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A••••• C•••••••••

STATE REGISTEREDFormer SEC adviser

STATE REGISTERED, reporting $56.8M of regulatory assets.

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

Last reported RAUM
$56.8M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
0 (1 in, 1 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $56.8M
Form ADV
AdvisorsAdvisor 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 327134 · 1 filingsShow
CRD 327134Legal name A•••••• A•••••• C•••••First filing on the tape Jan 22, 2026, latest Jan 22, 2026IAPD
RAUM
$56.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$56.8M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
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
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
RAUM per advisor
$56.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
unknownderivedpensions, 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
fixed feesreportedItem 5.E
Advisory activities
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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$56.8M100%
Individual clients
n/areported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• C••••• A•••••Spring Valley, CaJan 23, 202622 y2
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Spring Valley, Ca111
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • ••• Locked
    Dec 31, 2025 · Advisor changed firm · 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
Principal office phone
••• Lockedreportedpublic record, Form ADV, Jan 22, 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026