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

F•••••• F•••••••• A•••••••• L••

Former SEC-registered adviserSanta Clara, CaliforniaCRD 301517SEC 801-115102IAPD
Latest filing Aug 20, 2019
First filing on the tape Mar 27, 2019 · 6 filings
RAUM
$20.0M
reported, Item 5.F
Discretionary
10%
of RAUM
Private clients
100%
$20.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$10.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$20.0M as of Aug 20, 2019
Mar 27, 2019$0 then
HNW client RAUM$4.8M as of Aug 20, 2019
Mar 27, 2019$0 then
State-registered IARs (5.B.3)2 as of Aug 20, 2019
Mar 27, 20192 then
Employees (5.A)2 as of Aug 20, 2019
Mar 27, 20192 then
Private funds: no history
Practice profile
derived from the filing of Aug 20, 2019; every figure names its basis
RAUM per advisor
$10.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$952,000derivedHNW RAUM over HNW clients
Average account
$151,515derivedRAUM over accounts (5.F.2.f)
Discretionary
10%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
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, pension consulting, otherreportedItem 5.G
Custody
$32,223, 3 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
  • 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)
  • 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
  • Individuals$15.2M76%
  • High-net-worth individuals$4.8M24%
Individual clients
56reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
132reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$32,223 for 3 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••••• C•••• C•••••••Santa Clara, CaApr 26, 201922 y2
R••••• C••••••• L••••••Santa Clara, CaApr 26, 201928 y2
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
    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
      • L••••••• R•••••• C••••••• · Managing Member And Chief Compliance Officercontrol
        since 04/2019 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Santa Clara, Ca · principal200
      Offices
      Schedule D 1.F, the 25 largest
      • Los Altos, CA1 employees
      • San Jose, CA1 employees
      • San Jose, CA1 employees
      What changed
      consecutive filings, newest first
      • Advisory activities · 5 to 4
        Jul 9, 2019 to Aug 9, 2019
      • Assets in custody · unset to 32223.0
        Jul 9, 2019 to Aug 9, 2019
      • Custody of client assets · false to true
        Jul 9, 2019 to Aug 9, 2019
      • Accounts · 0 to 132
        Apr 26, 2019 to Jul 9, 2019
      • HNW clients · unset to 5.0
        Apr 26, 2019 to Jul 9, 2019
      • Individual clients · unset to 56.0
        Apr 26, 2019 to Jul 9, 2019
      • Discretionary RAUM · $0 to $2.0M
        Apr 26, 2019 to Jul 9, 2019
      • HNW RAUM · $0 to $4.8M
        Apr 26, 2019 to Jul 9, 2019
      • Individual RAUM · $0 to $15.2M
        Apr 26, 2019 to Jul 9, 2019
      • Non-discretionary RAUM · $0 to $18.0M
        Apr 26, 2019 to Jul 9, 2019
      • RAUM · $0 to $20.0M
        Apr 26, 2019 to Jul 9, 2019
      • Financial planning clients · unset to 0
        Mar 27, 2019 to Apr 26, 2019
      • Other offices · 0 to 3
        Apr 26, 2019 to Apr 26, 2019
      Signals
      1 dated events
      • F•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 27, 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.
      How to reach
      public business contact points only, each with its source
      Website
      F••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $10.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026