DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 1b 10b

A•• A•••• D••••••••• I•• L•

CRD 328587

NEWPORT 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 24, 2026, 3:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 8
On other graphs: 3
Observed: Sep 22, 2023 to Mar 30, 2026
8 observations

Across DFX

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

Private Equityidentity

A•• A•••• D••••••••• I•• L•

Private equity manager · same SEC CIK, same CRD, same SEC file number

Independent Sponsorsidentity

A•• A•••• D••••••••• I•• L•

Capital provider to sponsors · same SEC CIK, same CRD, same SEC file number

Private Creditidentity

A•• A•••• D••••••••• I•• L•

Private credit manager · same SEC CIK, same CRD, same SEC file number

Facts

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

Firm class: asset managerderived••• Locked
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: 46
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••••• C•• I•• L•••	Securitized Asset Fund	$509M	Mar 30, 2026	1	Mar 30, 2026	reported	n/a
T••••••• C•• V•••• L•••	Securitized Asset Fund	$418M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• A•••• G• I•• L••	GENERAL PARTNER	Na	yes	09/2023	Sep 22, 2023	Apr 29, 2024
A•••••••• C•••••• M••••••••• L••	OWNER, MEMBER	D	yes	04/2023	Sep 22, 2023	Apr 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• C•••••• M••••••••• L••	n/a	Other adviser	$44B	N	yes	n/a
A•••••••• P•••••• C••••••• L••	n/a	Asset manager	$27B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

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	$2.1B	$1.4B	47.8%	n/a	n/a	46	42	0	0

Relationships

Affiliated with (12)

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

Dated events

Order

Occurred
30 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
$1.4B
Occurred
30 Mar 2026
Private fund first reported3 events
Private fund first reported: 3 on 30 Mar 2026
$154M to $509M
- ••• Locked$509M
- ••• Locked$418M
- ••• Locked$154M
Occurred
30 Mar 2026
Private fund gav change
••• Locked
Form ADV
$333M
Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$667M
Occurred
28 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$831M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 22, 2023
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 16 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• S•••• D••••••• H• G•• L••	n/a	n/a	n/a	N	yes	n/a
M•••••• F••• M••••••• L••	n/a	n/a	n/a	N	no	n/a
M•••••• R••••• A•••••••• L••	n/a	State registered	n/a	N	yes	n/a
P•• B••• L••• G• L••	n/a	n/a	n/a	N	yes	n/a
P•• C•• O••••••••• G• L••	n/a	n/a	n/a	N	yes	n/a
S••• G•• L••	n/a	n/a	n/a	N	yes	n/a