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

C•• A••••••• • C•••••••••

Former SEC-registered adviserCRD 314797SEC 801-121393IAPD
Legal name B••••••••• C•••••••• D••••••
Latest filing Sep 10, 2021
First filing on the tape May 4, 2021 · 4 filings
RAUM
$26.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.6M
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
4 filings and snapshots on the tape
RAUM$26.6M as of Sep 10, 2021
May 4, 2021$0 then
HNW client RAUM$25.3M as of Sep 10, 2021
Aug 9, 2021$26.2M then
State-registered IARs (5.B.3)1 as of Sep 10, 2021
May 4, 20211 then
Employees (5.A)1 as of Sep 10, 2021
May 4, 20211 then
Private funds: no history
Practice profile
derived from the filing of Sep 10, 2021; every figure names its basis
RAUM per advisor
$26.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM 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 individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$26.6M, 2 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)
  • 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
  • High-net-worth individuals$25.3M95%
  • Individuals$1.3M5.0%
Individual clients
3reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$26.6M for 2 clientsreported
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
C•••••••• D•••••• B••••••••Chartered Financial AnalystIrvine, CaJun 4, 202130 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
    • B••••••••• C••••••••• D•••••• · President And Chief Compliance Officercontrol
      since 06/2021 · 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
    • Accounts · 21 to 20
      Aug 9, 2021 to Sep 10, 2021
    • Advisory activities · 3 to 5
      Aug 9, 2021 to Sep 10, 2021
    • Financial planning clients · unset to 0
      Aug 9, 2021 to Sep 10, 2021
    • HNW RAUM · $26.2M to $25.3M
      Aug 9, 2021 to Sep 10, 2021
    • Non-discretionary RAUM · $924,000 to $0
      Aug 9, 2021 to Sep 10, 2021
    • RAUM · $27.5M to $26.6M
      Aug 9, 2021 to Sep 10, 2021
    • Accounts · 0 to 21
      Jun 4, 2021 to Aug 9, 2021
    • HNW clients · unset to 4.0
      Jun 4, 2021 to Aug 9, 2021
    • Individual clients · unset to 3.0
      Jun 4, 2021 to Aug 9, 2021
    • Assets in custody · unset to 26600000.0
      Jun 4, 2021 to Aug 9, 2021
    • Custody of client assets · false to true
      Jun 4, 2021 to Aug 9, 2021
    • Discretionary RAUM · $0 to $26.6M
      Jun 4, 2021 to Aug 9, 2021
    • HNW RAUM · unset to 26202563.0
      Jun 4, 2021 to Aug 9, 2021
    • Individual RAUM · unset to 1321437.0
      Jun 4, 2021 to Aug 9, 2021
    • Non-discretionary RAUM · $0 to $924,000
      Jun 4, 2021 to Aug 9, 2021
    • RAUM · $0 to $27.5M
      Jun 4, 2021 to Aug 9, 2021
    Signals
    1 dated events
    • C•• A••••••• • C••••••••• filed its initial SEC registration (Form ADV)
      May 4, 2021 · 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
    $26.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026