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

H•••• F••••••••• I•••

Former SEC-registered adviserSan Jose, CaliforniaCRD 288733SEC 801-111077IAPD
Latest filing Mar 18, 2022
First filing on the tape Aug 1, 2017 · 32 filings
RAUM
$345M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$341M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$345M as of Mar 18, 2022
Mar 15, 2018$174M then
HNW client RAUM$302M as of Mar 18, 2022
Mar 15, 2018$44.7M then
State-registered IARs (5.B.3)3 as of Mar 18, 2022
Mar 15, 20183 then
Employees (5.A)5 as of Mar 18, 2022
Mar 15, 20185 then
Private funds: no history
RAUM +26% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$115MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$496,412derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$302M88%
  • Individuals$38.5M11%
  • Pension and profit-sharing plans$4.5M1.3%
Individual clients
112reported
HNW clients
112reported
Pension plan clients
7reported
Charitable clients
0reported
Accounts
695reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
  • H••••• Z••••••• D••••• · Presidentcontrol
    since 02/2013 · owns 75% or more
  • R••••••• C•••• · Chief Compliance Officercontrol
    since 07/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Morgan Hill, CA1 employees
  • Redding, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 618 to 695
    Mar 1, 2021 to Mar 18, 2022
  • HNW clients · 95 to 112
    Mar 1, 2021 to Mar 18, 2022
  • Individual clients · 91 to 112
    Mar 1, 2021 to Mar 18, 2022
  • Insurance-licensed employees · 3 to 0
    Mar 1, 2021 to Mar 18, 2022
  • Financial planning clients · 51-100 to 0
    Mar 1, 2021 to Mar 18, 2022
  • Discretionary RAUM · $270M to $342M
    Mar 1, 2021 to Mar 18, 2022
  • HNW RAUM · $243M to $302M
    Mar 1, 2021 to Mar 18, 2022
  • Individual RAUM · $27.2M to $38.5M
    Mar 1, 2021 to Mar 18, 2022
  • Non-discretionary RAUM · $4.5M to $3.0M
    Mar 1, 2021 to Mar 18, 2022
  • Pension RAUM · $3.8M to $4.5M
    Mar 1, 2021 to Mar 18, 2022
  • RAUM · $274M to $345M
    Mar 1, 2021 to Mar 18, 2022
  • Wrap assets (manager) · 0.0 to unset
    Mar 1, 2021 to Mar 18, 2022
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 1, 2021 to Mar 18, 2022
  • Accounts · 551 to 618
    Dec 2, 2020 to Feb 16, 2021
  • HNW clients · 77 to 95
    Dec 2, 2020 to Feb 16, 2021
  • Individual clients · 90 to 91
    Dec 2, 2020 to Feb 16, 2021
  • Pension plan clients · 8 to 7
    Dec 2, 2020 to Feb 16, 2021
  • Financial planning clients · 101-250 to 51-100
    Dec 2, 2020 to Feb 16, 2021
  • Discretionary RAUM · $224M to $270M
    Dec 2, 2020 to Feb 16, 2021
  • HNW RAUM · $190M to $243M
    Dec 2, 2020 to Feb 16, 2021
  • Individual RAUM · $35.0M to $27.2M
    Dec 2, 2020 to Feb 16, 2021
  • Non-discretionary RAUM · $4.6M to $4.5M
    Dec 2, 2020 to Feb 16, 2021
  • Pension RAUM · $3.5M to $3.8M
    Dec 2, 2020 to Feb 16, 2021
  • RAUM · $229M to $274M
    Dec 2, 2020 to Feb 16, 2021
  • Financial planning clients · 0 to 101-250
    May 20, 2020 to Dec 2, 2020
  • Other offices · 1 to 2
    May 20, 2020 to Dec 2, 2020
  • Accounts · 514 to 551
    Nov 21, 2019 to Jan 30, 2020
  • HNW clients · 65 to 77
    Nov 21, 2019 to Jan 30, 2020
  • Individual clients · 89 to 90
    Nov 21, 2019 to Jan 30, 2020
  • Pension plan clients · 1 to 8
    Nov 21, 2019 to Jan 30, 2020
  • Financial planning clients · 101-250 to 0
    Nov 21, 2019 to Jan 30, 2020
  • Other offices · 2 to 1
    Nov 21, 2019 to Jan 30, 2020
  • Discretionary RAUM · $184M to $224M
    Nov 21, 2019 to Jan 30, 2020
  • HNW RAUM · $153M to $190M
    Nov 21, 2019 to Jan 30, 2020
  • Individual RAUM · $32.0M to $35.0M
    Nov 21, 2019 to Jan 30, 2020
  • Non-discretionary RAUM · $3.8M to $4.6M
    Nov 21, 2019 to Jan 30, 2020
  • Pension RAUM · $3.1M to $3.5M
    Nov 21, 2019 to Jan 30, 2020
  • RAUM · $188M to $229M
    Nov 21, 2019 to Jan 30, 2020
  • Accounts · 452 to 514
    Jan 9, 2019 to Feb 25, 2019
  • HNW clients · 7 to 65
    Jan 9, 2019 to Feb 25, 2019
Signals
6 dated events
  • D••••• G•••• N••••• left H•••• F••••••••• I••• for M•••••• (registered 2022-12-19)
    Feb 7, 2023 · Advisor changed firm · fact
  • Z•••••• D••••• H•••• left H•••• F••••••••• I••• for M•••••• (registered 2022-12-19)
    Feb 7, 2023 · Advisor changed firm · fact
  • I••••• S••••••••• Y•• left H•••• F••••••••• I••• for M•••••• (registered 2022-12-21)
    Feb 7, 2023 · Advisor changed firm · fact
  • C•••• R•••••• left H•••• F••••••••• I••• for M•••••• (registered 2022-12-19)
    Feb 7, 2023 · Advisor changed firm · fact
  • H•••• F••••••••• I•••'s advisors moved to M•••••• (San Jose, CA): 4 of 4 registered, on the same day
    Feb 7, 2023 · Firm absorbed (people side) · derived
  • H•••• F••••••••• I••• filed its initial SEC registration (Form ADV)
    Aug 1, 2017 · 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