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

F•••• Q•••••••• L••

Former SEC-registered adviserGlendale, CaliforniaCRD 106698SEC 801-51748IAPD
Latest filing Aug 12, 2022
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$11B
reported, Item 5.F
Discretionary
97%
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
53
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$251M gross assets
History
22 filings and snapshots on the tape
RAUM$11B as of Mar 29, 2022
Mar 30, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20130 then
Employees (5.A)53 as of Mar 29, 2022
Mar 28, 201399 then
Private funds4 as of Mar 29, 2022
Mar 30, 20129 then
RAUM -24% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 12, 2022; 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
$339MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
74%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
-24%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$174M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$4.3B41%
  • State and municipal entities$3.1B29%
  • Investment companies$1.9B18%
  • Insurance companies$447M4.3%
  • Pooled investment vehicles$355M3.4%
  • Other investment advisers$353M3.4%
  • Corporations and businesses$69.9M0.7%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
14reported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$174M for 1 clientsreported
Compensation
% of AUM, 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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F• G••••• O••••••••• F••• L•••no longer reportedHedge Fund$254M1Mar 30, 2012
      F• M•••• M••••• F••• L•••no longer reportedHedge Fund$175M7Dec 26, 2014
      F• G••••• D••••••••• M•••• M••••• F•••• L•••Hedge Fund$174M9Apr 23, 2020
      F• A•••••••• F••• L•••no longer reportedHedge Fund$89.4M3Mar 30, 2012
      E• F• L•••Hedge Fund$75.2M5Mar 28, 2013
      F• B••••••• R••• C•••••••• F••• L•••no longer reportedHedge Fund$46.5M1Mar 30, 2012
      F• G••••• D••••••••• A•••• F••• L•••no longer reportedHedge Fund$38.7M1Mar 30, 2012
      F• G••••• D••••••••• R••••• F••• L•••no longer reportedHedge Fund$36.3M1Mar 30, 2012
      F• A•••• P•••• F••• L•••no longer reportedHedge Fund$17.7M2Mar 30, 2012
      F•••• Q••••••• S• I• L•••Hedge Fund$1.7M5Mar 30, 2012
      F•••• Q••••••• S• I••• L•••no longer reportedHedge Fund$00Mar 30, 2012
      F• E•••••••• B••• F••• L•••Hedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• J•••• L••• · Partner/LLC Member, Chief Financial Officer, Chief Compliance Officercontrol
        since 01/2004 · owns 5% to 10%
      • J••••••• A•••••• M•••• · Chief Operating Officercontrol
        since 10/2021 · owns less than 5%
      • L•••••••• J••••• F•••• · Partner/LLC Member, Chief Investment Officercontrol
        since 09/2019 · owns 5% to 10%
      • P•••••• E••••• E••••• · Managing Partner/LLC Membercontrol
        since 06/2010 · owns 5% to 10%
      Entity owners
      • A••••••••• M••••••• G••••• I••• · Sole Managing Member
        indirect · owns 75% or more of A•• C• H•••••••• L•• · public reporting company
      • A•• C• H•••••••• L•• · Series A Shareholder
        indirect · owns 75% or more of A•• C• H••••••• C••••
      • A•• C• H••••••• C•••• · LLC Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · PASADENA to GLENDALE
        Mar 29, 2022 to Apr 4, 2022
      • Accounts · 38 to 31
        Oct 20, 2021 to Mar 29, 2022
      • Advisory employees · 21 to 14
        Oct 20, 2021 to Mar 29, 2022
      • Pension plan clients · 19 to 14
        Oct 20, 2021 to Mar 29, 2022
      • Assets in custody · $146M to $174M
        Oct 20, 2021 to Mar 29, 2022
      • Employees · 67 to 53
        Oct 20, 2021 to Mar 29, 2022
      • Discretionary RAUM · $13B to $10B
