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
I•••
Latest filing Jan 2, 2018
First filing on the tape Mar 10, 2016 · 8 filings
RAUM
$50,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$50,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$50,000 as of Jan 2, 2018
May 4, 2017$120M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 2, 2018
Mar 10, 20160 then
Employees (5.A)3 as of Jan 2, 2018
Mar 10, 20161 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 2, 2018; every figure names its basis
- RAUM per advisor
- $16,667derivedRAUM 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
- $4,167derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$50,000100%
- Individual clients
- 9reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- P••• Y•• L• to U•••••••• F•••••••• S••••••• A•• I••••••••• A••••••Jan 5, 2018 · RIA to a newly registered adviser
- T••• C• L•• to N••••• A•••••••Jan 2, 2018 · Other
- D••••••• R••••• C••••• to D••••• W••••• M••••••••• I••• • A• C••••••••• C•••••••••Apr 17, 2017 · Other
Joined, latest
- T••• C• L•• from N••••• A•••••••Sep 7, 2016 · Other
- P••• Y•• L• from K•• W••• I••••••••• L••Sep 1, 2016 · Other
- D••••••• R••••• C••••• from L•••••• F••••••••• I•••Aug 31, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• F•••••• N•• · Cfo, Directorcontrolsince 03/2016 · owns 50% to 75%
- T•••••• R••••• N•• · Ceocontrolsince 03/2016 · owns 50% to 75%
- T•••••• Y••••••• N•• · Directorcontrolsince 03/2016 · owns less than 5%
- L•• P•••• Y•• · Coosince 07/2017 · owns less than 5%
- Y•• M•••• N•• · Ccosince 03/2016 · 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 · 22 to 12Jul 24, 2017 to Jan 2, 2018
- Advisory employees · 4 to 3Jul 24, 2017 to Jan 2, 2018
- Individual clients · unset to 9.0Jul 24, 2017 to Jan 2, 2018
- Employees · 30 to 3Jul 24, 2017 to Jan 2, 2018
- Insurance-licensed employees · 3 to 2Jul 24, 2017 to Jan 2, 2018
- State-registered IARs · 4 to 3Jul 24, 2017 to Jan 2, 2018
- Other offices · unset to 0.0Jul 24, 2017 to Jan 2, 2018
- Discretionary RAUM · $620M to $50,000Jul 24, 2017 to Jan 2, 2018
- Individual RAUM · unset to 50000.0Jul 24, 2017 to Jan 2, 2018
- RAUM · $620M to $50,000Jul 24, 2017 to Jan 2, 2018
- Discretionary RAUM · $520M to $620MJul 19, 2017 to Jul 24, 2017
- RAUM · $520M to $620MJul 19, 2017 to Jul 24, 2017
- Accounts · 16 to 22May 4, 2017 to Jul 19, 2017
- Advisory employees · 3 to 4May 4, 2017 to Jul 19, 2017
- BD registered reps · 2 to 0May 4, 2017 to Jul 19, 2017
- Employees · 11 to 30May 4, 2017 to Jul 19, 2017
- Insurance-licensed employees · 2 to 3May 4, 2017 to Jul 19, 2017
- State-registered IARs · 3 to 4May 4, 2017 to Jul 19, 2017
- Discretionary RAUM · $120M to $520MMay 4, 2017 to Jul 19, 2017
- RAUM · $120M to $520MMay 4, 2017 to Jul 19, 2017
- Accounts · unset to 16.0Aug 25, 2016 to May 4, 2017
- Advisory employees · 1 to 3Aug 25, 2016 to May 4, 2017
- BD registered reps · 0 to 2Aug 25, 2016 to May 4, 2017
- Employees · 1 to 11Aug 25, 2016 to May 4, 2017
- Insurance-licensed employees · 0 to 2Aug 25, 2016 to May 4, 2017
- Financial planning clients · unset to 0Aug 25, 2016 to May 4, 2017
- HQ city · ANAHEIM to SAN BERNARDINOAug 25, 2016 to May 4, 2017
- State-registered IARs · 0 to 3Aug 25, 2016 to May 4, 2017
- Discretionary RAUM · unset to 120227654.0Aug 25, 2016 to May 4, 2017
- Non-discretionary RAUM · unset to 0.0Aug 25, 2016 to May 4, 2017
- RAUM · unset to 120227654.0Aug 25, 2016 to May 4, 2017
Signals
2 dated events
- Ibaa reported RAUM $50,000, down 100% from $620.2M (2017-07-24 to 2018-01-02)Jan 2, 2018 · RAUM change · derived
- Ibaa filed its initial SEC registration (Form ADV)Mar 10, 2016 · 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