 26, 2019 to Dec 19, 2019
    • State-registered IARs · 1 to 2
      Nov 26, 2019 to Dec 19, 2019
    • Accounts · 314 to 322
      Mar 23, 2018 to Mar 20, 2019
    • Individual clients · 314 to 322
      Mar 23, 2018 to Mar 20, 2019
    • Discretionary RAUM · $155M to $154M
      Mar 23, 2018 to Mar 20, 2019
    • Individual RAUM · $155M to $154M
      Mar 23, 2018 to Mar 20, 2019
    • RAUM · $155M to $154M
      Mar 23, 2018 to Mar 20, 2019
    • Accounts · 339 to 314
      Apr 14, 2017 to Mar 19, 2018
    • Individual clients · unset to 314.0
      Apr 14, 2017 to Mar 19, 2018
    • Employees · 5 to 4
      Apr 14, 2017 to Mar 19, 2018
    • Other offices · unset to 0.0
      Apr 14, 2017 to Mar 19, 2018
    • Discretionary RAUM · $129M to $155M
      Apr 14, 2017 to Mar 19, 2018
    • Individual RAUM · unset to 154850211.0
      Apr 14, 2017 to Mar 19, 2018
    • RAUM · $129M to $155M
      Apr 14, 2017 to Mar 19, 2018
    • Related adviser · true to false
      Apr 14, 2017 to Mar 19, 2018
    • Related broker-dealer · true to false
      Apr 14, 2017 to Mar 19, 2018
    Signals
    1 dated events
    • I•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 14, 2017 · 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