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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SEC-registered adviser
3•••• I••••••••• F•••••••••
Legal name 3•••• I••••••••• F••••••••• I•••
Latest filing Jun 22, 2026
First filing on the tape Aug 31, 2018 · 22 filings
SEC status approved since Oct 1, 2018
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$518M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.0B as of Jun 22, 2026
Feb 28, 2025$0 then
HNW client RAUM$0 as of Jun 22, 2026
Jan 23, 2019$0 then
State-registered IARs (5.B.3)2 as of Jun 22, 2026
Jan 23, 20192 then
Employees (5.A)2 as of Jun 22, 2026
Jan 23, 20194 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Jun 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $518MderivedRAUM 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
- $5.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.0B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 207reported
- Charitable clients
- 0reported
- Accounts
- 207reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• S•••••• T• · President & Chief Compliance Officercontrolsince 07/2018 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• P••• A•••••••investment adviserLP sponsornRAUM $793M
Advisers that list 3•••• I••••••••• F••••••••• as a related person
- 286612 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Simi Valley, Ca · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 18, 2026 to May 4, 2026
- Employees · 3 to 2Mar 18, 2026 to May 4, 2026
- Insurance-licensed employees · 3 to 2Mar 18, 2026 to May 4, 2026
- State-registered IARs · 3 to 2Mar 18, 2026 to May 4, 2026
- Accounts · 176 to 207Nov 13, 2025 to Mar 18, 2026
- Pension plan clients · 175 to 207Nov 13, 2025 to Mar 18, 2026
- Discretionary RAUM · $843M to $1.0BNov 13, 2025 to Mar 18, 2026
- Pension RAUM · $843M to $1.0BNov 13, 2025 to Mar 18, 2026
- RAUM · $843M to $1.0BNov 13, 2025 to Mar 18, 2026
- Accounts · 0 to 176Apr 10, 2025 to Jun 16, 2025
- Pension plan clients · 148 to 175Apr 10, 2025 to Jun 16, 2025
- Financial planning clients · unset to Apr 10, 2025 to Jun 16, 2025
- Discretionary RAUM · $0 to $843MApr 10, 2025 to Jun 16, 2025
- Pension RAUM · $0 to $843MApr 10, 2025 to Jun 16, 2025
- RAUM · $0 to $843MApr 10, 2025 to Jun 16, 2025
- Accounts · unset to 0.0Jun 4, 2024 to Feb 28, 2025
- Pension plan clients · 138 to 148Jun 4, 2024 to Feb 28, 2025
- Discretionary RAUM · unset to 0.0Jun 4, 2024 to Feb 28, 2025
- Non-discretionary RAUM · unset to 0.0Jun 4, 2024 to Feb 28, 2025
- RAUM · unset to 0.0Jun 4, 2024 to Feb 28, 2025
- Advisory employees · 4 to 3May 22, 2024 to Jun 4, 2024
- Employees · 4 to 3May 22, 2024 to Jun 4, 2024
- Insurance-licensed employees · 4 to 3May 22, 2024 to Jun 4, 2024
- State-registered IARs · 4 to 3May 22, 2024 to Jun 4, 2024
- Other offices · 2 to 1May 22, 2024 to Jun 4, 2024
- Advisory employees · 3 to 4Feb 2, 2024 to May 22, 2024
- Employees · 3 to 4Feb 2, 2024 to May 22, 2024
- Insurance-licensed employees · 3 to 4Feb 2, 2024 to May 22, 2024
- State-registered IARs · 3 to 4Feb 2, 2024 to May 22, 2024
- Other offices · 1 to 2Feb 2, 2024 to May 22, 2024
- Advisory employees · 2 to 3Feb 24, 2023 to Feb 2, 2024
- Pension plan clients · 123 to 138Feb 24, 2023 to Feb 2, 2024
- Employees · 2 to 3Feb 24, 2023 to Feb 2, 2024
- Insurance-licensed employees · 2 to 3Feb 24, 2023 to Feb 2, 2024
- State-registered IARs · 2 to 3Feb 24, 2023 to Feb 2, 2024
- Pension plan clients · 97 to 123Oct 31, 2022 to Feb 24, 2023
- Other offices · 0 to 1Oct 31, 2022 to Feb 24, 2023
- Pension plan clients · 100 to 97May 3, 2021 to Feb 28, 2022
- Pension plan clients · 58 to 100Jun 29, 2020 to Mar 7, 2021
- Pension plan clients · 53 to 58Oct 21, 2019 to Feb 18, 2020
Signals
4 dated events
- Michael Fine no longer registered at 3•••• I••••••••• F•••••••••; no later IA registration on IAPDMay 4, 2026 · Advisor departure · fact
- Michael Fine (Retirement Plan Consultant) no longer on Schedule A of 3•••• I••••••••• F••••••••• (listed 2021-03-07, absent 2021-05-03)May 3, 2021 · Control person left · inference
- Michael Fine (Retirement Plan Consultant) appeared on Schedule A of 3•••• I••••••••• F•••••••••Feb 18, 2020 · Control person joined · fact
- 3•••• I••••••••• F••••••••• filed its initial SEC registration (Form ADV)Aug 31, 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.
How to reach
public business contact points only, each with its source
- Website
- 338IF.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (818) 296-9529reportedpublic record, Form ADV, Jun 22, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $518Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026