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

D•• F••••• O•••••• L••

Other adviserRoseville, CaliforniaCRD 322047SEC 801-128127websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape May 9, 2023 · 6 filings
SEC status approved since Jun 8, 2023
RAUM
$120M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$40.0M
derived; firm RAUM over IAPD count
Employees
16
7 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$120M as of Mar 30, 2026
Mar 26, 2024$139M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 26, 2024$0 then
State-registered IARs (5.B.3)7 as of Mar 30, 2026
Mar 26, 20245 then
Employees (5.A)16 as of Mar 30, 2026
Mar 26, 202418 then
Private funds: no history
RAUM -26% over the last fiscal yearIARs 7 to 7
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
RAUM per advisor
$40.0MderivedRAUM 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
$120MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-26%derivedbetween 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 fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
  • 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
  • Corporations and businesses$120M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••• M••••••• R••••Roseville, CaJun 13, 202324 y0
C••••••••• B•••• S•••••••••Roseville, CaSep 14, 202310 y0
K•••• T• M••••••••Roseville, CaOct 23, 202410 y0
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
    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
      • B••••••••• T•••••• E• · Chief Investment Officercontrol
        since 12/2023 · owns less than 5%
      • R••••• C•••••• M• · Ceocontrol
        since 12/2021 · owns less than 5%
      • S••••••••• C••••••••• B•••• · Chief Operations Officercontrol
        since 12/2023 · owns less than 5%
      • R••••• C•••••• M• · Trusteecontrol
        since 12/2021 · owns 50% to 75% of T•• R•••• F••••• T••••
      • R••••• J••••••• · Trusteecontrol
        since 12/2021 · owns 50% to 75% of T•• R•••• F••••• T••••
      • L•••••• C••••• A• · Chief Financial Officer, Chief Compliance Officer, And Member
        since 12/2021 · owns 5% to 10%
      • M••••• S•••••• R• · Member
        since 12/2021 · owns 10% to 25%
      • M•••••••• C••••• D• · Member
        since 12/2021 · owns 5% to 10%
      • M••••••••• K••••• T• · Member
        since 12/2021 · owns 5% to 10%
      Entity owners
      • D••••••••• L•• · Member
        direct · owns 10% to 25%
      • T•• R•••• F••••• T•••• · Member
        direct · owns 25% to 50%
      • T•• R•••• F••••• T•••• · Trust
        indirect · owns 75% or more of D••••••••• L••
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Roseville, Ca · principal300
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      3 against comparable advisers; where to look, not conclusions
      • RAUM down advisors stableCombination · filing Mar 30, 2026
        RAUM fell 25 percent or more while the advisor count stayed within 5 percent: assets left without people leaving (a large client or institutional mandate, a fee change, or a reporting change). RAUM $161,651,521 to $119,914,111, advisors 7 to 7, private clients 0 to 0, offices 0 to 0 (2025-03-31 to 2026-03-30)
        peers: other advisers, $100M to $500M (212)
      • low discretionary shareStatic outlier · filing Mar 30, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $100M to $500M (212) · 0.0% percentile
      • RAUM down 25 %Change between filings · filing Mar 30, 2026
        RAUM (Item 5.F) moved from $161,651,521 to $119,914,111 (-26.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +8.0% (161 comparable advisers, 10.0th percentile of changes)
        peers: other advisers, $100M to $500M (161) · 10% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $162M to $120M
        Mar 31, 2025 to Mar 30, 2026
      • RAUM · $162M to $120M
        Mar 31, 2025 to Mar 30, 2026
      • Advisory employees · 5 to 7
        Mar 26, 2024 to Mar 31, 2025
      • Corporate clients · 1.0 to unset
        Mar 26, 2024 to Mar 31, 2025
      • Employees · 18 to 16
        Mar 26, 2024 to Mar 31, 2025
      • Financial planning clients · 0 to 0
        Mar 26, 2024 to Mar 31, 2025
      • State-registered IARs · 5 to 7
        Mar 26, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $139M to $162M
        Mar 26, 2024 to Mar 31, 2025
      • RAUM · $139M to $162M
        Mar 26, 2024 to Mar 31, 2025
      • Advisory employees · 3 to 5
        Oct 11, 2023 to Mar 26, 2024
      • State-registered IARs · 3 to 5
        Oct 11, 2023 to Mar 26, 2024
      • Non-discretionary RAUM · $138M to $139M
        Oct 11, 2023 to Mar 26, 2024
      • RAUM · $138M to $139M
        Oct 11, 2023 to Mar 26, 2024
      • Accounts · 0 to 1
        May 9, 2023 to Oct 3, 2023
      • Advisory employees · 2 to 3
        May 9, 2023 to Oct 3, 2023
      • Corporate clients · unset to 1.0
        May 9, 2023 to Oct 3, 2023
      • Employees · 15 to 18
        May 9, 2023 to Oct 3, 2023
      • State-registered IARs · 2 to 3
        May 9, 2023 to Oct 3, 2023
      • Non-discretionary RAUM · $0 to $138M
        May 9, 2023 to Oct 3, 2023
      • RAUM · $0 to $138M
        May 9, 2023 to Oct 3, 2023
      Signals
      2 dated events
      • B•••• C••••••••• S••••••••• (Chief Operations Officer) appeared on Schedule A of D•• F••••• O•••••• L••
        Mar 26, 2024 · Control person joined · fact
      • D•• F••••• O•••••• L•• filed its initial SEC registration (Form ADV)
        May 9, 2023 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      dcafamilyoffice.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      (279) 221-2144reportedpublic record, Form ADV, Mar 30, 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
      $40.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026