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.

Former SEC-registered adviser

Adviceperiod Services, LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 309309SEC 801-118946IAPD
Latest filing Mar 26, 2021
First filing on the tape May 19, 2020 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 26, 2021
May 19, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2021
May 19, 20200 then
Employees (5.A)5 as of Mar 26, 2021
May 19, 20206 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
otherreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • David Steven Lockshin · Directorcontrol
        since 05/2020 · owns less than 5%
      • Ann Shigemura-Hildebrand · Chief Compliance Officercontrol
        since 05/2020 · owns less than 5%
      • Paul Jonathan Straub · Directorcontrol
        since 05/2020 · owns less than 5%
      • David Steven Lockshin · Membercontrol
        since 11/2013 · owns 50% to 75% of Openadvisor, LLC
      • Jay Philip Holthouse · Member
        since 05/2020 · owns 25% to 50% of Aph Partners, LLC
      • J. Greggory Hutchins · Member
        since 05/2020 · owns 25% to 50% of Aph Partners, LLC
      Entity owners
      • Aph Partners, LLC · Member
        direct · owns 25% to 50%
      • Openadvisor, LLC · Member
        direct · owns 50% to 75%
      • Openadvisor, LLC · Managing Member
        indirect · owns 75% or more of Openadvisor, LLC
      Related persons
      Schedule D 7.A
      Advisers that list Adviceperiod Services, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related insurance company · true to false
        Mar 23, 2021 to Mar 26, 2021
      • Advisory employees · 5 to 4
        Jul 6, 2020 to Mar 8, 2021
      • Employees · 6 to 5
        Jul 6, 2020 to Mar 8, 2021
      • Insurance-licensed employees · 3 to 2
        Jul 6, 2020 to Mar 8, 2021
      Signals
      2 dated events
      • Kenneth Lawrence Miles (Director) no longer on Schedule A of Adviceperiod Services, Llc (listed 2020-07-06, absent 2021-03-08)
        Mar 8, 2021 · Control person left · inference
      • Adviceperiod Services, Llc filed its initial SEC registration (Form ADV)
        May 19, 2020 · 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