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
T••••• C•••••• M••••••••• I• L••
Latest filing Mar 23, 2026
First filing on the tape Jan 13, 2023 · 12 filings
SEC status approved since Feb 21, 2023
RAUM
$619M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
8.5%
$52.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$619M as of Mar 23, 2026
Mar 20, 2024$409M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 20, 20243 then
Employees (5.A)1 as of Mar 23, 2026
Mar 20, 20244 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 3 to 0offices 0 to 1
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
- $309MderivedRAUM 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
- $11.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$441M89%
- Individuals$52.5M11%
- Individual clients
- 15reported
- HNW clients
- n/areported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.08 fund_share=0.0 institutional_share=0.71 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 |
|---|---|---|---|---|
| J••••••• T••••• | Escondido, Ca | May 1, 2023 | 22 y | 1 |
| R•••••• B•••• | Escondido, Ca | Sep 15, 2023 | 17 y | 4 |
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
- M•••••• E••• R••••••• to C•••••• S••••• • C••• I•••Apr 24, 2025 · Other
- N••••••• J••• T••••• to M•• I•••••••• S•••••••• L••Jan 30, 2024 · Other
Joined, latest
- R•••••• B•••• from P•••••••• F•••••••• P•••••••• L••Sep 15, 2023 · Other
- N••••••• J••• T••••• from C••••• A•••••• N••••••• L••Jun 14, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• H••••••• A•• · Ceo & Presidentcontrolsince 11/2022 · owns less than 5%
- B•••• T•••• D•••• · Vice President And Secretarycontrolsince 11/2022 · owns less than 5%
- S•••••• J•••• A•• · Chief Compliance Officercontrolsince 09/2016 · owns less than 5%
- A•••••• H••••••• A•• · Shareholdercontrolsince 11/2022 · owns F of N•••• T••••• L••
Entity owners
- N•••• B••••••• S••••••••• I•• · Shareholderdirect · owns 75% or more
- N•••• H•••••• I••• · Shareholderindirect · owns 75% or more of N•••• B••••••• S••••••••• I••
- N•••• P•••••• I••• · Shareholderindirect · owns 75% or more of N•••• H•••••• I•••
- N•••• T••••• L•• · Shareholderindirect · owns 75% or more of N•••• P•••••• I•••
- T• A••••••••• · Shareholderindirect · owns 50% to 75% of N•••• T••••• L••
Related persons
Schedule D 7.A
- T••••• A••••••••• L••LP sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Escondido, 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
- low discretionary shareStatic outlier · filing Mar 23, 2026discretionary share of RAUM of 0% against a peer median of 100% (71 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $500M to $1B (71) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 54 to 55Jun 25, 2025 to Mar 23, 2026
- Advisory employees · 2 to 1Jun 25, 2025 to Mar 23, 2026
- Individual clients · unset to 15.0Jun 25, 2025 to Mar 23, 2026
- Pension plan clients · 54 to 28Jun 25, 2025 to Mar 23, 2026
- Employees · 4 to 1Jun 25, 2025 to Mar 23, 2026
- Insurance-licensed employees · 0 to 1Jun 25, 2025 to Mar 23, 2026
- State-registered IARs · 3 to 0Jun 25, 2025 to Mar 23, 2026
- Other offices · 0 to 1Jun 25, 2025 to Mar 23, 2026
- Discretionary RAUM · $36.5M to $0Jun 25, 2025 to Mar 23, 2026
- Individual RAUM · unset to 52531934.0Jun 25, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $427M to $619MJun 25, 2025 to Mar 23, 2026
- Pension RAUM · $368M to $441MJun 25, 2025 to Mar 23, 2026
- RAUM · $463M to $619MJun 25, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 0Apr 24, 2025 to Jun 25, 2025
- Accounts · 56 to 54Oct 9, 2024 to Apr 24, 2025
- Pension plan clients · 55 to 54Oct 9, 2024 to Apr 24, 2025
- Discretionary RAUM · $28.2M to $36.5MOct 9, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $380M to $427MOct 9, 2024 to Apr 24, 2025
- Pension RAUM · $326M to $368MOct 9, 2024 to Apr 24, 2025
- RAUM · $409M to $463MOct 9, 2024 to Apr 24, 2025
- Accounts · 57 to 56Dec 19, 2023 to Mar 20, 2024
- Individual clients · 11.0 to unsetDec 19, 2023 to Mar 20, 2024
- Pension plan clients · 45 to 55Dec 19, 2023 to Mar 20, 2024
- Employees · 5 to 4Dec 19, 2023 to Mar 20, 2024
- Discretionary RAUM · $3.6M to $28.2MDec 19, 2023 to Mar 20, 2024
- Individual RAUM · 267447.0 to unsetDec 19, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $358M to $380MDec 19, 2023 to Mar 20, 2024
- Pension RAUM · $317M to $326MDec 19, 2023 to Mar 20, 2024
- RAUM · $362M to $409MDec 19, 2023 to Mar 20, 2024
- State-registered IARs · 2 to 3Jan 13, 2023 to Dec 1, 2023
- Succession · true to falseJan 13, 2023 to Dec 1, 2023
Signals
5 dated events
- T••••• C•••••• M••••••••• I• L•• reported RAUM $619.0M, up 34% from $463.4M (2025-06-25 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- M•••••• E••• R••••••• left T••••• C•••••• M••••••••• I• L•• for C•••••• S••••• • C••• I••• (registered 2025-05-02)Apr 24, 2025 · a•••••• firm change · fact
- N••••••• J••• T••••• left T••••• C•••••• M••••••••• I• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-02-23)Jan 30, 2024 · a•••••• firm change · fact
- T••••• C•••••• M••••••••• I• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 13, 2023 · Succession (Item 4) · fact
- T••••• C•••••• M••••••••• I• L•• filed its initial SEC registration (Form ADV)Jan 13, 2023 · 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
- s••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-743-7555reportedpublic 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026