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

C•••••• F•••••••• P•••••••• L••

Former SEC-registered adviserSan Luis Obispo, CaliforniaCRD 283585SEC 801-112726IAPD
Latest filing Mar 12, 2021
First filing on the tape Feb 28, 2018 · 10 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$97.2M as of Mar 12, 2020
Mar 1, 2019$103M then
HNW client RAUM$84.0M as of Mar 12, 2020
Mar 1, 2019$91.5M then
State-registered IARs (5.B.3)1 as of Mar 12, 2020
Mar 1, 20191 then
Employees (5.A)1 as of Mar 12, 2020
Mar 1, 20191 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2021; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
11-25reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• C••••••• J••• · President/Chief Compliance Officercontrol
      since 03/2016 · owns 75% or more
    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 · 16 to 0
      Jun 10, 2020 to Mar 12, 2021
    • Charity clients · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • Corporate clients · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • HNW clients · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • Individual clients · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • Pension plan clients · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • Pooled vehicle clients · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • Assets in custody · $137,879 to $0
      Jun 10, 2020 to Mar 12, 2021
    • Custody of client assets · true to false
      Jun 10, 2020 to Mar 12, 2021
    • Financial planning clients · 1-10 to 11-25
      Jun 10, 2020 to Mar 12, 2021
    • Discretionary RAUM · $3.4M to $0
      Jun 10, 2020 to Mar 12, 2021
    • HNW RAUM · $84.0M to $0
      Jun 10, 2020 to Mar 12, 2021
    • Individual RAUM · $608,842 to $0
      Jun 10, 2020 to Mar 12, 2021
    • Non-discretionary RAUM · $93.8M to $0
      Jun 10, 2020 to Mar 12, 2021
    • Pension RAUM · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • Pooled vehicle RAUM · unset to 0.0
      Jun 10, 2020 to Mar 12, 2021
    • RAUM · $97.2M to $0
      Jun 10, 2020 to Mar 12, 2021
    • Accounts · 11 to 16
      Mar 27, 2019 to Mar 12, 2020
    • Advisory activities · 3 to 4
      Mar 27, 2019 to Mar 12, 2020
    • Assets in custody · $125,923 to $137,879
      Mar 27, 2019 to Mar 12, 2020
    • Discretionary RAUM · $2.2M to $3.4M
      Mar 27, 2019 to Mar 12, 2020
    • HNW RAUM · $91.5M to $84.0M
      Mar 27, 2019 to Mar 12, 2020
    • Individual RAUM · $562,762 to $608,842
      Mar 27, 2019 to Mar 12, 2020
    • Non-discretionary RAUM · $100M to $93.8M
      Mar 27, 2019 to Mar 12, 2020
    • RAUM · $103M to $97.2M
      Mar 27, 2019 to Mar 12, 2020
    • Assets in custody · unset to 125923.0
      Mar 1, 2019 to Mar 27, 2019
    • Custody of client assets · false to true
      Mar 1, 2019 to Mar 27, 2019
    • Accounts · 6 to 11
      Jun 28, 2018 to Mar 1, 2019
    • Financial planning clients · 0 to 1-10
      Jun 28, 2018 to Mar 1, 2019
    • Discretionary RAUM · $1.1M to $2.2M
      Jun 28, 2018 to Mar 1, 2019
    • HNW RAUM · $101M to $91.5M
      Jun 28, 2018 to Mar 1, 2019
    • Individual RAUM · $151,237 to $562,762
      Jun 28, 2018 to Mar 1, 2019
    • Non-discretionary RAUM · $112M to $100M
      Jun 28, 2018 to Mar 1, 2019
    • RAUM · $113M to $103M
      Jun 28, 2018 to Mar 1, 2019
    Signals
    1 dated events
    • C•••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 28, 2018 · 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