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••• W••••• A•••••••• I•••

Former SEC-registered adviserPalo Alto, CaliforniaCRD 310790SEC 801-119635IAPD
Latest filing Jan 31, 2024
First filing on the tape Sep 15, 2020 · 9 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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Jan 31, 2024
Mar 29, 2022$0 then
State-registered IARs (5.B.3)1 as of Jan 31, 2024
Mar 3, 20211 then
Employees (5.A)3 as of Jan 31, 2024
Mar 3, 20214 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 31, 2024; 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
3.0derivedItem 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
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• A•••• M• · Advisory Principalcontrol
      since 08/2023 · owns less than 5%
    • C•••• W••• K•• · Chief Executive Officercontrol
      since 07/2020 · owns less than 5%
    • S•••••• V••••••••• · Chief Compliance Officer / Chief Legal Officercontrol
      since 07/2020 · owns less than 5%
    Entity owners
    • F••• U•• I••• · Shareholder
      direct · owns 75% or more
    • F••• H••••••• L•• · Shareholder
      indirect · owns 75% or more of F••• U•• I•••
    • L••• I••••••• L•••••• T•••• · Shareholder
      indirect · owns 25% to 50% of F••• H••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0.0 to unset
      Sep 1, 2022 to Feb 23, 2023
    • Discretionary RAUM · 0.0 to unset
      Sep 1, 2022 to Feb 23, 2023
    • Non-discretionary RAUM · 0.0 to unset
      Sep 1, 2022 to Feb 23, 2023
    • RAUM · 0.0 to unset
      Sep 1, 2022 to Feb 23, 2023
    • Wrap assets (manager) · 0.0 to unset
      Sep 1, 2022 to Feb 23, 2023
    • Wrap assets (sponsor) · 0.0 to unset
      Sep 1, 2022 to Feb 23, 2023
    • Accounts · unset to 0.0
      Mar 3, 2021 to Mar 29, 2022
    • Advisory activities · 1 to 3
      Mar 3, 2021 to Mar 29, 2022
    • BD registered reps · 4 to 3
      Mar 3, 2021 to Mar 29, 2022
    • Employees · 4 to 3
      Mar 3, 2021 to Mar 29, 2022
    • Insurance-licensed employees · 0 to 1
      Mar 3, 2021 to Mar 29, 2022
    • Discretionary RAUM · unset to 0.0
      Mar 3, 2021 to Mar 29, 2022
    • HNW RAUM · unset to 0.0
      Mar 3, 2021 to Mar 29, 2022
    • Individual RAUM · unset to 0.0
      Mar 3, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · unset to 0.0
      Mar 3, 2021 to Mar 29, 2022
    • RAUM · unset to 0.0
      Mar 3, 2021 to Mar 29, 2022
    • Related adviser · false to true
      Mar 3, 2021 to Mar 29, 2022
    Signals
    4 dated events
    • Arnold Gary Tickel (Advisory Principal) no longer on Schedule A of F••• W••••• A•••••••• I••• (listed 2023-02-23, absent 2023-08-14)
      Aug 14, 2023 · Control person left · inference
    • M. Alex Catarroja (Advisory Principal) appeared on Schedule A of F••• W••••• A•••••••• I•••
      Aug 14, 2023 · Control person joined · fact
    • G••• A••••• T••••• no longer registered at F••• W••••• A•••••••• I•••; no later IA registration on IAPD
      Jul 25, 2023 · Advisor departure · fact
    • F••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
      Sep 15, 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