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

20/20 Capital Management, Inc

Former SEC-registered adviserCosta Mesa, CaliforniaCRD 281692SEC 801-106924IAPD
Latest filing Mar 24, 2022
First filing on the tape Nov 9, 2015 · 66 filings
RAUM
$677M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$677M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
19 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM$677M as of Mar 24, 2022
Mar 11, 2016$56.0M then
HNW client RAUM$382M as of Mar 24, 2022
Mar 29, 2018$485M then
State-registered IARs (5.B.3)16 as of Mar 24, 2022
Mar 11, 201618 then
Employees (5.A)38 as of Mar 24, 2022
Mar 11, 201618 then
Private funds: no history
RAUM +24% over the last fiscal year+24% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Mar 24, 2022; every figure names its basis
RAUM per advisor
$42.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
89derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$278,799derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
1.1derived15 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 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
Wrap fee program
$555MreportedItem 5.I
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$382M56%
  • Individuals$295M44%
Individual clients
1,206reported
HNW clients
210reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
2,427reported
Financial planning clients
51-100reported
Wrap fee programs
$392M sponsored, $163M managedreported
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
Joined, latest
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
  • David Stephen Ambrosini · Director - Secretarycontrol
    since 10/2015 · owns 10% to 25%
  • Robert Elmer Branch · Director And Board Membercontrol
    since 10/2015 · owns 10% to 25%
  • Raymond Tom Gibbings · Treasurercontrol
    since 04/2018 · owns 10% to 25%
  • Delos Arnold Henkel · President And Coocontrol
    since 06/2017 · owns less than 5%
  • Wayne Larry Palmer · Shareholdercontrol
    since 01/2016 · owns 10% to 25%
  • James Robert Roche · Chief Compliance Officercontrol
    since 04/2018 · owns less than 5%
  • Chunilal Samir Thakkar · Ceocontrol
    since 10/2015 · owns 10% to 25%
  • James Howard Buck · Shareholder
    since 10/2015 · owns less than 5%
  • Vinit Madan · Chief Investment Officer
    since 07/2020 · owns less than 5%
  • Lynn Karin Tyson · Shareholder
    since 10/2015 · owns 10% to 25%
Entity owners
  • Chhsz Holdings, LLC · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • 20/20 Financial Advisors Dba: Samir Thakkar Hc Insurance Agency
    real estatey
Advisers that list 20/20 Capital Management, Inc as a related person
Offices
Schedule D 1.F, the 25 largest
  • Cardiff By The Sea, CA2 employees
  • Daytona Beach, FL1 employees
  • Folsom, CA1 employees
  • Houston, TX1 employees
  • Houston, TX1 employees
  • Pompano Beach, FL1 employees
  • Portland, OR1 employees
  • San Diego, CA1 employees
  • San Diego, CA1 employees
  • Tampa, FL1 employees
  • West Palm Beach, FL1 employees
  • Wilmington, DE1 employees
  • Winter Park, FL1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,175 to 2,427
    Feb 15, 2022 to Mar 24, 2022
  • Advisory employees · 20 to 19
    Feb 15, 2022 to Mar 24, 2022
  • HNW clients · 200 to 210
    Feb 15, 2022 to Mar 24, 2022
  • Individual clients · 1,425 to 1,206
    Feb 15, 2022 to Mar 24, 2022
  • Financial planning clients · 101-250 to 51-100
    Feb 15, 2022 to Mar 24, 2022
  • Discretionary RAUM · $502M to $610M
    Feb 15, 2022 to Mar 24, 2022
  • HNW RAUM · $348M to $382M
    Feb 15, 2022 to Mar 24, 2022
  • Individual RAUM · $108M to $295M
    Feb 15, 2022 to Mar 24, 2022
  • Non-discretionary RAUM · $43.0M to $66.3M
    Feb 15, 2022 to Mar 24, 2022
  • Pension RAUM · $40.3M to $0
    Feb 15, 2022 to Mar 24, 2022
  • RAUM · $545M to $677M
    Feb 15, 2022 to Mar 24, 2022
  • Wrap assets (manager) · $184M to $163M
    Feb 15, 2022 to Mar 24, 2022
  • Wrap assets (sponsor) · $201M to $392M
    Feb 15, 2022 to Mar 24, 2022
  • Accounts · 1,829 to 2,175
    Dec 16, 2020 to Mar 24, 2021
  • BD registered reps · 15 to 16
    Dec 16, 2020 to Mar 24, 2021
  • HNW clients · 58 to 200
    Dec 16, 2020 to Mar 24, 2021
  • Individual clients · 1,720 to 1,425
    Dec 16, 2020 to Mar 24, 2021
  • Pension plan clients · 0 to 1
    Dec 16, 2020 to Mar 24, 2021
  • Employees · 35 to 38
    Dec 16, 2020 to Mar 24, 2021
  • Insurance-licensed employees · 1 to 0
    Dec 16, 2020 to Mar 24, 2021
  • State-registered IARs · 15 to 16
    Dec 16, 2020 to Mar 24, 2021
  • Discretionary RAUM · $468M to $502M
    Dec 16, 2020 to Mar 24, 2021
  • HNW RAUM · $132M to $348M
    Dec 16, 2020 to Mar 24, 2021
  • Individual RAUM · $305M to $108M
    Dec 16, 2020 to Mar 24, 2021
  • Non-discretionary RAUM · $0 to $43.0M
    Dec 16, 2020 to Mar 24, 2021
  • Pension RAUM · $0 to $40.3M
    Dec 16, 2020 to Mar 24, 2021
  • RAUM · $468M to $545M
    Dec 16, 2020 to Mar 24, 2021
  • BD registered reps · 5 to 15
    Nov 15, 2019 to Mar 2, 2020
