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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SEC-registered adviser

I•••••• A•••••••• L••

Asset manager (funds and pooled vehicles)Los Angeles, CaliforniaCRD 109137SEC 801-80577websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Nov 4, 2014 · 22 filings
SEC status approved since Nov 25, 2014
RAUM
$1.7M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.7M as of Mar 31, 2026
Mar 31, 2015$2.4M then
HNW client RAUM$0 as of Mar 31, 2026
Apr 2, 2018$200,000 then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20151 then
Employees (5.A)1 as of Mar 31, 2026
Mar 31, 20151 then
Private funds1 as of Mar 31, 2026
Mar 31, 20151 then
RAUM -26% over the last fiscal year-9.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$1.7MderivedRAUM 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
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-26%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.7M, 1 clientsreportedItem 9.A
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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.7M100%
Individual clients
n/areported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$1.7M for 1 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      I•••••• M••••••••• U••• P•••••••• L••Hedge Fund$2.3M2Nov 4, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • T•••• M••••••• A•••••• · Chief Compliance Officercontrol
        since 12/2008 · owns 75% or more
      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
      • Assets in custody · $2.3M to $1.7M
        Mar 20, 2025 to Mar 31, 2026
      • Discretionary RAUM · $2.3M to $1.7M
        Mar 20, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · $2.3M to $1.7M
        Mar 20, 2025 to Mar 31, 2026
      • RAUM · $2.3M to $1.7M
        Mar 20, 2025 to Mar 31, 2026
      • Financial planning clients · unset to
        Mar 28, 2024 to Mar 20, 2025
      • Assets in custody · $2.8M to $2.3M
        Oct 14, 2022 to Apr 3, 2023
      • Discretionary RAUM · $2.8M to $2.3M
        Oct 14, 2022 to Apr 3, 2023
      • Pooled vehicle RAUM · $2.8M to $2.3M
        Oct 14, 2022 to Apr 3, 2023
      • RAUM · $2.8M to $2.3M
        Oct 14, 2022 to Apr 3, 2023
      • Accounts · 2 to 1
        Jun 1, 2021 to Jun 6, 2022
      • HNW clients · 1 to 0
        Jun 1, 2021 to Jun 6, 2022
      • Assets in custody · $2.0M to $2.8M
        Jun 1, 2021 to Jun 6, 2022
      • Discretionary RAUM · $2.0M to $2.8M
        Jun 1, 2021 to Jun 6, 2022
      • HNW RAUM · $1 to $0
        Jun 1, 2021 to Jun 6, 2022
      • Pooled vehicle RAUM · $2.0M to $2.8M
        Jun 1, 2021 to Jun 6, 2022
      • RAUM · $2.0M to $2.8M
        Jun 1, 2021 to Jun 6, 2022
      • Accounts · 1 to 2
        Jun 27, 2020 to Jun 1, 2021
      • Assets in custody · $1.0M to $2.0M
        Jun 27, 2020 to Jun 1, 2021
      • Discretionary RAUM · $1.0M to $2.0M
        Jun 27, 2020 to Jun 1, 2021
      • Pooled vehicle RAUM · $1.0M to $2.0M
        Jun 27, 2020 to Jun 1, 2021
      • RAUM · $1.0M to $2.0M
        Jun 27, 2020 to Jun 1, 2021
      • Accounts · 2 to 1
        Mar 31, 2019 to Apr 21, 2020
      • HNW clients · unset to 1.0
        Mar 31, 2019 to Apr 21, 2020
      • Discretionary RAUM · $1.2M to $1.0M
        Apr 2, 2018 to Mar 31, 2019
      • HNW RAUM · $200,000 to $1
        Apr 2, 2018 to Mar 31, 2019
      • RAUM · $1.2M to $1.0M
        Apr 2, 2018 to Mar 31, 2019
      • Pooled vehicle clients · unset to 1.0
        Apr 3, 2017 to Apr 2, 2018
      • Assets in custody · $2.1M to $1.0M
        Apr 3, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Apr 3, 2017 to Apr 2, 2018
      • HNW RAUM · unset to 200000.0
        Apr 3, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 1000000.0
        Apr 3, 2017 to Apr 2, 2018
      • Discretionary RAUM · $2.3M to $1.2M
        Jun 24, 2016 to Apr 3, 2017
      • RAUM · $2.3M to $1.2M
        Jun 24, 2016 to Apr 3, 2017
      • Accounts · 1 to 2
        Aug 6, 2015 to Mar 31, 2016
      • Assets in custody · $2.0M to $2.1M
        Aug 6, 2015 to Mar 31, 2016
      • Discretionary RAUM · $2.0M to $2.3M
        Aug 6, 2015 to Mar 31, 2016
      • RAUM · $2.0M to $2.3M
        Aug 6, 2015 to Mar 31, 2016
      • Assets in custody · $2.4M to $2.0M
        Mar 31, 2015 to Aug 6, 2015
      • Discretionary RAUM · $2.4M to $2.0M
        Mar 31, 2015 to Aug 6, 2015
      • RAUM · $2.4M to $2.0M
        Mar 31, 2015 to Aug 6, 2015
      Signals
      1 dated events
      • I•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 4, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      I••••••ADVISORS.COreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      310-990-3958reportedpublic record, Form ADV, Mar 31, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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