DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

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

CRD 167408

SANTA MONICA, CA

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Search this name across graphsid dfx:ria:73c29e6a-0086-a7b5-a7d6-0a8698128292

Data as of May 12, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 15
On other graphs: 1
Observed: Aug 21, 2013 to May 12, 2025
23 observations

Across DFX

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

Private Creditidentity

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

Private credit manager · shared crd

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: $2.1B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 44
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• L••• C•• 2•••• L•••	Securitized Asset Fund	$369M	May 15, 2024	0	Feb 26, 2015	reported	021-235227
D•••• C•• I• L•••	Securitized Asset Fund	$337M	Mar 30, 2016

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• P•••••• R••••••	MANAGING DIRECTOR	Na	yes	09/2015	May 4, 2017	May 15, 2024
C•••••• J•••• F••••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2020	Jul 20, 2020	May 15, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• C•••••• M••••••••• L••	n/a	Asset manager	$20B	N	no	n/a
W•••••••• T•••••••• C••••• O••••••••• I•• G•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
DUBLIN 2	n/a	Ireland	8	no
London	n/a	United Kingdom	0	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
2024	$2.1B	$4.0B	-47.8%	$1.5B	11.0%	44	45	3	2

Relationships

Affiliated with (2)

← T••••••• C•••••• M•••••••••Registered adviserother investment adviser
factForm ADV
→ T••••••• C•••••• M•••••••••Registered adviserother investment adviser
factForm ADV

Advises (14)

→ C•••••••• L••• V• L•••Private fundSecuritized Asset Fund, IA
Feb 20, 2019 to presentfactForm ADV
→ W•••••••• T••••••• C••••• O••••••••• M••••• F••• I• L•

Dated events

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

Occurred
May 12, 2025
Ria hq relocated
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-1.9B
Occurred
Mar 31, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.2B
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73c29e6a-0086-a7b5-a7d6-0a8698128292
First observed: Aug 21, 2013
Last observed: May 12, 2025 16 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.