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••••••• R••••••• A•• M••••••••• I••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 107877SEC 801-55761IAPD
Latest filing Jan 11, 2013
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$163M
reported, Item 5.F
Discretionary
80%
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
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.3M gross assets
History
9 filings and snapshots on the tape
RAUM$163M as of Jan 11, 2013
Mar 30, 2012$4.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 11, 2013
Mar 30, 20120 then
Employees (5.A)10 as of Jan 11, 2013
Nov 9, 201218 then
Private funds2 as of Jan 11, 2013
Mar 30, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 11, 2013; every figure names its basis
RAUM per advisor
$54.4MderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$3.5M, 2 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
124reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.5M for 2 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    A••••••• I•••••• I•••• I•• L•••Hedge Fund$4.7M35Mar 30, 2012
    A••••••• I•••••• I•••• F••• L•••Hedge Fund$2.5M30Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• P•••••••• C••• · Sr. Vice President, Directorcontrol
      since 01/1998 · owns less than 5%
    • E••••••• P••••• J•••• · Chairman, President, Ceo, Cio, And Interim Ccocontrol
      since 01/1998 · owns 50% to 75%
    • P•••••• R••••• B• · Owner, Director
      since 01/1998 · owns 25% to 50%
    Entity owners
    • I••••• C•••••• P•••••••• L• · Shareholder
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Advisers that list A••••••• R••••••• A•• M••••••••• I•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 665 to 124
      Dec 7, 2012 to Jan 11, 2013
    • Advisory employees · 7 to 3
      Dec 7, 2012 to Jan 11, 2013
    • BD registered reps · 9 to 6
      Dec 7, 2012 to Jan 11, 2013
    • Assets in custody · $6.6M to $3.5M
      Dec 7, 2012 to Jan 11, 2013
    • Employees · 18 to 10
      Dec 7, 2012 to Jan 11, 2013
    • Discretionary RAUM · $1.9B to $131M
      Dec 7, 2012 to Jan 11, 2013
    • Non-discretionary RAUM · $640M to $32.3M
      Dec 7, 2012 to Jan 11, 2013
    • RAUM · $2.6B to $163M
      Dec 7, 2012 to Jan 11, 2013
    • Advisory employees · unset to 7.0
      Sep 24, 2012 to Nov 9, 2012
    • BD registered reps · unset to 9.0
      Sep 24, 2012 to Nov 9, 2012
    • Employees · unset to 18.0
      Sep 24, 2012 to Nov 9, 2012
    • State-registered IARs · 0 to 3
      Sep 24, 2012 to Nov 9, 2012
    • Related adviser · false to true
      Sep 24, 2012 to Nov 9, 2012
    • Accounts · 1,049 to 665
      Sep 14, 2012 to Sep 24, 2012
    • Discretionary RAUM · $3.6B to $1.9B
      Sep 14, 2012 to Sep 24, 2012
    • Non-discretionary RAUM · $683M to $640M
      Sep 14, 2012 to Sep 24, 2012
    • RAUM · $4.2B to $2.6B
      Sep 14, 2012 to Sep 24, 2012
    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