DFX Intelligence

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

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

A••• C•• M••••••••• L••

CRD 257788

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:bf7f5056-ad43-8098-f9aa-80f6b950d5a9

Data as of Apr 1, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 44
Dated events: 2
On other graphs: 0
Observed: Sep 30, 2015 to Apr 1, 2018
10 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: $4.3B••• Locked
Discretionary RAUM: $4.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 53
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A• H••••• L••	GENERAL PARTNER	F	yes	07/2016	Sep 30, 2015	Apr 1, 2018
A••• A• H••••••• L•••	SOLE MEMBER	E	yes	04/2017	Apr 1, 2018	Apr 1, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• M••••••••• L••	n/a	ASSET_M••••••	$459B	Y	yes	n/a
A••• C•••••• M••••••••• L••	n/a	ASSET_M••••••	$98B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	4	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Apr 1, 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
2017	$4.3B	$2.8B	52.4%	n/a	n/a	53	91	1	n/a

Relationships

Affiliated with (20)

← A••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← A••• C•••••• M••••••••• I• L••Registered adviserother investment adviser, common control
factForm ADV
← A••• C••••••••• R••• E••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← I•• H••• A•••• M••••••••• L•••Registered adviser

Dated events

Occurred
Apr 1, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$1.5B
Occurred
Sep 30, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf7f5056-ad43-8098-f9aa-80f6b950d5a9
First observed: Sep 30, 2015
Last observed: Apr 1, 2018 103 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.

Controls (16)

← R••••••• A•••••• P••••OwnerMEMBER, ownership code C, individual
Sep 30, 2015 to presentfactForm ADV
← A••••••••• M••••••• J• •• O••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 30, 2015 to presentfactForm ADV
← R•••• P•••••••• F•••••••OwnerVICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER, ownership code NA, individual
Apr 1, 2018 to presentfactForm ADV
← D•••••• R•••••• K•••OwnerPRESIDENT, ownership code NA, individual
Apr 1, 2018 to presentfactForm ADV
← W•••••• M••••••• D•••••OwnerVICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, ownership code NA, individual
Sep 30, 2015 to presentfactForm ADV
← K••••••• M•••••• G••••••••OwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 1, 2018 to presentfactForm ADV
← A• H••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Sep 30, 2015 to presentfactForm ADV
← A••• A• H••••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Apr 1, 2018 to presentfactForm ADV
← A••• C•• M••••••••• H••••••• L•••OwnerSOLE MEMBER, ownership code E, foreign entity
Mar 31, 2017 to presentfactForm ADV
← A••• H••••••• I•••OwnerMEMBER, ownership code E, domestic entity
Sep 30, 2015 to presentfactForm ADV
← A••• I••••••••• H••••••• L••OwnerMEMBER, ownership code D, domestic entity
Mar 31, 2017 to presentfactForm ADV
← A••• I••••••••• L•••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2017 to presentfactForm ADV
← A••• M••••••••• H••••••• L•••OwnerMEMBER, ownership code E, domestic entity
Sep 30, 2015 to presentfactForm ADV
← A••• M••••••••• L•••OwnerSOLE MEMBER, ownership code F, domestic entity
Mar 31, 2017 to presentfactForm ADV
← A••• O••••• H••••••• L•••OwnerLIMITED PARTNER, ownership code D, domestic entity
Sep 30, 2015 to presentfactForm ADV
← A••• P••••••• H••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Sep 30, 2015 to presentfactForm ADV