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
F••• F•••••••• G••••
Legal name F••• F•••••••• G••••• L••
Latest filing Mar 28, 2023
First filing on the tape Nov 29, 2016 · 20 filings
RAUM
$537M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$523M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$537M as of Mar 28, 2023
Mar 28, 2018$338M then
HNW client RAUM$362M as of Mar 28, 2023
Mar 28, 2018$176M then
State-registered IARs (5.B.3)9 as of Mar 28, 2023
Mar 28, 20188 then
Employees (5.A)16 as of Mar 28, 2023
Mar 28, 201813 then
Private funds: no history
RAUM -14% over the last fiscal year+3.0% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $59.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $265,513derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $525MreportedItem 5.I
- Custody
- $9.2M, 26 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$362M67%
- Individuals$161M30%
- Charitable organizations$6.5M1.2%
- Pension and profit-sharing plans$6.2M1.1%
- Corporations and businesses$1.5M0.3%
- Individual clients
- 720reported
- HNW clients
- 282reported
- Pension plan clients
- 9reported
- Charitable clients
- 7reported
- Accounts
- 2,023reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $9.2M for 26 clientsreported
- Compensation
- % of AUM, 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
- R••••• G••••• F••••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- E••• F••• R•••••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- C••••• R•••• F••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- S••••• J•• J•••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- M••• D••• C•••••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- R••• J•••• L•••• to L•• F•••••••• L••May 12, 2023 · RIA to affiliated broker-dealer or bank
- E••• R••• S•••••••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- B•••• J••••• U•••••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- N••••••• S•••••• R•••••• to P•••••••• F•••••••• S•••••••May 12, 2023 · RIA to RIA
- J•••• A• T•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 8, 2022 · RIA to wirehouse
Joined, latest
- J•••• A• T•••••• from L•• F•••••••• L••Oct 7, 2021 · RIA to RIA
- E••• R••• S•••••••• from L•• F•••••••• L••Oct 20, 2020 · Other
- S••••• J•• J•••• from W•••• F•••• A•••••••Oct 4, 2018 · Wirehouse to independent RIA
- R••••• G••••• F••••• from W•••• F•••• A•••••••Aug 31, 2017 · Other
- C••••• R•••• F••• from S••••• S••••••••• C•••••••••Jan 3, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for P•••••••• F•••••••• S•••••••May 12, 2023 · Fresno, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• C•••••• R•••• · Partnercontrolsince 12/2016 · owns 10% to 25%
- F•••• J••••• J••••• · Retired/Partnercontrolsince 12/2020 · owns 10% to 25%
- L••••• R•••• J•••• · Managing Partnercontrolsince 01/2020 · owns 25% to 50%
- U••••••• B••••• J••••• · Managing Partnercontrolsince 01/2020 · owns 25% to 50%
- B•••••• K••••• L•• · Chief Compliance Officer/ Operations Manager/Partnersince 12/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Carmel-By-The-Sea, CA4 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,007 to 2,023Mar 23, 2022 to Mar 28, 2023
- BD registered reps · 12 to 11Mar 23, 2022 to Mar 28, 2023
- Charity clients · 6 to 7Mar 23, 2022 to Mar 28, 2023
- HNW clients · 197 to 282Mar 23, 2022 to Mar 28, 2023
- Individual clients · 788 to 720Mar 23, 2022 to Mar 28, 2023
- Pension plan clients · 13 to 9Mar 23, 2022 to Mar 28, 2023
- Assets in custody · $10.0M to $9.2MMar 23, 2022 to Mar 28, 2023
- Employees · 17 to 16Mar 23, 2022 to Mar 28, 2023
- Insurance-licensed employees · 2 to 1Mar 23, 2022 to Mar 28, 2023
- Financial planning clients · 1-10 to 11-25Mar 23, 2022 to Mar 28, 2023
- Discretionary RAUM · $610M to $525MMar 23, 2022 to Mar 28, 2023
- HNW RAUM · $385M to $362MMar 23, 2022 to Mar 28, 2023
- Individual RAUM · $217M to $161MMar 23, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $16.3M to $11.7MMar 23, 2022 to Mar 28, 2023
- Pension RAUM · $14.6M to $6.2MMar 23, 2022 to Mar 28, 2023
- RAUM · $627M to $537MMar 23, 2022 to Mar 28, 2023
- Accounts · 1,858 to 2,007Sep 30, 2021 to Mar 23, 2022
- Charity clients · 5 to 6Sep 30, 2021 to Mar 23, 2022
- HNW clients · 142 to 197Sep 30, 2021 to Mar 23, 2022
- Individual clients · 791 to 788Sep 30, 2021 to Mar 23, 2022
- Pension plan clients · 10 to 13Sep 30, 2021 to Mar 23, 2022
- Assets in custody · $37.3M to $10.0MSep 30, 2021 to Mar 23, 2022
- Employees · 15 to 17Sep 30, 2021 to Mar 23, 2022
- Other offices · 1 to 4Sep 30, 2021 to Mar 23, 2022
- Discretionary RAUM · $542M to $610MSep 30, 2021 to Mar 23, 2022
- HNW RAUM · $314M to $385MSep 30, 2021 to Mar 23, 2022
- Individual RAUM · $223M to $217MSep 30, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $16.7M to $16.3MSep 30, 2021 to Mar 23, 2022
- Pension RAUM · $13.0M to $14.6MSep 30, 2021 to Mar 23, 2022
- RAUM · $559M to $627MSep 30, 2021 to Mar 23, 2022
- Accounts · 1,806 to 1,858Jun 30, 2020 to Mar 17, 2021
- Advisory employees · 11 to 9Jun 30, 2020 to Mar 17, 2021
- Charity clients · 4 to 5Jun 30, 2020 to Mar 17, 2021
- Corporate clients · unset to 3.0Jun 30, 2020 to Mar 17, 2021
- HNW clients · 146 to 142Jun 30, 2020 to Mar 17, 2021
- Individual clients · 764 to 791Jun 30, 2020 to Mar 17, 2021
- Pension plan clients · 8 to 10Jun 30, 2020 to Mar 17, 2021
- Assets in custody · $35.7M to $37.3MJun 30, 2020 to Mar 17, 2021
- Employees · 16 to 15Jun 30, 2020 to Mar 17, 2021
- Insurance-licensed employees · 1 to 2Jun 30, 2020 to Mar 17, 2021
Signals
14 dated events
- M••• D••• C•••••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- E••• F••• R•••••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- R••• J•••• L•••• left F••• F•••••••• G•••• for L•• F•••••••• L•• (registered 2019-11-26)May 12, 2023 · Advisor changed firm · fact
- R••••• G••••• F••••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- C••••• R•••• F••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- B•••• J••••• U•••••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-31)May 12, 2023 · Advisor changed firm · fact
- E••• R••• S•••••••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- S••••• J•• J•••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- N••••••• S•••••• R•••••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 2023 · Advisor changed firm · fact
- F••• F•••••••• G••••'s advisors moved to P•••••••• F•••••••• S••••••• (Fresno, CA): 7 of 9 registered, on the same dayMay 12, 2023 · Firm absorbed (people side) · derived
- J•••• A• T•••••• left F••• F•••••••• G•••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-08)Mar 8, 2022 · Advisor changed firm · fact
- Joseph Brian Ullmann (Chief Financial Officer) appeared on Schedule A of F••• F•••••••• G••••Mar 22, 2019 · Control person joined · fact
- Jaire Ryan Louie (Chief Executive Officer) appeared on Schedule A of F••• F•••••••• G••••Mar 22, 2019 · Control person joined · fact
- F••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Nov 29, 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