DFX Intelligence

V•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

V•••••• M••••••••• L••

CRD 135434

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:20788927-be78-ea3c-572b-c257b55fd138

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 8
On other graphs: 0
Observed: Mar 27, 2012 to Feb 23, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.88 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $209M••• Locked
Discretionary RAUM: $99.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I• H•••• F••• S•••••• L••• S••••• B••••••• I••••••••	Hedge Fund	$45.1M	Feb 23, 2026	9	Mar 7, 2018	reported	021-284394
V•••••• G••••• F••• L••	Hedge Fund	$18.6M	Mar 14, 2013

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O•••• G•••••• J•••	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	B	yes	11/2004	Mar 27, 2012	Mar 5, 2024
P••••••• L•••• S•	MANAGING MEMBER	B	yes	04/1997	Mar 27, 2012	Mar 5, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$209M	$174M	19.6%	$265M	-7.7%	3	3	0	0

Relationships

Advises (20)

→ V•••••• P••••••• L•Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ V•••••• S••••••••• L•Private fundHedge Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ I• H•••• F••• S•••••• L••• S••••• B••••••• I••••••••Private fundHedge Fund, IA
Mar 7, 2018 to presentfactForm ADV
→ I• H•••• T•••• G••••• 1• I••••••••

Dated events

Occurred
Mar 5, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-106M
Occurred
Mar 5, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 5, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 17, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:20788927-be78-ea3c-572b-c257b55fd138
First observed: Mar 27, 2012
Last observed: Feb 23, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.