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

L••••• G•••• C•••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 107503SEC 801-50514IAPD
Latest filing Mar 21, 2018
First filing on the tape Mar 9, 2012 · 10 filings
RAUM
$249M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$249M as of Mar 21, 2018
Mar 9, 2012$185M then
HNW client RAUM: $172M
State-registered IARs (5.B.3)3 as of Mar 21, 2018
Mar 26, 20133 then
Employees (5.A)6 as of Mar 21, 2018
Mar 26, 20137 then
Private funds: no history
RAUM +5.0% over the last fiscal year+0.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2018; every figure names its basis
RAUM per advisor
$83.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$869,162derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$172M69%
  • Charitable organizations$47.9M19%
  • Individuals$24.4M9.8%
  • Pension and profit-sharing plans$4.7M1.9%
Individual clients
49reported
HNW clients
58reported
Pension plan clients
0reported
Charitable clients
8reported
Accounts
287reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••• L••••• G••• · Presidentcontrol
      since 10/1995 · owns 75% or more
    • D••• M•••••• F•••••••• · Client Relations
      since 01/1999 · owns 10% to 25%
    • T••••• D•••• M•••• · Chief Financial Officer
      since 01/2014 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 285 to 287
      Nov 7, 2017 to Mar 21, 2018
    • Charity clients · 0 to 8
      Nov 7, 2017 to Mar 21, 2018
    • HNW clients · 0 to 58
      Nov 7, 2017 to Mar 21, 2018
    • Individual clients · 0 to 49
      Nov 7, 2017 to Mar 21, 2018
    • Discretionary RAUM · $237M to $249M
      Nov 7, 2017 to Mar 21, 2018
    • HNW RAUM · $0 to $172M
      Nov 7, 2017 to Mar 21, 2018
    • Individual RAUM · $0 to $24.4M
      Nov 7, 2017 to Mar 21, 2018
    • Non-discretionary RAUM · $287,363 to $334,502
      Nov 7, 2017 to Mar 21, 2018
    • Pension RAUM · $0 to $4.7M
      Nov 7, 2017 to Mar 21, 2018
    • RAUM · $238M to $249M
      Nov 7, 2017 to Mar 21, 2018
    • Advisory employees · 6 to 5
      Mar 1, 2017 to Nov 7, 2017
    • Charity clients · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Corporate clients · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • HNW clients · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Individual clients · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Pension plan clients · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Pooled vehicle clients · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Employees · 7 to 6
      Mar 1, 2017 to Nov 7, 2017
    • Other offices · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • HNW RAUM · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Individual RAUM · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Pension RAUM · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Mar 1, 2017 to Nov 7, 2017
    • Accounts · 303 to 285
      Mar 29, 2016 to Mar 1, 2017
    • Discretionary RAUM · $234M to $237M
      Mar 29, 2016 to Mar 1, 2017
    • Non-discretionary RAUM · $402,116 to $287,363
      Mar 29, 2016 to Mar 1, 2017
    • RAUM · $235M to $238M
      Mar 29, 2016 to Mar 1, 2017
    • Accounts · 306 to 303
      Mar 6, 2015 to Feb 22, 2016
    • Discretionary RAUM · $248M to $234M
      Mar 6, 2015 to Feb 22, 2016
    • Non-discretionary RAUM · $498,528 to $402,116
      Mar 6, 2015 to Feb 22, 2016
    • RAUM · $248M to $235M
      Mar 6, 2015 to Feb 22, 2016
    • Accounts · 309 to 306
      Jun 5, 2014 to Mar 6, 2015
    • Discretionary RAUM · $236M to $248M
      Jun 5, 2014 to Mar 6, 2015
    • Non-discretionary RAUM · $528,593 to $498,528
      Jun 5, 2014 to Mar 6, 2015
    • RAUM · $236M to $248M
      Jun 5, 2014 to Mar 6, 2015
    • Accounts · 318 to 309
      Mar 26, 2013 to Jan 22, 2014
    • Discretionary RAUM · $203M to $236M
      Mar 26, 2013 to Jan 22, 2014
    • Non-discretionary RAUM · $694,507 to $528,593
      Mar 26, 2013 to Jan 22, 2014
    • RAUM · $204M to $236M
      Mar 26, 2013 to Jan 22, 2014
    • Accounts · 340 to 318
      Mar 9, 2012 to Mar 26, 2013
    Signals
    No event on the tape.
    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