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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SEC-registered adviser
F••••• W••••• S•••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Dec 11, 2020 · 19 filings
SEC status approved since Jan 11, 2021
RAUM
$628M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
19%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$314M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$628M as of Mar 23, 2026
Mar 7, 2022$864M then
HNW client RAUM$65.5M as of Mar 23, 2026
Mar 7, 2022$136M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 7, 20227 then
Employees (5.A)5 as of Mar 23, 2026
Mar 7, 202210 then
Private funds: no history
RAUM -19% over the last fiscal year-7.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $314MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $763,875derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $37.9M, 101 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$490M78%
- High-net-worth individuals$65.5M10%
- Individuals$54.6M8.7%
- State and municipal entities$15.7M2.5%
- Charitable organizations$1.4M0.2%
- Corporations and businesses$493,0000.1%
- Individual clients
- 306reported
- HNW clients
- 38reported
- Pension plan clients
- 238reported
- Charitable clients
- 2reported
- Accounts
- 822reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.9M for 101 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.19 fund_share=0.0 institutional_share=0.81 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• P•••• | Stockton, Ca | Nov 21, 2024 | 16 y | 1 |
| E••• C•••••• K••••••• | Stockton, Ca | May 7, 2025 | 11 y | 0 |
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 headcount2 left over 36 months
Left, latest
- N••••• A••••• O••••• W••••••••• to W••••••• A••••••• L••May 13, 2025 · RIA to RIA
- T•••• C•••••• T••••• to I••••••••• I••••••••• S•••••••• I••Dec 2, 2024 · Other
- P•••••• J••••• M•••••• to C••••• I••••••••• A••••••• L••Feb 8, 2023 · RIA to affiliated broker-dealer or bank
- E••• S••••• H•••••••• to S••••••• F•••••••• G••••Dec 31, 2022 · RIA to RIA
- K•••• E••••• M•••••• to I••••••••• I••••••••• S•••••••• I••Dec 31, 2022 · Other
Joined, latest
- E••• S••••• H•••••••• from F•••••••• D••••••••• I•••Jan 11, 2021 · RIA to a newly registered adviser
- T•••• C•••••• T••••• from F•••••••• D••••••••• I•••Jan 11, 2021 · RIA to a newly registered adviser
- K•••• E••••• M•••••• from F•••••••• D••••••••• I•••Jan 11, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••••••• D••••••••• I•••Apr 23, 2021 · Stockton, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• M••••••• E• · President & Chief Executive Officercontrolsince 10/2020 · owns less than 5%
- L••• M••••••• E• · President & Chief Executive Officercontrolsince 10/2020 · owns 50% to 75% of F••••• C••
- M••••••• K••••• E••••• · Shareholdercontrolsince 10/2020 · owns 25% to 50% of F••••• C••
- H•••••• K••••••• R••••• · Chief Compliance Officersince 10/2020 · owns less than 5%
Entity owners
- F••••• C•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- F••••• B•••••• S•••••••• I•••LP sponsorn
- W•••••• A••••••••• I•••real estaten
Advisers that list F••••• W••••• S•••••••• I••• as a related person
- 118883 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stockton, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 1,435.0 to 822.0 (-43.0%) between the annual amendments of 2025-03-14 and 2026-03-23; the peer median change was +6.0% (24 comparable advisers, 9.0th percentile of changes)peers: other advisers, $500M to $1B (24) · 8.7% percentile
What changed
consecutive filings, newest first
- Accounts · 1,435 to 822Mar 14, 2025 to Mar 23, 2026