        Oct 20, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $438M to $353M
        Oct 20, 2021 to Mar 29, 2022
      • Pension RAUM · $9.2B to $4.3B
        Oct 20, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $345M to $355M
        Oct 20, 2021 to Mar 29, 2022
      • RAUM · $14B to $11B
        Oct 20, 2021 to Mar 29, 2022
      • Organization form · Limited Partnership to Limited Liability Company
        Mar 25, 2021 to Oct 20, 2021
      • Succession · false to true
        Mar 25, 2021 to Oct 20, 2021
      • Business name · F•••• Q••••••• to F•••• Q•••••••• L••
        Oct 20, 2021 to Oct 20, 2021
      • Legal name · F•••• Q••••••• LP to F•••• Q•••••••• L••
        Oct 20, 2021 to Oct 20, 2021
      • Succession · true to false
        Oct 20, 2021 to Oct 20, 2021
      • Accounts · 42 to 38
        Apr 23, 2020 to Mar 25, 2021
      • Pension plan clients · 21 to 19
        Apr 23, 2020 to Mar 25, 2021
      • Assets in custody · $1.3B to $146M
        Apr 23, 2020 to Mar 25, 2021
      • Employees · 68 to 67
        Apr 23, 2020 to Mar 25, 2021
      • Discretionary RAUM · $16B to $13B
        Apr 23, 2020 to Mar 25, 2021
      • Non-discretionary RAUM · $235M to $438M
        Apr 23, 2020 to Mar 25, 2021
      • Pension RAUM · $9.7B to $9.2B
        Apr 23, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $1.4B to $345M
        Apr 23, 2020 to Mar 25, 2021
      • RAUM · $16B to $14B
        Apr 23, 2020 to Mar 25, 2021
      • Private funds · 3 to 4
        Mar 30, 2020 to Apr 23, 2020
      • Accounts · 46 to 42
        Mar 28, 2019 to Mar 30, 2020
      • Advisory employees · 30 to 21
        Mar 28, 2019 to Mar 30, 2020
      • BD registered reps · 5 to 4
        Mar 28, 2019 to Mar 30, 2020
      • Pension plan clients · 17 to 21
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 10 to 5
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $1.5B to $1.3B
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 84 to 68
        Mar 28, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 28, 2019 to Mar 30, 2020
      • Private funds · 4 to 3
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $20B to $16B
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $473M to $235M
        Mar 28, 2019 to Mar 30, 2020
      • Pension RAUM · $10B to $9.7B
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.8B to $1.4B
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $20B to $16B
        Mar 28, 2019 to Mar 30, 2020
      Signals
      7 dated events
      • Samuel Dori Levanoni (Partner/Llc Member, Investments) no longer on Schedule A of F•••• Q•••••••• L•• (listed 2022-04-04, absent 2022-08-12)
        Aug 12, 2022 · Control person left · inference
      • Chenghsun Jeff Chang (Chief Compliance Officer) no longer on Schedule A of F•••• Q•••••••• L•• (listed 2022-04-04, absent 2022-08-12)
        Aug 12, 2022 · Control person left · inference
      • Jia Ye (Partner/Llc Member, Co-Chief Investment Officer) no longer on Schedule A of F•••• Q•••••••• L•• (listed 2021-10-20, absent 2022-03-29)
        Mar 29, 2022 · Control person left · inference
      • F•••• Q••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 20, 2021 · Succession (Item 4) · fact
      • Maria Aratha Johnson (Chief Operating Officer) appeared on Schedule A of F•••• Q•••••••• L••
        Oct 20, 2021 · Control person joined · fact
      • Max Ronnie Darnell (Partner, Chairman) no longer on Schedule A of F•••• Q•••••••• L•• (listed 2021-03-25, absent 2021-10-20)
        Oct 20, 2021 · Control person left · inference
      • F•••• J•••• L••••••• (Partner,Co-Chief Investment Officer) appeared on Schedule A of F•••• Q•••••••• L••
        Mar 30, 2020 · Control person joined · fact
      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