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••••••• P•••• W••••• M•••••••••

Former SEC-registered adviserIrvine, CaliforniaCRD 316266SEC 801-122341IAPD
Legal name C••••••• P•••• W••••• M••••••••• P•••••••• L••
Latest filing Jun 3, 2022
First filing on the tape Aug 18, 2021 · 6 filings
RAUM
$642M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$642M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
16 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$642M as of Jun 3, 2022
Nov 30, 2021$659M then
HNW client RAUM$604M as of Jun 3, 2022
Nov 30, 2021$613M then
State-registered IARs (5.B.3)16 as of Jun 3, 2022
Aug 18, 202117 then
Employees (5.A)27 as of Jun 3, 2022
Aug 18, 202126 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 3, 2022; every figure names its basis
RAUM per advisor
$40.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$800,544derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
2.7derived6 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$235M, 207 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$604M94%
  • Individuals$38.5M6.0%
Individual clients
116reported
HNW clients
176reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
802reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$235M for 207 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • A••••• J••••••• A••• · Private Wealth Managercontrol
      since 08/2021 · owns less than 5%
    • C•••••••• M••••••• J• · Chief Investment Officercontrol
      since 08/2021 · owns less than 5%
    • M•••••• J•••• C••••• · Private Wealth Managercontrol
      since 08/2021 · owns less than 5%
    • S••••••• J••••• A••••• · Chairmancontrol
      since 08/2021 · owns less than 5%
    • S••••••• J••••••• S•••• · Ceo, Cfocontrol
      since 08/2021 · owns less than 5%
    • T•••••• S••••• A•• · Chief O•••••••• Officercontrol
      since 08/2021 · owns less than 5%
    • Z•••••• D•••••• M•••••• · Chief Compliance Officercontrol
      since 08/2021 · owns less than 5%
    Entity owners
    • F•••• O••••••••• L•• · Member (Manager)
      direct · owns 75% or more
    • F•••• F•••••••• P••••••• I••• · Member
      indirect · owns 75% or more of F•••• F•••••••• P•••••••• L•• · public reporting company
    • F•••• F•••••••• P•••••••• L•• · Member
      indirect · owns 75% or more of F•••• O••••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Phoenix, AZ7 employees
    • Toronto, On, Canada3 employees
    • Calgary, Ab, Canada2 employees
    • Boca Raton, FL1 employees
    • Vancouver, Bc, Canada1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 796 to 802
      Nov 30, 2021 to Mar 21, 2022
    • Advisory employees · 17 to 16
      Nov 30, 2021 to Mar 21, 2022
    • HNW clients · 173 to 176
      Nov 30, 2021 to Mar 21, 2022
    • Individual clients · 118 to 116
      Nov 30, 2021 to Mar 21, 2022
    • Assets in custody · $189M to $235M
      Nov 30, 2021 to Mar 21, 2022
    • Employees · 26 to 27
      Nov 30, 2021 to Mar 21, 2022
    • Insurance-licensed employees · 17 to 16
      Nov 30, 2021 to Mar 21, 2022
    • State-registered IARs · 17 to 16
      Nov 30, 2021 to Mar 21, 2022
    • Discretionary RAUM · $651M to $634M
      Nov 30, 2021 to Mar 21, 2022
    • HNW RAUM · $613M to $604M
      Nov 30, 2021 to Mar 21, 2022
    • Individual RAUM · $46.2M to $38.5M
      Nov 30, 2021 to Mar 21, 2022
    • Non-discretionary RAUM · $8.7M to $8.0M
      Nov 30, 2021 to Mar 21, 2022
    • RAUM · $659M to $642M
      Nov 30, 2021 to Mar 21, 2022
    • Accounts · unset to 796.0
      Sep 1, 2021 to Nov 30, 2021
    • HNW clients · unset to 173.0
      Sep 1, 2021 to Nov 30, 2021
    • Individual clients · unset to 118.0
      Sep 1, 2021 to Nov 30, 2021
    • Assets in custody · unset to 188700167.0
      Sep 1, 2021 to Nov 30, 2021
    • Custody of client assets · false to true
      Sep 1, 2021 to Nov 30, 2021
    • Discretionary RAUM · unset to 650814997.0
      Sep 1, 2021 to Nov 30, 2021
    • HNW RAUM · unset to 613308655.0
      Sep 1, 2021 to Nov 30, 2021
    • Individual RAUM · unset to 46163018.0
      Sep 1, 2021 to Nov 30, 2021
    • Non-discretionary RAUM · unset to 8656676.0
      Sep 1, 2021 to Nov 30, 2021
    • RAUM · unset to 659471673.0
      Sep 1, 2021 to Nov 30, 2021
    Signals
    8 dated events
    • John Bradford Flecke no longer registered at C••••••• P•••• W••••• M•••••••••; no later IA registration on IAPD
      Oct 12, 2022 · Advisor departure · fact
    • Matthew J Carvalho no longer registered at C••••••• P•••• W••••• M•••••••••; no later IA registration on IAPD
      Oct 12, 2022 · Advisor departure · fact
    • L•••• M••••••• W••••••••• left C••••••• P•••• W••••• M••••••••• for 4••• P••••••• W••••• M••••••••• (registered 2024-10-07)
      Oct 12, 2022 · Advisor changed firm · fact
    • Michael Anthony Hinterlong no longer registered at C••••••• P•••• W••••• M•••••••••; no later IA registration on IAPD
      Oct 12, 2022 · Advisor departure · fact
    • John Cragin Mccord no longer registered at C••••••• P•••• W••••• M•••••••••; no later IA registration on IAPD
      Oct 12, 2022 · Advisor departure · fact
    • Sally Ann Taylor no longer registered at C••••••• P•••• W••••• M•••••••••; no later IA registration on IAPD
      Oct 12, 2022 · Advisor departure · fact
    • Jeffrey Alan Adema no longer registered at C••••••• P•••• W••••• M•••••••••; no later IA registration on IAPD
      Oct 12, 2022 · Advisor departure · fact
    • C••••••• P•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Aug 18, 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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026