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
Personal Financial Consultants, Inc.
Latest filing Mar 8, 2019
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$196M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$190M 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
12 filings and snapshots on the tape
RAUM$196M as of Mar 8, 2019
Feb 5, 2013$160M then
HNW client RAUM$141M as of Mar 8, 2019
Mar 15, 2018$158M then
State-registered IARs (5.B.3)3 as of Mar 8, 2019
Feb 5, 20133 then
Employees (5.A)5 as of Mar 8, 2019
Feb 5, 20137 then
Private funds: no history
RAUM -3.8% over the last fiscal year+3.4% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 8, 2019; every figure names its basis
- RAUM per advisor
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $930,803derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%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
- -3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M72%
- Individuals$48.9M25%
- Pension and profit-sharing plans$6.0M3.1%
- Individual clients
- 115reported
- HNW clients
- 89reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 211reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Jonathan B Spector to Ep Wealth AdvisorsSep 6, 2019 · RIA to RIA
- Shana Lesch Ballard to Ep Wealth AdvisorsSep 6, 2019 · RIA to RIA
- Nicole Russo Hanson to Concentric Wealth Management LLCSep 9, 2016 · Other
- Erin Allison Hadley to Occidental Asset Management, LLCOct 6, 2015 · Other
Joined, latest
- Shana Lesch Ballard from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 14, 2018 · Wirehouse to independent RIA
- Jonathan B Spector from Assembly WealthOct 7, 2015 · Other
- Nicole Russo Hanson from Valic Financial Advisors, Inc.Aug 26, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ep Wealth AdvisorsSep 6, 2019 · Pleasant Hill, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Bruce Loren Kayfetz · President, Chief Compliance Officercontrolsince 03/1990 · owns 75% or more
- Dawn Stefanie Corrales · Chief Operating Officersince 01/2015 · owns less than 5%
- A Patricia Pannell · Chief Executive Office/Chief Financial Officersince 04/2014 · owns less than 5%
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 · 738 to 211Mar 15, 2018 to Mar 8, 2019
- Advisory employees · 2 to 3Mar 15, 2018 to Mar 8, 2019
- HNW clients · 97 to 89Mar 15, 2018 to Mar 8, 2019
- Individual clients · 103 to 115Mar 15, 2018 to Mar 8, 2019
- Assets in custody · unset to 3582084.0Mar 15, 2018 to Mar 8, 2019
- State-registered IARs · 2 to 3Mar 15, 2018 to Mar 8, 2019
- Discretionary RAUM · $203M to $196MMar 15, 2018 to Mar 8, 2019
- HNW RAUM · $158M to $141MMar 15, 2018 to Mar 8, 2019
- Individual RAUM · $44.3M to $48.9MMar 15, 2018 to Mar 8, 2019
- Non-discretionary RAUM · $1.3M to $210,817Mar 15, 2018 to Mar 8, 2019
- Pension RAUM · $2.1M to $6.0MMar 15, 2018 to Mar 8, 2019
- RAUM · $204M to $196MMar 15, 2018 to Mar 8, 2019
- Accounts · 218 to 738Mar 7, 2017 to Mar 15, 2018
- HNW clients · unset to 97.0Mar 7, 2017 to Mar 15, 2018
- Individual clients · unset to 103.0Mar 7, 2017 to Mar 15, 2018
- Pension plan clients · unset to 7.0Mar 7, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Mar 7, 2017 to Mar 15, 2018
- Discretionary RAUM · $178M to $203MMar 7, 2017 to Mar 15, 2018
- HNW RAUM · unset to 157800000.0Mar 7, 2017 to Mar 15, 2018
- Individual RAUM · unset to 44275000.0Mar 7, 2017 to Mar 15, 2018
- Non-discretionary RAUM · $9.0M to $1.3MMar 7, 2017 to Mar 15, 2018
- Pension RAUM · unset to 2125000.0Mar 7, 2017 to Mar 15, 2018
- RAUM · $187M to $204MMar 7, 2017 to Mar 15, 2018
- Accounts · 228 to 218Sep 9, 2016 to Mar 7, 2017
- Advisory employees · 3 to 2Sep 9, 2016 to Mar 7, 2017
- Employees · 7 to 5Sep 9, 2016 to Mar 7, 2017
- Financial planning clients · 26-50 to 101-250Sep 9, 2016 to Mar 7, 2017
- State-registered IARs · 3 to 2Sep 9, 2016 to Mar 7, 2017
- Discretionary RAUM · $170M to $178MSep 9, 2016 to Mar 7, 2017
- Non-discretionary RAUM · $7.5M to $9.0MSep 9, 2016 to Mar 7, 2017
- RAUM · $178M to $187MSep 9, 2016 to Mar 7, 2017
- Accounts · 227 to 228Jan 13, 2016 to Mar 3, 2016
- Advisory employees · 4 to 3Jan 13, 2016 to Mar 3, 2016
- Financial planning clients · 101-250 to 26-50Jan 13, 2016 to Mar 3, 2016
- Discretionary RAUM · $174M to $170MJan 13, 2016 to Mar 3, 2016
- Non-discretionary RAUM · $14.0M to $7.5MJan 13, 2016 to Mar 3, 2016
- RAUM · $188M to $178MJan 13, 2016 to Mar 3, 2016
- HQ city · OAKLAND to LAFAYETTEMar 27, 2015 to Jan 13, 2016
- Accounts · 242 to 227Mar 17, 2014 to Mar 27, 2015
- Advisory employees · 3 to 4Mar 17, 2014 to Mar 27, 2015
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