- Advisory employees · 2 to 3Mar 14, 2025 to Mar 23, 2026
- Charity clients · 6 to 2Mar 14, 2025 to Mar 23, 2026
- Corporate clients · 4 to 2Mar 14, 2025 to Mar 23, 2026
- HNW clients · 72 to 38Mar 14, 2025 to Mar 23, 2026
- Individual clients · 392 to 306Mar 14, 2025 to Mar 23, 2026
- Pension plan clients · 284 to 238Mar 14, 2025 to Mar 23, 2026
- Assets in custody · $566M to $37.9MMar 14, 2025 to Mar 23, 2026
- Employees · 4 to 5Mar 14, 2025 to Mar 23, 2026
- Insurance-licensed employees · 0 to 1Mar 14, 2025 to Mar 23, 2026
- Financial planning clients · 101-250 to 1-10Mar 14, 2025 to Mar 23, 2026
- Discretionary RAUM · $771M to $628MMar 14, 2025 to Mar 23, 2026
- HNW RAUM · $131M to $65.5MMar 14, 2025 to Mar 23, 2026
- Individual RAUM · $68.5M to $54.6MMar 14, 2025 to Mar 23, 2026
- Pension RAUM · $548M to $490MMar 14, 2025 to Mar 23, 2026
- RAUM · $771M to $628MMar 14, 2025 to Mar 23, 2026
- Accounts · 1,381 to 1,435Jan 14, 2025 to Mar 14, 2025
- Charity clients · 8 to 6Jan 14, 2025 to Mar 14, 2025
- Corporate clients · 6 to 4Jan 14, 2025 to Mar 14, 2025
- HNW clients · 70 to 72Jan 14, 2025 to Mar 14, 2025
- Individual clients · 400 to 392Jan 14, 2025 to Mar 14, 2025
- Pension plan clients · 351 to 284Jan 14, 2025 to Mar 14, 2025
- Assets in custody · $719M to $566MJan 14, 2025 to Mar 14, 2025
- Financial planning clients · 101-250 to 101-250Jan 14, 2025 to Mar 14, 2025
- Discretionary RAUM · $964M to $771MJan 14, 2025 to Mar 14, 2025
- HNW RAUM · $119M to $131MJan 14, 2025 to Mar 14, 2025
- Individual RAUM · $79.5M to $68.5MJan 14, 2025 to Mar 14, 2025
- Pension RAUM · $737M to $548MJan 14, 2025 to Mar 14, 2025
- RAUM · $964M to $771MJan 14, 2025 to Mar 14, 2025
- Accounts · 1,562 to 1,381Nov 8, 2023 to Feb 27, 2024
- Advisory employees · 3 to 2Nov 8, 2023 to Feb 27, 2024
- Corporate clients · 9 to 6Nov 8, 2023 to Feb 27, 2024
- HNW clients · 69 to 70Nov 8, 2023 to Feb 27, 2024
- Individual clients · 460 to 400Nov 8, 2023 to Feb 27, 2024
- Pension plan clients · 393 to 351Nov 8, 2023 to Feb 27, 2024
- Assets in custody · $500M to $719MNov 8, 2023 to Feb 27, 2024
- Discretionary RAUM · $766M to $964MNov 8, 2023 to Feb 27, 2024
- HNW RAUM · $102M to $119MNov 8, 2023 to Feb 27, 2024
- Individual RAUM · $63.3M to $79.5MNov 8, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $14.5M to $0Nov 8, 2023 to Feb 27, 2024
Signals
6 dated events
- N••••• A••••• O••••• W••••••••• left F••••• W••••• S•••••••• I••• for W••••••• A••••••• L•• (registered 2025-06-02)May 13, 2025 · Advisor changed firm · fact
- T•••• C•••••• T••••• left F••••• W••••• S•••••••• I••• for I••••••••• I••••••••• S•••••••• I•• (registered 2024-12-04)Dec 2, 2024 · Advisor changed firm · fact
- P•••••• J••••• M•••••• left F••••• W••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2026-05-07)Feb 8, 2023 · Advisor changed firm · fact
- E••• S••••• H•••••••• left F••••• W••••• S•••••••• I••• for S••••••• F•••••••• G•••• (registered 2024-05-31)Dec 31, 2022 · Advisor changed firm · fact
- K•••• E••••• M•••••• left F••••• W••••• S•••••••• I••• for I••••••••• I••••••••• S•••••••• I•• (registered 2023-08-17)Dec 31, 2022 · Advisor changed firm · fact
- F••••• W••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Dec 11, 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
- Firm profile
- LINKEDIN.COM/COMPANY/18605066/ADMINreportedpublic record, Form ADV, Sep 18, 2026
- Website
- findec.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 209-957-7413reportedpublic record, Form ADV, Mar 23, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $314Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026