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••••••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 293164SEC 801-112798IAPD
Latest filing Oct 24, 2018
First filing on the tape Mar 8, 2018 · 4 filings
RAUM
$38.9M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
96%
$37.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$38.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$38.9M as of Oct 24, 2018
Mar 8, 2018$0 then
HNW client RAUM$36.8M as of Oct 24, 2018
Sep 19, 2018$36.8M then
State-registered IARs (5.B.3)1 as of Oct 24, 2018
Mar 8, 20182 then
Employees (5.A)1 as of Oct 24, 2018
Mar 8, 20182 then
Private funds: no history
Practice profile
derived from the filing of Oct 24, 2018; every figure names its basis
RAUM per advisor
$38.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$311,175derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$54.3MreportedItem 5.I
Custody
$38.9M, 46 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$36.8M95%
  • Pension and profit-sharing plans$1.6M4.0%
  • Individuals$434,7041.1%
  • Corporations and businesses$41,7180.1%
  • Charitable organizations$22,6940.1%
Individual clients
6reported
HNW clients
30reported
Pension plan clients
8reported
Charitable clients
1reported
Accounts
125reported
Financial planning clients
11-25reported
Wrap fee programs
$27.1M sponsored, $24.3M managedreported
Custody of client assets
$38.9M for 46 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• J••••• C•••••••••Beverly Hills, CaOct 23, 201831 y4
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• T•••••• J••••• · Manager And Ccocontrol
      since 03/2017 · 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
    • Wrap assets (manager) · $0 to $24.3M
      Sep 19, 2018 to Oct 12, 2018
    • Wrap assets (sponsor) · $0 to $27.1M
      Sep 19, 2018 to Oct 12, 2018
    • Accounts · 0 to 125
      Mar 8, 2018 to Sep 19, 2018
    • Advisory employees · 2 to 1
      Mar 8, 2018 to Sep 19, 2018
    • Charity clients · unset to 1.0
      Mar 8, 2018 to Sep 19, 2018
    • Corporate clients · unset to 1.0
      Mar 8, 2018 to Sep 19, 2018
    • HNW clients · unset to 30.0
      Mar 8, 2018 to Sep 19, 2018
    • Individual clients · unset to 6.0
      Mar 8, 2018 to Sep 19, 2018
    • Pension plan clients · unset to 8.0
      Mar 8, 2018 to Sep 19, 2018
    • Assets in custody · $0 to $38.9M
      Mar 8, 2018 to Sep 19, 2018
    • Employees · 2 to 1
      Mar 8, 2018 to Sep 19, 2018
    • Financial planning clients · 0 to 11-25
      Mar 8, 2018 to Sep 19, 2018
    • State-registered IARs · 2 to 1
      Mar 8, 2018 to Sep 19, 2018
    • Discretionary RAUM · $0 to $32.0M
      Mar 8, 2018 to Sep 19, 2018
    • HNW RAUM · unset to 36829186.0
      Mar 8, 2018 to Sep 19, 2018
    • Individual RAUM · unset to 434704.0
      Mar 8, 2018 to Sep 19, 2018
    • Non-discretionary RAUM · $0 to $6.9M
      Mar 8, 2018 to Sep 19, 2018
    • Pension RAUM · unset to 1568595.0
      Mar 8, 2018 to Sep 19, 2018
    • RAUM · $0 to $38.9M
      Mar 8, 2018 to Sep 19, 2018
    Signals
    1 dated events
    • C••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 8, 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
    $38.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026