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.

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Former SEC-registered adviser

V•••• F•••••••• M••••••••• I•••

Former SEC-registered adviserOrcutt, CaliforniaCRD 281392SEC 801-107169IAPD

Latest filing Dec 22, 2021

First filing on the tape Jan 12, 2016 · 20 filings

RAUM

$574M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$570M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$574M as of Mar 18, 2021

May 1, 2017$256M then

HNW client RAUM$423M as of Mar 18, 2021

Mar 15, 2018$117M then

State-registered IARs (5.B.3)8 as of Mar 18, 2021

May 1, 20175 then

Employees (5.A)21 as of Mar 18, 2021

May 1, 201710 then

Private funds: no history

RAUM +24% over the last fiscal year+25% a year over threeIARs 7 to 8offices 1 to 2

Practice profile

derived from the filing of Dec 22, 2021; every figure names its basis

RAUM per advisor: $71.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 168derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $186,814derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.6derivedItem 5.A over advisors
Advisors per office: 2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +24%derivedbetween the last two annual amendments
Advisor growth, one year: +14%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.6%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Wrap fee program: $566MreportedItem 5.I
Custody: $444M, 969 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 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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$423M74%
Individuals$146M25%
Pension and profit-sharing plans$2.2M0.4%
Corporations and businesses$1.4M0.2%
Charitable organizations$306,8800.1%

Individual clients: 975reported
HNW clients: 365reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3,070reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $444M for 969 clientsreported
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

E•••• L••••• to W••••• E••••••••• A••••••• S•••••••• L••
Jan 10, 2022 · RIA to affiliated broker-dealer or bank
J•••• S••••••• to W••••• E••••••••• A••••••• S•••••••• L••
Jan 7, 2022 · RIA to affiliated broker-dealer or bank
R•••• M•••••••• to W••••• E••••••••• A••••••• S•••••••• L••
Jan 7, 2022 · RIA to affiliated broker-dealer or bank
B•••••• R••• B•••••• to W••••• E••••••••• A••••••• S•••••••• L••
Jan 7, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

R•••• M•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Oct 9, 2018 · Affiliated broker-dealer or bank to independent RIA
E•••• L••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Oct 8, 2018 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

4 left for W••••• E••••••••• A••••••• S•••••••• L••
Jan 7, 2022 · Orcutt, Ca · Firm absorbed

2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Oct 3, 2018 · Lompoc, Ca

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• B••••••• R••• · Secretary, Investment Advisor Representativecontrol
since 05/2015 · owns 25% to 50%
D•••••• J••••• A••• · President And Chief Compliance Officercontrol
since 05/2015 · owns 25% to 50%
H•••••• C•••••• C•••• · Part Owner, Investment Advisor Representativecontrol
since 12/2016 · owns 10% to 25%
M•••••• T•••••• · Treasurercontrol
since 07/2015 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Arroyo Grande, CA2 employees
Lompoc, CA2 employees

What changed

consecutive filings, newest first

Other offices · 1 to 2
Mar 18, 2021 to Apr 1, 2021
Accounts · 2,808 to 3,070
Sep 9, 2020 to Mar 18, 2021
HNW clients · 368 to 365
Sep 9, 2020 to Mar 18, 2021
Individual clients · 877 to 975
Sep 9, 2020 to Mar 18, 2021
Assets in custody · $324M to $444M
Sep 9, 2020 to Mar 18, 2021
Employees · 16 to 21
Sep 9, 2020 to Mar 18, 2021
State-registered IARs · 7 to 8
Sep 9, 2020 to Mar 18, 2021
Discretionary RAUM · $463M to $574M
Sep 9, 2020 to Mar 18, 2021
HNW RAUM · $336M to $423M
Sep 9, 2020 to Mar 18, 2021
Individual RAUM · $123M to $146M
Sep 9, 2020 to Mar 18, 2021
Pension RAUM · $1.8M to $2.2M
Sep 9, 2020 to Mar 18, 2021
RAUM · $463M to $574M
Sep 9, 2020 to Mar 18, 2021
Accounts · 2,355 to 2,808
Oct 2, 2019 to Feb 21, 2020
Advisory employees · 8 to 7
Oct 2, 2019 to Feb 21, 2020
Advisory activities · 5 to 4
Oct 2, 2019 to Feb 21, 2020
BD registered reps · 7 to 6
Oct 2, 2019 to Feb 21, 2020
HNW clients · 196 to 368
Oct 2, 2019 to Feb 21, 2020
Individual clients · 700 to 877
Oct 2, 2019 to Feb 21, 2020
Assets in custody · $234M to $324M
Oct 2, 2019 to Feb 21, 2020
Employees · 10 to 16
Oct 2, 2019 to Feb 21, 2020
State-registered IARs · 8 to 7
Oct 2, 2019 to Feb 21, 2020
Discretionary RAUM · $335M to $463M
Oct 2, 2019 to Feb 21, 2020
HNW RAUM · $186M to $336M
Oct 2, 2019 to Feb 21, 2020
Individual RAUM · $147M to $123M
Oct 2, 2019 to Feb 21, 2020
Pension RAUM · $1.4M to $1.8M
Oct 2, 2019 to Feb 21, 2020
RAUM · $335M to $463M
Oct 2, 2019 to Feb 21, 2020
Accounts · 2,001 to 2,355
Oct 8, 2018 to Mar 22, 2019
HNW clients · 108 to 196
Oct 8, 2018 to Mar 22, 2019
Individual clients · 777 to 700
Oct 8, 2018 to Mar 22, 2019
Assets in custody · $296M to $234M
Oct 8, 2018 to Mar 22, 2019
State-registered IARs · 7 to 8
Oct 8, 2018 to Mar 22, 2019
Discretionary RAUM · $296M to $335M
Oct 8, 2018 to Mar 22, 2019
HNW RAUM · $117M to $186M
Oct 8, 2018 to Mar 22, 2019
Individual RAUM · $180M to $147M
Oct 8, 2018 to Mar 22, 2019
Pension RAUM · unset to 1360133.0
Oct 8, 2018 to Mar 22, 2019
RAUM · $296M to $335M
Oct 8, 2018 to Mar 22, 2019
Advisory employees · 6 to 8
Mar 30, 2018 to Oct 8, 2018
BD registered reps · 5 to 7
Mar 30, 2018 to Oct 8, 2018
Employees · 8 to 10
Mar 30, 2018 to Oct 8, 2018
State-registered IARs · 5 to 7
Mar 30, 2018 to Oct 8, 2018

Signals

8 dated events

E•••• L••••• left V•••• F•••••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-01-04)
Jan 10, 2022 · Advisor changed firm · fact
R•••• M•••••••• left V•••• F•••••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-01-04)
Jan 7, 2022 · Advisor changed firm · fact
J•••• S••••••• left V•••• F•••••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-01-03)
Jan 7, 2022 · Advisor changed firm · fact
V•••• F•••••••• M••••••••• I•••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Orcutt, CA): 4 of 4 registered, within 3 days
Jan 7, 2022 · Firm absorbed (people side) · derived
B•••••• R••• B•••••• left V•••• F•••••••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-01-04)
Jan 7, 2022 · Advisor changed firm · fact
V•••• F•••••••• M••••••••• I••• reported RAUM $462.6M, up 38% from $335.0M (2019-10-02 to 2020-02-21)
Feb 21, 2020 · RAUM change · derived
V•••• F•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
Jan 12, 2016 · First SEC registration · fact
V•••• F•••••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 12, 2016 · Succession (Item 4) · 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