DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

D•••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Santa Barbara, Californiawebsite

Former SEC-registered adviser, based in Santa Barbara, California, reporting $20.5M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$20.5M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
+1 (1 in, 0 out)
IAPD registration history
Private clients
100% of RAUM, $20.5M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 321779 · SEC 801-125849 · 6 filingsShow
CRD 321779SEC 801-125849First filing on the tape May 11, 2022, latest Nov 17, 2022IAPD
RAUM
$20.5M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
100%
$20.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$20.5M
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
6 filings and snapshots on the tape
RAUM$20.5M as of Nov 17, 2022
May 11, 2022$0 then
HNW client RAUM$10.1M as of Nov 17, 2022
Sep 29, 2022$10.1M then
State-registered IARs (5.B.3)1 as of Nov 17, 2022
May 11, 20221 then
Employees (5.A)1 as of Nov 17, 2022
May 11, 20221 then
Private funds: no history
Practice profile
derived from the filing of Nov 17, 2022; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$20.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
53derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$225,753derivedRAUM over accounts (5.F.2.f)
Discretionary
62%derivedof RAUM
Institutional
0.1%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$10.4M51%
  • High-net-worth individuals$10.1M49%
  • Charitable organizations$22,0000.1%
Individual clients
49reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
91reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the 10 longest tenured
    NameBranchHere sinceIn industryPrior firms
    J••••••••• D••••Santa Barbara, CaJan 1, 202614 y3
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• J••••••••• · Managing Member & Chief Compliance Officercontrol
      since 06/2022 · 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 · 0 to 91
      Jul 11, 2022 to Sep 29, 2022
    • Charity clients · unset to 1.0
      Jul 11, 2022 to Sep 29, 2022
    • HNW clients · unset to 4.0
      Jul 11, 2022 to Sep 29, 2022
    • Individual clients · unset to 49.0
      Jul 11, 2022 to Sep 29, 2022
    • Discretionary RAUM · $0 to $12.8M
      Jul 11, 2022 to Sep 29, 2022
    Full history · 10 changes
    • HNW RAUM · unset to 10093184.0
      Jul 11, 2022 to Sep 29, 2022
    • Individual RAUM · unset to 10428340.0
      Jul 11, 2022 to Sep 29, 2022
    • Non-discretionary RAUM · $0 to $7.8M
      Jul 11, 2022 to Sep 29, 2022
    • RAUM · $0 to $20.5M
      Jul 11, 2022 to Sep 29, 2022
    • HQ city · MONTECITO to SANTA BARBARA
      Jun 10, 2022 to Jul 11, 2022
    Signals
    1 dated events
    • ••• Locked
      May 11, 2022 · 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
    ••• Lockedreportedpublic record, Form ADV, Feb 9, 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
    $20.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026