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.
Former SEC-registered adviser
Crowell, Weedon & Co.
Latest filing Jul 29, 2013
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
150
140 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.0B as of Jul 29, 2013
Jul 26, 2012$906M then
HNW client RAUM: no history
State-registered IARs (5.B.3)140 as of Jul 29, 2013
Jul 26, 20120 then
Employees (5.A): 150
Private funds: no history
RAUM +15% over the last fiscal yearIARs 0 to 140
Practice profile
derived from the filing of Jul 29, 2013; every figure names its basis
- RAUM per advisor
- $7.5MderivedRAUM 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
- $355,528derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 10.8derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $898M, 2,484 clientsreportedItem 9.A
- 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 a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
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
- 2,936reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $898M for 2,484 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- Steven Charles Jackson to D.A. Davidson & Co.Nov 14, 2013 · Other
- Jarrett James Perez to Two Oaks Investment Management, LLCNov 4, 2013 · Other
- Blake Tramill Todd to Two Oaks Investment Management, LLCNov 4, 2013 · Other
- Ronald David Coleman to LPL Financial LLCOct 9, 2013 · Other
- Stephen James Rohde to Stifel, Nicolaus & Company, IncorporatedOct 2, 2013 · Other
- Jay Michael Oldham to Raymond James & Associates, Inc.Aug 5, 2013 · Other
- Jeffrey Forgerson to Northwestern Mutual Investment Services,LLCAug 5, 2013 · Other
- Mark Ventresco to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 20, 2013 · Other
- Kelley Noel Bonucci to Wells Fargo AdvisorsJun 19, 2013 · Other
- Michael Jeffrey Peters to Waddell & ReedJun 6, 2013 · Other
- Patricia Hernandez to Empower Advisory Group, LLCMay 17, 2013 · Other
- Mark Ansara to Wells Fargo AdvisorsApr 30, 2013 · Other
- Lisa Mayer to Wells Fargo AdvisorsApr 29, 2013 · Other
- Howard Doan to Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 3, 2013 · Other
- Christina Wolfe to Morgan StanleyJan 28, 2013 · Other
Joined, latest
- William Mcpherson Fitzhugh from Maxwell Noll Investment AdvisorsMar 12, 2013 · Other
- John Taylor Somerville from Morgan StanleyMay 29, 2012 · Other
- James William Filippi from Morgan StanleyMar 26, 2012 · Other
- Tiffany Mondori Ledesma from Morgan StanleySep 19, 2011 · Other
- Ann Marie Doty-Mitchell from RBC Capital Markets, LLCJul 13, 2011 · Other
- Katherine Erin Ehlers from Stone & Youngberg LLCJul 1, 2011 · Other
- Carmelo Anthony Battaglia from Wells Fargo AdvisorsMar 21, 2011 · Other
- Kathleen M White from U.S. Bancorp Advisors, LLCFeb 17, 2011 · Other
- Annamarie B Van Til from A. G. Edwards & Sons, Inc.Jan 1, 2011 · Other
- John Cordell Clay from UBS Financial Services Inc.Dec 7, 2010 · Other
- John T Distad from UBS Financial Services Inc.Dec 7, 2010 · Other
- Howard Evan Kreutzinger from UBS Financial Services Inc.Nov 19, 2010 · Other
- Stephen Lee Mar from Wells Fargo AdvisorsOct 15, 2010 · Other
- Jeffrey Andrew Grange from Morgan StanleyAug 23, 2010 · Other
- Mark Larry Delgadillo from Morgan StanleyAug 20, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ralph Herbert Ames · General Partnercontrolsince 07/1999 · owns less than 5%
- Jacques Ernest Bellesiles · General Partnercontrolsince 06/1980 · owns less than 5%
- David Lee Bland · General Partnercontrolsince 05/1995 · owns less than 5%
- Rodney Charles Carlson · General Partnercontrolsince 01/2000 · owns less than 5%
