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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C••••••••• A••••••••• • M••••••••• C•••••• L••

CRD 138258

RANCHO SANTA FE, CA

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Search this name across graphsid dfx:ria:62799688-0462-80e8-da2c-729b0c73a068

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2021
22 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $39.1MItem 5.F on the latest filing (2021-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $39.1M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••••• A•••••••• 2•••• L•	Hedge Fund	$20.7M	Mar 29, 2021	53	Mar 30, 2012	reported	021-144188
C•••••• R•••••• F••• L••	Hedge Fund	$20.6M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• D•••••• L••	CHIEF EXECUTIVE OFFICER, PM, MANAGING MEMBER, CCO	E	yes	03/2009	Mar 30, 2012	Mar 29, 2021
N••• S•• H•••	CHIEF FINANCIAL OFFICER, ELECTED MANAGER	Na	yes	01/2015	Mar 31, 2015

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$39.1M	$63.0M	-37.8%	$63.6M	-15.0%	6	6	0	0

Relationships

Advises (4)

→ A••••••• A•••••••• 2•••• L•Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ C•••••• R•••••••• F••• •••••••• L••Private fundHedge Fund, IA
Sep 20, 2012 to presentfactForm ADV
→ C•••••• R•••••• F••• L••Private fundHedge Fund, IA
Apr 1, 2013 to presentfactForm ADV
→ C•••••• C••••••••• M•••••••• F••• L••

Dated events

Occurred
Mar 7, 2019
Control person left
Mary Grace Brescia (Chief Compliance Officer, Elected Manager) no longer on Schedule A of C••••••••• A••••••••• • M••••••••• C•••••• L•• (listed 2018-07-23, absent 2019-03-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62799688-0462-80e8-da2c-729b0c73a068
First observed: Mar 30, 2012
Last observed: Mar 29, 2021 66 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.