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

G•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserManhattan Beach, CaliforniaCRD 108160SEC 801-56343IAPD
Latest filing Apr 19, 2017
First filing on the tape Jul 6, 2012 · 6 filings
RAUM
$106M
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$148M gross assets
History
6 filings and snapshots on the tape
RAUM$106M as of Apr 19, 2017
Jul 6, 2012$280M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 19, 2017
Jul 6, 20120 then
Employees (5.A)7 as of Apr 19, 2017
Jul 15, 20136 then
Private funds1 as of Apr 19, 2017
Jul 6, 20121 then
RAUM -29% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 19, 2017; 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
$106MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%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 pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••••• C•• 2•••••• L•••Other Private Fund$148M5Jul 6, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• K••••• S••••• · LLC Membercontrol
        since 12/2007 · owns 25% to 50%
      • L••••• J••••• M•••••• · LLC Membercontrol
        since 12/2007 · owns 10% to 25%
      • S••••• R•••••• E••••• · President, Chief Compliance Officercontrol
        since 02/1999 · owns 25% to 50%
      • S•••• A••••• S••••••• · LLC Member
        since 12/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Employees · 8 to 7
        Mar 30, 2016 to Apr 19, 2017
      • Discretionary RAUM · $148M to $106M
        Mar 30, 2016 to Apr 19, 2017
      • RAUM · $148M to $106M
        Mar 30, 2016 to Apr 19, 2017
      • Employees · 7 to 8
        Apr 8, 2015 to Mar 30, 2016
      • Financial planning clients · 0 to unset
        Apr 8, 2015 to Mar 30, 2016
      • Discretionary RAUM · $203M to $148M
        Apr 8, 2015 to Mar 30, 2016
      • RAUM · $203M to $148M
        Apr 8, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 6
        Apr 22, 2014 to Apr 8, 2015
      • Employees · 6 to 7
        Apr 22, 2014 to Apr 8, 2015
      • Discretionary RAUM · $293M to $203M
        Apr 22, 2014 to Apr 8, 2015
      • RAUM · $293M to $203M
        Apr 22, 2014 to Apr 8, 2015
      • Discretionary RAUM · $293M to $293M
        Jul 15, 2013 to Apr 22, 2014
      • RAUM · $293M to $293M
        Jul 15, 2013 to Apr 22, 2014
      • Advisory employees · unset to 5.0
        Jul 6, 2012 to Jul 15, 2013
      • Employees · unset to 6.0
        Jul 6, 2012 to Jul 15, 2013
      • Discretionary RAUM · $280M to $293M
        Jul 6, 2012 to Jul 15, 2013
      • RAUM · $280M to $293M
        Jul 6, 2012 to Jul 15, 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