DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

A••••••• I••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 104963SEC 801-7082IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$25B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
48
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$1.2B gross assets
History
10 filings and snapshots on the tape
RAUM$25B as of Mar 30, 2018
Mar 30, 2012$5.9B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Jan 31, 20130 then
Employees (5.A)48 as of Mar 30, 2018
Jan 31, 201345 then
Private funds8 as of Mar 30, 2018
Mar 30, 20123 then
RAUM +42% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$340MderivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+42%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$730M, 7 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$10B40%
  • Pooled investment vehicles$5.7B23%
  • Pension and profit-sharing plans$3.9B16%
  • State and municipal entities$3.0B12%
  • Corporations and businesses$2.5B9.8%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
15reported
Charitable clients
n/areported
Accounts
74reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $874M managedreported
Custody of client assets
$730M for 7 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• C••• E••••• P••• F••• L•Other Private Fund$108M5Mar 30, 2012
      A••••••• U• M••••• N•••••• L••no longer reportedHedge Fund$1.2M1Mar 30, 2012
      A••••••• I•••••••• U• E••••• M••••• N•••••• O••••••• F••• L••Hedge Fund$1.1M1Oct 31, 2016
      A••••••• G••••• L••• S•••• E••••• F••• L•no longer reportedOther Private Fund$00Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• F••••••• J•• · Member Of Board Of Managerscontrol
        since 10/2016 · owns less than 5%
      • B•••••• M••••••• E••••• · Managing Directorcontrol
        since 10/2016 · owns less than 5%
      • D• S••••• H••••••• · Member Of Board Of Managers/Presidentcontrol
        since 05/1999 · owns less than 5%
      • D•••••• K•••••••• F•••••• · Chief Administrative Officercontrol
        since 01/2012 · owns less than 5%
      • H••••••• K•••• D•••••• · Member Of Board Of Managerscontrol
        since 10/2016 · owns less than 5%
      • N•••••• K••••• L•• · Member Of Board Of Managerscontrol
        since 10/2016 · owns less than 5%
      • S•••••• S•••••• C••••••• · Member Of Board Of Managerscontrol
        since 10/2016 · owns less than 5%
      • S•••••• A••• C•••••••• · Chief Compliance Officer
        since 09/2004 · owns less than 5%
      Entity owners
      • W•••• C•••••• M••••••••• I•• · 100% Owner Of A••••••• I••••••••• L••
        direct · owns 75% or more
      • E••••• C•••••• C••••••••• · Shareholder
        indirect · owns 75% or more of W•••• F•••• A•••• M••••••••• H•••••••• L••
      • W•••• F•••• • C•••••• · Shareholder
        indirect · owns 75% or more of E••••• C•••••• C••••••••• · public reporting company
      • W•••• F•••• A•••• M••••••••• H•••••••• L•• · Shareholder
        indirect · owns 75% or more of W•••• Capital Management, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list A••••••• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 71 to 74
        Aug 18, 2017 to Mar 30, 2018
      • Advisory employees · 17 to 21
        Aug 18, 2017 to Mar 30, 2018
      • Corporate clients · unset to 6.0
        Aug 18, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 15.0
        Aug 18, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 15.0
        Aug 18, 2017 to Mar 30, 2018
      • Assets in custody · $639M to $730M
        Aug 18, 2017 to Mar 30, 2018
      • Employees · 50 to 48
        Aug 18, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Aug 18, 2017 to Mar 30, 2018
      • Private funds · 9 to 8
        Aug 18, 2017 to Mar 30, 2018
      • Discretionary RAUM · $16B to $23B
        Aug 18, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Aug 18, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Aug 18, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $1.7B to $1.9B
        Aug 18, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 3931300820.0
        Aug 18, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 5708713182.0
        Aug 18, 2017 to Mar 30, 2018
      • RAUM · $18B to $25B
        Aug 18, 2017 to Mar 30, 2018
      • Wrap assets (manager) · unset to 873844550.0
        Aug 18, 2017 to Mar 30, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Aug 18, 2017 to Mar 30, 2018
      • Accounts · 65 to 71
        Oct 31, 2016 to Mar 31, 2017
      • Advisory employees · 19 to 17
        Oct 31, 2016 to Mar 31, 2017
      • Assets in custody · $529M to $639M
        Oct 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $12B to $16B
        Oct 31, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $1.2B to $1.7B
        Oct 31, 2016 to Mar 31, 2017
      • RAUM · $13B to $18B
        Oct 31, 2016 to Mar 31, 2017
      • Private funds · 7 to 9
        Mar 30, 2016 to Oct 31, 2016
      • Related adviser · false to true
        Mar 30, 2016 to Oct 31, 2016
      • Related bank · false to true
        Mar 30, 2016 to Oct 31, 2016
      • Related broker-dealer · false to true
        Mar 30, 2016 to Oct 31, 2016
      • Accounts · 61 to 65
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 18 to 19
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $378M to $529M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 47 to 50
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 4 to 7
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $11B to $12B
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $1.1B to $1.2B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $12B to $13B
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 57 to 61
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $308M to $378M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 44 to 47
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $8.3B to $11B
        Mar 31, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • A••••••• I••••••••• L•• reported RAUM $25.1B, up 42% from $17.7B (2017-08-18 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026