- Douglas Andrea Christopher · General Partnercontrolsince 05/1995 · owns less than 5%
- William Michael Council · General Partnercontrolsince 01/1992 · owns less than 5%
- James Lee Cronk · General Partner/Coocontrolsince 05/1995 · owns less than 5%
- Andrew Edward Crowell · General Partner/Ceocontrolsince 05/1997 · owns less than 5%
- Donald Warren Jr Crowell · General Partnercontrolsince 05/1997 · owns less than 5%
- Charles Oreilly Doud · General Partnercontrolsince 07/1981 · owns less than 5%
- Thomas Joseph Doud · General Partnercontrolsince 01/2004 · owns less than 5%
- James Weaver Dougherty · General Partnercontrolsince 01/2004 · owns less than 5%
- Dennis Michael Doyel · General Partnercontrolsince 05/1997 · owns less than 5%
- Eddie Shu Fung · General Partnercontrolsince 01/2009 · owns less than 5%
- Klindt Emil Ginsberg · General Partnercontrolsince 01/2008 · owns less than 5%
- Alan Miles Griffin · General Partnercontrolsince 01/2011 · owns less than 5%
- Alan Jay Grossman · General Partnercontrolsince 05/1996 · owns less than 5%
- John Morris Hales · General Partnercontrolsince 07/1981 · owns less than 5%
- Robert Carroll Harris · General Partnercontrolsince 05/1996 · owns less than 5%
- Robert Harris Hassan · General Partnercontrolsince 05/1995 · owns less than 5%
- Thomas James Hood · General Partnercontrolsince 01/2001 · owns less than 5%
- Steven Charles Jackson · General Partnercontrolsince 01/1991 · owns less than 5%
- Antonios Karantonis · General Partner / Cfocontrolsince 05/1993 · owns less than 5%
- James Roy Kruger · General Partner/Chief Compliance Officercontrolsince 01/2005 · owns less than 5%
- Linda Keiko Kuratomi · General Partnercontrolsince 07/1998 · owns less than 5%
- Thomas Andrew Moritz · General Partnercontrolsince 01/2007 · owns less than 5%
- Steven James Mulligan · General Partnercontrolsince 01/2007 · owns less than 5%
- Joseph Lennon Oleary · General Partnercontrolsince 01/2006 · owns less than 5%
- Theodore Russell Paulson · General Partnercontrolsince 02/1969 · owns less than 5%
- James Darrell Ragan · General Partnercontrolsince 01/2001 · owns less than 5%
Related persons
Schedule D 7.A
- Two Oaks Investment Management, LLCinvestment adviseryRAUM $29.1M
Offices
Schedule D 1.F, the 25 largest
- Big Bear Lake, CA
- Carlsbad, CA
- Encino, CA
- Fresno, CA
- Long Beach, CA
- Newport Beach, CA
- Pasadena, CA
- San Diego, CA
- Santa Barbara, CA
- Ventura, CA
- West Covina, CA
- Westlake, CA
What changed
consecutive filings, newest first
- Accounts · 2,711 to 2,936Jul 26, 2012 to Jul 29, 2013
- Advisory employees · unset to 140.0Jul 26, 2012 to Jul 29, 2013
- Advisory activities · 5 to 6Jul 26, 2012 to Jul 29, 2013
- BD registered reps · unset to 140.0Jul 26, 2012 to Jul 29, 2013
- Assets in custody · $819M to $898MJul 26, 2012 to Jul 29, 2013
- Employees · unset to 150.0Jul 26, 2012 to Jul 29, 2013
- Insurance-licensed employees · 0 to 2Jul 26, 2012 to Jul 29, 2013
- State-registered IARs · 0 to 140Jul 26, 2012 to Jul 29, 2013
- Discretionary RAUM · $459M to $530MJul 26, 2012 to Jul 29, 2013
- Non-discretionary RAUM · $447M to $513MJul 26, 2012 to Jul 29, 2013
- RAUM · $906M to $1.0BJul 26, 2012 to Jul 29, 2013
- Accounts · 2,643 to 2,711Mar 30, 2012 to Jul 26, 2012
- Assets in custody · $746M to $819MMar 30, 2012 to Jul 26, 2012
- Discretionary RAUM · $431M to $459MMar 30, 2012 to Jul 26, 2012
- Non-discretionary RAUM · $398M to $447MMar 30, 2012 to Jul 26, 2012
- RAUM · $829M to $906MMar 30, 2012 to Jul 26, 2012
Signals
No event on the tape.
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