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

V• A•••••••• L••

Former SEC-registered adviserLafayette, CaliforniaCRD 288803SEC 801-110998IAPD
Latest filing Mar 1, 2019
First filing on the tape Jul 13, 2017 · 8 filings
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$226M as of Mar 1, 2019
Mar 5, 2018$221M then
HNW client RAUM$210M as of Mar 1, 2019
Mar 5, 2018$216M then
State-registered IARs (5.B.3)2 as of Mar 1, 2019
Mar 5, 20182 then
Employees (5.A)2 as of Mar 1, 2019
Mar 5, 20183 then
Private funds: no history
RAUM +2.5% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 1, 2019; every figure names its basis
RAUM per advisor
$113MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$712,069derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+16%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$210M93%
  • Individuals$16.1M7.1%
Individual clients
33reported
HNW clients
45reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
318reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • A••••••• R••••••• A•••• · President And Chief Compliance Officercontrol
      since 05/2017 · 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 · 289 to 318
      Mar 5, 2018 to Mar 1, 2019
    • HNW clients · 57 to 45
      Mar 5, 2018 to Mar 1, 2019
    • Individual clients · 10 to 33
      Mar 5, 2018 to Mar 1, 2019
    • Employees · 3 to 2
      Mar 5, 2018 to Mar 1, 2019
    • Insurance-licensed employees · 0 to 1
      Mar 5, 2018 to Mar 1, 2019
    • Discretionary RAUM · $217M to $226M
      Mar 5, 2018 to Mar 1, 2019
    • HNW RAUM · $216M to $210M
      Mar 5, 2018 to Mar 1, 2019
    • Individual RAUM · $4.5M to $16.1M
      Mar 5, 2018 to Mar 1, 2019
    • Non-discretionary RAUM · $3.8M to $0
      Mar 5, 2018 to Mar 1, 2019
    • RAUM · $221M to $226M
      Mar 5, 2018 to Mar 1, 2019
    • Accounts · 207 to 289
      Dec 15, 2017 to Mar 5, 2018
    • HNW clients · 52 to 57
      Dec 15, 2017 to Mar 5, 2018
    • Individual clients · 0 to 10
      Dec 15, 2017 to Mar 5, 2018
    • Financial planning clients · 0 to 51-100
      Dec 15, 2017 to Mar 5, 2018
    • Discretionary RAUM · $174M to $217M
      Dec 15, 2017 to Mar 5, 2018
    • HNW RAUM · $174M to $216M
      Dec 15, 2017 to Mar 5, 2018
    • Individual RAUM · $0 to $4.5M
      Dec 15, 2017 to Mar 5, 2018
    • Non-discretionary RAUM · $0 to $3.8M
      Dec 15, 2017 to Mar 5, 2018
    • RAUM · $174M to $221M
      Dec 15, 2017 to Mar 5, 2018
    • Accounts · 0 to 207
      Nov 14, 2017 to Dec 15, 2017
    • HNW clients · 0 to 52
      Nov 14, 2017 to Dec 15, 2017
    • Discretionary RAUM · $0 to $174M
      Nov 14, 2017 to Dec 15, 2017
    • HNW RAUM · $0 to $174M
      Nov 14, 2017 to Dec 15, 2017
    • RAUM · $0 to $174M
      Nov 14, 2017 to Dec 15, 2017
    • Advisory employees · 1 to 2
      Sep 25, 2017 to Nov 14, 2017
    • Charity clients · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Corporate clients · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • HNW clients · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Individual clients · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Pension plan clients · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Pooled vehicle clients · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Employees · 2 to 3
      Sep 25, 2017 to Nov 14, 2017
    • Insurance-licensed employees · 1 to 0
      Sep 25, 2017 to Nov 14, 2017
    • State-registered IARs · 1 to 2
      Sep 25, 2017 to Nov 14, 2017
    • Other offices · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • HNW RAUM · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Individual RAUM · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Pension RAUM · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Sep 25, 2017 to Nov 14, 2017
    • Advisory activities · 3 to 2
      Sep 11, 2017 to Sep 25, 2017
    Signals
    2 dated events
    • A•••••• F•••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Sep 5, 2017 · Succession (Item 4) · fact
    • A•••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)
      Jul 13, 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