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

I•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 310022SEC 801-119333IAPD
Latest filing Mar 12, 2021
First filing on the tape Jul 22, 2020 · 11 filings
RAUM
$20.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$20.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$20.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$20.1M as of Mar 12, 2021
Jul 22, 2020$0 then
HNW client RAUM$12.7M as of Mar 12, 2021
Dec 17, 2020$10.0M then
State-registered IARs (5.B.3)1 as of Mar 12, 2021
Jul 22, 20200 then
Employees (5.A)1 as of Mar 12, 2021
Jul 22, 20201 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2021; every figure names its basis
RAUM per advisor
$20.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$12.7MderivedHNW RAUM over HNW clients
Average account
$251,859derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$20.1MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$12.7M63%
  • Individuals$7.5M37%
Individual clients
49reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
80reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•• O••• D•••••••••Santa Barbara, CaAug 24, 202011 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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••••• R••• O••• · Managing Member And Chief Compliance Officercontrol
      since 07/2020 · 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
    • State-registered IARs · 0 to 1
      Mar 10, 2021 to Mar 12, 2021
    • Accounts · 71 to 80
      Mar 8, 2021 to Mar 10, 2021
    • Individual clients · 45 to 49
      Mar 8, 2021 to Mar 10, 2021
    • Discretionary RAUM · $25.3M to $20.1M
      Mar 8, 2021 to Mar 10, 2021
    • HNW RAUM · $10.0M to $12.7M
      Mar 8, 2021 to Mar 10, 2021
    • Individual RAUM · $10.0M to $7.5M
      Mar 8, 2021 to Mar 10, 2021
    • Pension RAUM · 5000000.0 to unset
      Mar 8, 2021 to Mar 10, 2021
    • RAUM · $25.3M to $20.1M
      Mar 8, 2021 to Mar 10, 2021
    • Accounts · 0 to 71
      Aug 21, 2020 to Dec 17, 2020
    • HNW clients · unset to 1.0
      Aug 21, 2020 to Dec 17, 2020
    • Individual clients · unset to 45.0
      Aug 21, 2020 to Dec 17, 2020
    • Discretionary RAUM · $0 to $25.3M
      Aug 21, 2020 to Dec 17, 2020
    • HNW RAUM · unset to 10000000.0
      Aug 21, 2020 to Dec 17, 2020
    • Individual RAUM · unset to 10000000.0
      Aug 21, 2020 to Dec 17, 2020
    • Pension RAUM · unset to 5000000.0
      Aug 21, 2020 to Dec 17, 2020
    • RAUM · $0 to $25.3M
      Aug 21, 2020 to Dec 17, 2020
    Signals
    1 dated events
    • I•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 22, 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.
    How to reach
    public business contact points only, each with its source
    Website
    ironcrestcapitalmanagement.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
    $20.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026