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••••• M••••••••• C• I••
Latest filing May 16, 2013
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$3.4M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$147M as of Feb 5, 2013
Feb 14, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 4
Private funds: no history
RAUM -98% over the last fiscal year
Practice profile
derived from the filing of May 16, 2013; every figure names its basis
- RAUM per advisor
- $1.1MderivedRAUM 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
- $851,962derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.3%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, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
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
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
- T••• R•••••• W•••• to C•••••••Oct 30, 2013 · Other
- T••• L•••• A•••••• to L••••• W••••• S•••••••• L••Oct 31, 2012 · Other
- S••••• E•••• F••••••• to D••••••• A•••••••• L••Jul 7, 2011 · Other
- J••••••• G••••• R•••• to R•••• F••••••• A•••• M•••••••••Jul 7, 2011 · Other
- E••• C•••••• P•••••••• to W••••• I•••••••••Jul 7, 2011 · Other
- C•••• S••••• B••••• to U•• F•••••••• S••••••• I•••Nov 23, 2009 · Other
Joined, latest
- T••• R•••••• W•••• from A•••• C•••• I••••••••• L••Nov 15, 2012 · Other
- T••• L•••• A•••••• from L••••• W••••• S•••••••• L••Aug 23, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• S•••••• B•••• · Presidentcontrolsince 10/2012 · owns less than 5%
- W••••• C••••••••• M•••• · Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
- W••••• T•••• R•••••• · Presidentcontrolsince 10/2012 · owns less than 5%
- A••••••• S•••••• B•••• · Managing Member/Chief Compliance Officercontrolsince 10/2012 · owns 50% to 75% of A•••• C•••• I••••••••• L••
- W••••• T•••• R•••••• · Managing Membercontrolsince 10/2012 · owns 50% to 75% of A•••• C•••• I••••••••• L••
- L•••••• N•••••• H•••• · Vice President Of Investmentssince 10/2012 · owns less than 5%
Entity owners
- A•••• C•••• I••••••••• L•• · Owns 100% Of L••••• Management Company, Inc.direct · owns 75% or more
Related persons
Schedule D 7.A
- A•••• C•••• I••••••••• L••investment adviseryRAUM $3.8B
Offices
Schedule D 1.F, the 25 largest
- Cupertino, CA
What changed
consecutive filings, newest first
- Accounts · 386 to 4Feb 7, 2013 to May 16, 2013
- Discretionary RAUM · $145M to $3.4MFeb 7, 2013 to May 16, 2013
- Non-discretionary RAUM · $1.5M to $0Feb 7, 2013 to May 16, 2013
- RAUM · $147M to $3.4MFeb 7, 2013 to May 16, 2013
- BD registered reps · 1 to 0Feb 5, 2013 to Feb 7, 2013
- Accounts · 182 to 386Nov 15, 2012 to Feb 5, 2013
- Advisory employees · 4 to 3Nov 15, 2012 to Feb 5, 2013
- BD registered reps · 0 to 1Nov 15, 2012 to Feb 5, 2013
- Employees · 9 to 4Nov 15, 2012 to Feb 5, 2013
- Insurance-licensed employees · 3 to 0Nov 15, 2012 to Feb 5, 2013
- Financial planning clients · 1-10 to 0Nov 15, 2012 to Feb 5, 2013
- HQ city · CUPERTINO to NEWPORT BEACHNov 15, 2012 to Feb 5, 2013
- State-registered IARs · 4 to 3Nov 15, 2012 to Feb 5, 2013
- Discretionary RAUM · $145M to $145MNov 15, 2012 to Feb 5, 2013
- Non-discretionary RAUM · $1.0M to $1.5MNov 15, 2012 to Feb 5, 2013
- RAUM · $146M to $147MNov 15, 2012 to Feb 5, 2013
- Accounts · 243 to 182Aug 3, 2012 to Nov 15, 2012
- Advisory employees · unset to 4.0Aug 3, 2012 to Nov 15, 2012
- Advisory activities · 4 to 3Aug 3, 2012 to Nov 15, 2012
- Employees · unset to 9.0Aug 3, 2012 to Nov 15, 2012
- Insurance-licensed employees · 0 to 3Aug 3, 2012 to Nov 15, 2012
- State-registered IARs · unset to 4.0Aug 3, 2012 to Nov 15, 2012
- Discretionary RAUM · $140M to $145MAug 3, 2012 to Nov 15, 2012
- Non-discretionary RAUM · $20.0M to $1.0MAug 3, 2012 to Nov 15, 2012
- RAUM · $160M to $146MAug 3, 2012 to Nov 15, 2012
- Related adviser · false to trueAug 3, 2012 to Nov 15, 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