  • Insurance-licensed employees · 0 to 1
    Nov 15, 2019 to Mar 2, 2020
  • Discretionary RAUM · $406M to $468M
    Nov 15, 2019 to Mar 2, 2020
  • HNW RAUM · $121M to $132M
    Nov 15, 2019 to Mar 2, 2020
  • Individual RAUM · $255M to $305M
    Nov 15, 2019 to Mar 2, 2020
  • RAUM · $406M to $468M
    Nov 15, 2019 to Mar 2, 2020
  • Wrap assets (manager) · $0 to $184M
    Apr 29, 2019 to May 15, 2019
  • Wrap assets (sponsor) · $0 to $201M
    Apr 29, 2019 to May 15, 2019
  • Accounts · 1,790 to 1,829
    Apr 26, 2019 to Apr 29, 2019
  • BD registered reps · 19 to 5
    Apr 26, 2019 to Apr 29, 2019
  • HNW clients · 49 to 58
    Apr 26, 2019 to Apr 29, 2019
  • Individual clients · 1,580 to 1,720
    Apr 26, 2019 to Apr 29, 2019
  • State-registered IARs · 19 to 15
    Apr 26, 2019 to Apr 29, 2019
Signals
29 dated events
  • Jeremiah Daniel Pangan left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-04-28)
    Dec 31, 2022 · Advisor changed firm · fact
  • Paul Shoquist left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-05-13)
    Dec 31, 2022 · Advisor changed firm · fact
  • Vinit Madan left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-05-03)
    Dec 31, 2022 · Advisor changed firm · fact
  • Jeffrey Byron Mermilliod left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-03-11)
    Dec 31, 2022 · Advisor changed firm · fact
  • Kevin William La Mont left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-05-06)
    Dec 31, 2022 · Advisor changed firm · fact
  • Benjamin Lancelot Ambrosini left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-06-22)
    Dec 31, 2022 · Advisor changed firm · fact
  • Robert James Roche left 20/20 Capital Management, Inc for First Foundation Advisors (registered 2025-10-23)
    Dec 31, 2022 · Advisor changed firm · fact
  • Karin Lynn Tyson left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-03-08)
    Dec 31, 2022 · Advisor changed firm · fact
  • Fakhr S Alavi left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-04-25)
    Dec 31, 2022 · Advisor changed firm · fact
  • William Patrick Carey left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-03-11)
    Dec 31, 2022 · Advisor changed firm · fact
  • Howard James Buck left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-04-28)
    Dec 31, 2022 · Advisor changed firm · fact
  • Thomas Benjiman Carreras left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-05-05)
    Dec 31, 2022 · Advisor changed firm · fact
  • Tom Raymond Gibbings no longer registered at 20/20 Capital Management, Inc; no later IA registration on IAPD
    Dec 31, 2022 · Advisor departure · fact
  • Samir Chunilal Thakkar no longer registered at 20/20 Capital Management, Inc; no later IA registration on IAPD
    Dec 31, 2022 · Advisor departure · fact
  • Larry Wayne Palmer no longer registered at 20/20 Capital Management, Inc; no later IA registration on IAPD
    Dec 31, 2022 · Advisor departure · fact
  • 6 advisors left 20/20 Capital Management, Inc (Costa Mesa, CA) for Prime Capital Financial on the same day
    Dec 31, 2022 · Team lift-out · derived
  • 3 advisors left 20/20 Capital Management, Inc (Pompano Beach, FL) for Prime Capital Financial on the same day
    Dec 31, 2022 · Team lift-out · derived
  • Larry Wayne Palmer left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-04-25)
    Nov 7, 2022 · Advisor changed firm · fact
  • Tom Raymond Gibbings left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-03-08)
    Nov 7, 2022 · Advisor changed firm · fact
  • Leonard Richard Simpson left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-04-26)
    Nov 7, 2022 · Advisor changed firm · fact
  • Samir Chunilal Thakkar left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-03-08)
    Nov 7, 2022 · Advisor changed firm · fact
  • Elmer Robert Branch left 20/20 Capital Management, Inc for Prime Capital Financial (registered 2022-03-07)
    Nov 7, 2022 · Advisor changed firm · fact
  • 5 advisors left 20/20 Capital Management, Inc (Costa Mesa, CA) for Prime Capital Financial on the same day
    Nov 7, 2022 · Team lift-out · derived
  • David Jeng-Huei Wu left 20/20 Capital Management, Inc for Dynamic (registered 2022-01-11)
    Feb 2, 2022 · Advisor changed firm · fact
  • S Christopher Austin (Cio) no longer on Schedule A of 20/20 Capital Management, Inc (listed 2019-11-15, absent 2020-03-02)
    Mar 2, 2020 · Control person left · inference
  • 20/20 Capital Management, Inc reported 15 state-registered advisory representatives, down from 25 (2018-12-04 to 2019-01-09)
    Jan 9, 2019 · Advisor headcount change · derived
  • 20/20 Capital Management, Inc reported RAUM $382.5M, down 41% from $645.5M (2018-12-04 to 2019-01-09)
    Jan 9, 2019 · RAUM change · derived
  • 20/20 Capital Management, Inc reported RAUM $846.8M, up 49% from $570.0M (2017-12-15 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
  • 20/20 Capital Management, Inc filed its initial SEC registration (Form ADV)
    Nov 9, 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