DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

F••• A••••• M••••••• N•••• A•••••• L••

CRD 136191

MANHATTAN BEACH, CA

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Search this name across graphs

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 15
On other graphs: 1
Observed: Mar 28, 2012 to Mar 30, 2026
33 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

F••• A••••• M••••••• N•••• A•••••• L••

Private credit manager · Key CRD

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=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $3.4B••• Locked
Discretionary RAUM: $3.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O•••• T••••• C•• X•	Securitized Asset Fund	$428M	Mar 30, 2026	1	Mar 28, 2024	reported	n/a
O•••• T••••• C•• X••	Securitized Asset Fund	$375M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J•••• M•••••	Director	Na	yes	02/2019	Mar 9, 2019	Mar 28, 2024
C•••••• M••••••• D•••••	Director	Na	yes	09/2015	Sep 15, 2015	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••• A••••• M••••••• L••	n/a	Former SEC adviser	$11B	N	yes	n/a
F••• A••••• M••••••• •••• L••	n/a	Asset manager	$994M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	$3.4B	$3.2B	4.0%	$2.7B	8.2%	16	15	1	1

Relationships

Affiliated with (8)

→ F••• A••••• M••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F••• A••••• M••••••• •••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← F••• A••••• M••••••• •••• L••Registered adviserother investment adviser, common control
factForm ADV
← R••••••••• • C• G••••• M•••••• S•••••••• L••••••Registered adviser

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
30 Mar 2026
Private fund first reported2 events
Private fund first reported: 2 on 30 Mar 2026
$336M to $337M
- ••• Locked$337M
- ••• Locked$336M
Occurred
30 Mar 2026
Private fund gav change3 events
Private fund gav change: 3 on 30 Mar 2026
down $317M to $373M
- ••• Lockeddown $373M
- ••• Locked$351M
- ••• Lockeddown $317M
Occurred
5 Jun 2025
Ria hq relocated
••• Locked
Form ADV
Occurred
28 Mar 2024
Control person joined
••• Locked
Form ADV
Occurred
23 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$674M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 28, 2012
Last observed: Mar 30, 2026 5 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.

All 18 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••••• F•••••• I• ••••••• L•••	Securitized Asset Fund	$4.2M	Mar 5, 2013	4	Mar 28, 2012	dropped	n/a
O•••• T••••• C•• V••	Securitized Asset Fund	$3.0M	Mar 30, 2026	4	Mar 9, 2019	reported	n/a
O•••• T••••• C•• V•	Securitized Asset Fund	$2.1M	Mar 30, 2026	2	Mar 27, 2015	reported	n/a
O•••• T••••• C•• V•	Securitized Asset Fund	$748,910	Mar 29, 2023	2	Mar 28, 2016	reported	n/a
O•••• T••••• C•• I•	Securitized Asset Fund	$443,361	Dec 8, 2022	7	Mar 27, 2014	dropped	n/a
O•••• T••••• C•• I•	Securitized Asset Fund	$34,262	Sep 14, 2020	7	Mar 28, 2012	dropped	n/a
W• H••••••• C•• I•	Securitized Asset Fund	$28,917	Sep 25, 2019	5	Mar 28, 2012	dropped	n/a
O•••• T••••• C•• I•	Securitized Asset Fund	$0	Sep 14, 2020	4	Mar 28, 2012	dropped	n/a

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 27, 2015	$1.5B	$774M	15	8	n/a	5	$1.5B
2013	Mar 27, 2014	$1.4B	$770M	12	8	n/a	4	$1.4B
2012	Mar 5, 2013	$1.1B	$1.1B	10	6	n/a	5	$1.1B
2011	Mar 28, 2012	$1.2B	$1.1B	n/a	n/a	n/a	5	$1.2B