DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G•••••• C•••••• L••

CRD 165698

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:eef99745-b83b-c053-f312-b8991178a41c

Data as of Jun 24, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Mar 23, 2016 to Jun 24, 2021
11 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• S•••• A•••• I• L••	Hedge Fund	$35.4M	Mar 31, 2020	3	Mar 23, 2016	dropped	021-256233
G•••••• S•••• A•••• I• L••	Hedge Fund	$0	Mar 31, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• T•••••• L••••	CHIEF COMPLIANCE OFFICER	A	yes	03/2017	Mar 31, 2017	Jun 24, 2021
K•••••• M••••••• R•••••	MANAGING MEMBER	E	yes	11/2011	Mar 23, 2016	Jun 24, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 31, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$0	$117M	-100.0%	$307M	n/a	4	4	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G•••••• C•••••• L••	3	Jun 30, 2021	May 30, 2025	SAN DIEGO, CA	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← K•••••• M••••••• R•••••OwnerMANAGING MEMBER, ownership code E, individual
Mar 23, 2016 to presentfactForm ADV
← H••••••••• T•••••• L••••OwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 31, 2017 to presentfactForm ADV

Owns (2)

← L•••• K••••••••• R•••OwnerMEMBER, ownership code B, individual
Mar 23, 2016 to presentfactForm ADV
← R••••••• A••••• S•••••OwnerMEMBER, ownership code B, individual

Dated events

Occurred
Mar 30, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-121M
Occurred
Mar 28, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-233M
Occurred
Mar 23, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eef99745-b83b-c053-f312-b8991178a41c
First observed: Mar 23, 2016
Last observed: Jun 24, 2021 63 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.