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
P•••••• P•••• W••••• M•••••••••
Legal name P•••••• P•••• W••••• M••••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Oct 3, 2025 · 3 filings
SEC status 120-day approval since Sep 26, 2025
RAUM
$6.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.5M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$1.3M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$6.5M as of Jan 30, 2026
Oct 3, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Jan 30, 2026
Oct 3, 20250 then
Employees (5.A)5 as of Jan 30, 2026
Oct 3, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
- RAUM per advisor
- $1.3MderivedRAUM 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
- $169,751derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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
- Individuals$6.5M100%
- Individual clients
- 38reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•• T••••• M••••••• | Carlsbad, Ca | Oct 3, 2025 | 11 y | 3 |
| R••• S••••• G••••• | Carlsbad, Ca | Oct 3, 2025 | 11 y | 3 |
| M•••••• D•••• M••••••• | Carlsbad, Ca | Oct 13, 2025 | 13 y | 1 |
| J•••• C••••• | Carlsbad, Ca | Dec 16, 2025 | 12 y | 3 |
| J••• A•••••• L••••Certified Financial Planner | Carlsbad, Ca | Jan 9, 2026 | 31 y | 4 |
Advisor movement
0 left, 5 joined in 12 months
net +5 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
- J••• A•••••• L•••• from O•••• W•••••• I•••Jan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• C••••• from O•••••••Dec 16, 2025 · RIA to a newly registered adviser
- M•••••• D•••• M••••••• from X• A•••••••• L••Oct 13, 2025 · RIA to a newly registered adviser
- B•• T••••• M••••••• from I••••••••• F•••••••• G••••• L••Oct 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• S••••• G••••• from X• A•••••••• L••Oct 3, 2025 · RIA to a newly registered adviser
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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Dec 24, 2025 to Jan 30, 2026
- Advisory activities · 1 to 2Dec 24, 2025 to Jan 30, 2026
- Assets in custody · unset to 0.0Dec 24, 2025 to Jan 30, 2026
- Custody of client assets · false to trueDec 24, 2025 to Jan 30, 2026
- Employees · 4 to 5Dec 24, 2025 to Jan 30, 2026
- HQ city · to CARLSBADDec 24, 2025 to Jan 30, 2026
- HQ state · to CADec 24, 2025 to Jan 30, 2026
- State-registered IARs · 4 to 5Dec 24, 2025 to Jan 30, 2026
- Accounts · 0 to 38Oct 3, 2025 to Dec 24, 2025
- Advisory employees · 2 to 4Oct 3, 2025 to Dec 24, 2025
- Individual clients · unset to 38.0Oct 3, 2025 to Dec 24, 2025
- Employees · 2 to 4Oct 3, 2025 to Dec 24, 2025
- State-registered IARs · 0 to 4Oct 3, 2025 to Dec 24, 2025
- Discretionary RAUM · $0 to $6.5MOct 3, 2025 to Dec 24, 2025
- Individual RAUM · unset to 6450550.0Oct 3, 2025 to Dec 24, 2025
- RAUM · $0 to $6.5MOct 3, 2025 to Dec 24, 2025
Signals
1 dated events
- P•••••• P•••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $6.5M)Apr 1, 2026 · Left the SEC roster · derived
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
- $1.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026