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

A•• D•••••• F••••• O••••• L••

Former SEC-registered adviserNew York, New YorkCRD 301044SEC 801-115164IAPD
Latest filing Sep 30, 2020
First filing on the tape Mar 29, 2019 · 10 filings
RAUM
$32.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$32.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$32.7M as of Sep 30, 2020
Mar 29, 2019$0 then
HNW client RAUM$30.4M as of Sep 30, 2020
Mar 29, 2019$0 then
State-registered IARs (5.B.3)2 as of Sep 30, 2020
Mar 29, 20191 then
Employees (5.A)8 as of Sep 30, 2020
Mar 29, 20194 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 30, 2020; every figure names its basis
RAUM per advisor
$16.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$554,736derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived4 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, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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$30.4M93%
  • Individuals$2.3M7.1%
Individual clients
15reported
HNW clients
18reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
59reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    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
      • M•••••• L•••• A•••••• · Chief Executive Officercontrol
        since 03/2019 · owns less than 5%
      • W••••••••• D••••• A•••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • H•••••• L•••••••• D•••• · Ownercontrol
        since 03/2015 · owns 75% or more of U•••• C•••••• G•••• U••• L••
      Entity owners
      • U•••• C•••••• G•••• U••• L•• · Owner
        direct · owns 75% or more
      • A•• D•••••• L••••• L•• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • El Cajon, CA1 employees
      • , 1 employees
      • Miami, FL
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 3
        Mar 31, 2020 to Apr 1, 2020
      • Accounts · 58 to 59
        Aug 5, 2019 to Mar 31, 2020
      • Advisory employees · 2 to 3
        Aug 5, 2019 to Mar 31, 2020
      • BD registered reps · 2 to 4
        Aug 5, 2019 to Mar 31, 2020
      • HNW clients · 15 to 18
        Aug 5, 2019 to Mar 31, 2020
      • Individual clients · 22 to 15
        Aug 5, 2019 to Mar 31, 2020
      • Employees · 4 to 8
        Aug 5, 2019 to Mar 31, 2020
      • State-registered IARs · 1 to 2
        Aug 5, 2019 to Mar 31, 2020
      • Discretionary RAUM · $31.7M to $32.7M
        Aug 5, 2019 to Mar 31, 2020
      • HNW RAUM · $27.8M to $30.4M
        Aug 5, 2019 to Mar 31, 2020
      • Individual RAUM · $3.9M to $2.3M
        Aug 5, 2019 to Mar 31, 2020
      • RAUM · $31.7M to $32.7M
        Aug 5, 2019 to Mar 31, 2020
      • Accounts · 0 to 58
        Jun 27, 2019 to Jul 24, 2019
      • Advisory employees · 1 to 2
        Jun 27, 2019 to Jul 24, 2019
      • HNW clients · 0 to 15
        Jun 27, 2019 to Jul 24, 2019
      • Individual clients · 0 to 22
        Jun 27, 2019 to Jul 24, 2019
      • Discretionary RAUM · $0 to $31.7M
        Jun 27, 2019 to Jul 24, 2019
      • HNW RAUM · $0 to $27.8M
        Jun 27, 2019 to Jul 24, 2019
      • Individual RAUM · $0 to $3.9M
        Jun 27, 2019 to Jul 24, 2019
      • RAUM · $0 to $31.7M
        Jun 27, 2019 to Jul 24, 2019
      • Succession · true to false
        Mar 29, 2019 to Jun 27, 2019
      Signals
      3 dated events
      • Charles Julian Bradham (Ceo Of Family Office Services) no longer on Schedule A of A•• D•••••• F••••• O••••• L•• (listed 2020-06-26, absent 2020-07-14)
        Jul 14, 2020 · Control person left · inference
      • A•• D•••••• F••••• O••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 29, 2019 · Succession (Item 4) · fact
      • A•• D•••••• F••••• O••••• L•• filed its initial SEC registration (Form ADV)
        Mar 29, 2019 · 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