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

F•••• W••••••• S••••••••• M••••••••• I•••

Former SEC-registered adviserPasadena, CaliforniaCRD 6609SEC 801-IAPD
Latest filing May 16, 2014
First filing on the tape Dec 23, 2011 · 17 filings
RAUM
$755M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$110M gross assets
History
17 filings and snapshots on the tape
RAUM$724M as of Dec 26, 2013
Dec 23, 2011$542M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Dec 26, 2013
Dec 18, 20123 then
Employees (5.A)16 as of Dec 26, 2013
Dec 18, 201216 then
Private funds2 as of Dec 26, 2013
Dec 23, 20112 then
RAUM +28% over the last fiscal yearIARs 3 to 7
Practice profile
derived from the filing of May 16, 2014; every figure names its basis
RAUM per advisor
$108MderivedRAUM 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
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+133%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
515reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••• T••••• H•••••• · V.P., Chief Operations Officercontrol
    since 02/2010 · owns less than 5%
  • H•••• S•••• W•••••• · President, Ceocontrol
    since 06/2002 · owns less than 5%
  • H•••••• M••••••• W•••• · V.P. Compliance & Operations, Cco, Finopcontrol
    since 04/2013 · owns less than 5%
  • Z••••••••• F••••• · Finopcontrol
    since 12/2012 · owns less than 5%
  • H•••• S•••• W•••••• · President & Ceocontrol
    since 06/2002 · owns 75% or more of F•••• W••••••• S••••••••• Management, Inc
Entity owners
  • F•••• W••••••• S••••••••• M••••••••• I••• · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • F•••• W••••••• S••••••••• I•••
    broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 517 to 515
    Dec 26, 2013 to Apr 8, 2014
  • BD registered reps · 10 to 8
    Dec 26, 2013 to Apr 8, 2014
  • Employees · 16 to 15
    Dec 26, 2013 to Apr 8, 2014
  • Discretionary RAUM · $724M to $755M
    Dec 26, 2013 to Apr 8, 2014
  • RAUM · $724M to $755M
    Dec 26, 2013 to Apr 8, 2014
  • Accounts · 513 to 517
    Jul 9, 2013 to Dec 26, 2013
  • State-registered IARs · 3 to 7
    Jul 9, 2013 to Dec 26, 2013
  • Discretionary RAUM · $592M to $724M
    Jul 9, 2013 to Dec 26, 2013
  • RAUM · $592M to $724M
    Jul 9, 2013 to Dec 26, 2013
  • BD registered reps · 11 to 10
    Apr 11, 2013 to May 6, 2013
  • Advisory employees · unset to 9.0
    Oct 26, 2012 to Dec 18, 2012
  • BD registered reps · unset to 11.0
    Oct 26, 2012 to Dec 18, 2012
  • Commission compensation · true to false
    Oct 26, 2012 to Dec 18, 2012
  • Employees · unset to 16.0
    Oct 26, 2012 to Dec 18, 2012
  • State-registered IARs · unset to 3.0
    Oct 26, 2012 to Dec 18, 2012
  • Discretionary RAUM · $593M to $592M
    Oct 26, 2012 to Dec 18, 2012
  • RAUM · $593M to $592M
    Oct 26, 2012 to Dec 18, 2012
  • Accounts · 545 to 513
    Jun 6, 2012 to Oct 26, 2012
  • Discretionary RAUM · $650M to $593M
    Jun 6, 2012 to Oct 26, 2012
  • RAUM · $650M to $593M
    Jun 6, 2012 to Oct 26, 2012
  • Accounts · 539 to 545
    Mar 30, 2012 to Jun 6, 2012
  • Discretionary RAUM · $565M to $650M
    Mar 30, 2012 to Jun 6, 2012
  • RAUM · $565M to $650M
    Mar 30, 2012 to Jun 6, 2012
  • Accounts · 545 to 539
    Dec 23, 2011 to Mar 30, 2012
  • Discretionary RAUM · $542M to $565M
    Dec 23, 2011 to Mar 30, 2012
  • RAUM · $542M to $565M
    Dec 23, 2011 to Mar 30, 2012
Signals
No event on the tape.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026