DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10bsuccession filed

A•••••• • M••••• A•••• M••••••••• S•••••••• L••

CRD 283338

NEW YORK, NY

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Search this name across graphsid dfx:ria:723544d1-26dd-505c-2849-dde19b5865f5

Data as of Jan 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 2
On other graphs: 0
Observed: Apr 12, 2016 to Jan 29, 2019
5 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: $2.7B••• Locked
Discretionary RAUM: $160M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
Z•••• I••• L••••••	Securitized Asset Fund	$1.0B	Jan 29, 2019	1	Feb 14, 2012	reported	n/a
Z•••• I• 2•••••• L••••••	Securitized Asset Fund	$997M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• • M••••• A•••• M••••••••• S•••••••• L••	Member	E	yes	05/2014	Jan 29, 2019	Jan 29, 2019
A•••••• • M••••• H•••••••• L••	Member	E	yes	05/2014	Apr 12, 2016	Jan 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••• • M••••• C••••• S••••••••• U••	n/a	n/a	n/a	N	yes	n/a
A•••••• • M••••• E••••• L••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	2	no
Phoenix	Az	United States	1	no
LOS ANGELES	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$2.7B	$2.7B	1.4%	n/a	n/a	12	17	3	3

Relationships

Advises (3)

→ Z•••• I• 2•••••• L••••••Private fundSecuritized Asset Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ Z•••• I••• L••••••Private fundSecuritized Asset Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ Z•••• C•• 2•••••• L•••Private fundSecuritized Asset Fund, IA, no longer reported
Feb 14, 2012 to Sep 8, 2016factForm ADV

Controls (6)

Dated events

Occurred
Jan 29, 2019
Succession filed (Item 4)
A•••••• • M••••• A•••• M••••••••• S•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago
Occurred
Apr 12, 2016
First Form ADV filing
A•••••• • M••••• A•••• M••••••••• S••••••• Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:723544d1-26dd-505c-2849-dde19b5865f5
First observed: Apr 12, 2016
Last observed: Jan 29, 2019 93 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.