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

D••••• I••••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 109538SEC 801-56572IAPD
Latest filing Apr 30, 2021
First filing on the tape Mar 13, 2012 · 22 filings
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.9%
$30.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
13 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
7
$413M gross assets
History
22 filings and snapshots on the tape
RAUM$3.3B as of Mar 31, 2021
Mar 13, 2012$1.9B then
HNW client RAUM$30.9M as of Mar 31, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)38 as of Mar 31, 2021
Apr 1, 201337 then
Private funds7 as of Mar 31, 2021
Mar 13, 201221 then
RAUM -6.9% over the last fiscal year-6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2021; 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
$15.5MderivedHNW RAUM over HNW clients
Average account
$88.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
-6.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$167M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$1.1B33%
  • Pooled investment vehicles$763M23%
  • Corporations and businesses$698M21%
  • Charitable organizations$328M10%
  • Sovereign wealth funds$327M10%
  • Insurance companies$55.3M1.7%
  • High-net-worth individuals$30.9M0.9%
Individual clients
0reported
HNW clients
2reported
Pension plan clients
8reported
Charitable clients
4reported
Accounts
37reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$167M for 1 clientsreported
Compensation
% of AUM, fixed, 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
      25 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••• J•••• S•••••••• O••••••••• F••• L•Hedge Fund$650M2Mar 31, 2017
      P•••••• A•• G•••••• I••••••••• I•••no longer reportedHedge Fund$137M34Apr 1, 2013
      D••••• H••• Y•••• O••••••••• ••••••• F••• L•no longer reportedHedge Fund$67.4M58Mar 13, 2012
      D••••• P••••••• S••••• I• T••••no longer reportedOther Private Fund$65.6M1Mar 31, 2015
      K•••• B•• C•••••• M••••••••• L•••no longer reportedHedge Fund$61.7M1Apr 1, 2013
      1••• L•Hedge Fund$52.0M1Mar 31, 2015
      D••••• I••••••••• T•••• • S••••• A•no longer reportedOther Private Fund$49.6M1Mar 31, 2017
      D••••• G•••••• C•••• •• F•••••• F••• L•no longer reportedHedge Fund$47.3M13Mar 13, 2012
      D••••• A••• •••••••• F•••••• F•••• L•••no longer reportedHedge Fund$38.8M16Mar 13, 2012
      D••••• A••• •• F•••••• F••• L•no longer reportedHedge Fund$34.7M10Mar 13, 2012
      D••••• H••• Y•••• M••••••• •• F•••••• F••• L•no longer reportedHedge Fund$22.2M42Mar 13, 2012
      D••••• J•••• L••••••••• ••••••• F••• L•no longer reportedHedge Fund$22.1M9Mar 13, 2012
      D••••• D••••••••• C••••• •• F•••••• F••• L•no longer reportedHedge Fund$20.8M29Mar 13, 2012
      D••••• S•••••• H••••••• L••Private Equity Fund$14.7M7Mar 29, 2019
      D••••• H••• Y•••• M••••••• •••••••• F•••••• F••• L•••no longer reportedHedge Fund$11.4M6Mar 13, 2012
      C••••••••• U••• F••• L•••no longer reportedHedge Fund$10.4M32Mar 13, 2012
      D••••• J•••• R••• E•••• V•••• •••••••• F•••••• F••• L•••no longer reportedHedge Fund$9.9M5Mar 13, 2012
      D••••• G•••••• C•••• •••••••• F•••••• F••• L•••no longer reportedHedge Fund$4.6M5Mar 13, 2012
      D••••• D••••••••• C••••• ••••••• F••• L•no longer reportedHedge Fund$1.6M31Mar 13, 2012
      D••••• D••••••••• C••••• •••••••• F•••••• F••• L••no longer reportedHedge Fund$1.1M1Mar 13, 2012
      D••••• B••••• R••• E••••• F••• I• L••no longer reportedReal Estate Fund$1.0M40Mar 31, 2014
      D••••• D••••••••• M••••••• F•••• L•no longer reportedHedge Fund$444,07329Mar 13, 2012
      D••••• D••••••••• M••••••• F••• L•••no longer reportedHedge Fund$324,8331Mar 13, 2012
      P•••••• A•• G•••••• I••••••••• L•no longer reportedHedge Fund$00Apr 1, 2013
      D••••• J•••• R••• E••••• V•••• •• F•••••• F••• L•no longer reportedHedge Fund$00Mar 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• S••••• B•••••• · Chief Executive Officer, D••••• I••••••••• L••control
        since 06/2020 · owns less than 5%
      • C••••• F••••• G•••••• · Executive Managing Director, D••••• I••••••••• L••control
        since 10/1998 · owns less than 5%
      • D••••••• I•••• N• · Chief Marketing Officer, D••••• I••••••••• L••control
        since 03/2021 · owns less than 5%
      • H•• C••••••••• A••••• · Chief Compliance Officer, D••••• I••••••••• L••control
        since 01/2021 · owns less than 5%
      • H••••••••• J••••• N• · Chief Financial Officer, D••••• I••••••••• L••control
        since 07/2019 · owns less than 5%
      • K•••••• S•••••• O••••• · G•••••• Counsel, D••••• I••••••••• L••control
        since 01/2017 · owns less than 5%
      • O••• B•••••• N• · Chairman, D••••• I••••••••• L••control
        since 06/2020 · owns less than 5%
      • P•••••• S•••••• D•••• · Chief Operating Officer, D••••• Investments, LLCcontrol
        since 05/2017 · owns less than 5%
      • R••••••••• J••••• B•••• · Senior Portfolio Manager, D••••• I••••••••• L••control
        since 02/1998 · owns less than 5%
      • A••••••••• J••••• G••••• · Ownercontrol
        since 02/1999 · owns 50% to 75% of G••• International Inc.
      • C••••• F••••• G•••••• · Ownercontrol
        since 10/2002 · owns 75% or more of W•••••• R••• C••••
      • O••• B•••••• N• · Ownercontrol
        since 02/1999 · owns 50% to 75% of G••• International Inc.
      • P•••••• S•••••• D•••• · Ownercontrol
        since 02/1998 · owns 75% or more of P••••• F•••••••• M••••••••• I•••
      • R••••••••• J••••• B•••• · Trusteecontrol
        since 12/1997 · owns F of R•••••••• F••••• T••••
      • R••••••••• L••••• P••••• · Trusteecontrol
        since 12/1997 · owns F of R•••••••• F••••• T••••
      Entity owners
      • G••• I••••••••• I••• · Owner, D••••• I••••••••• L••
        direct · owns 10% to 25%
      • P••••• F•••••••• M••••••••• I••• · Owner, D••••• I••••••••• L••
        direct · owns 10% to 25%
      • R•••••••• C•••••• M••••••••• I••• · Managing Member, D••••• I••••••••• L••
        direct · owns 50% to 75%
      • W•••••• R••• C•••• · Owner, D••••• I••••••••• L••
        direct · owns 10% to 25%
      • R•••••••• F••••• T•••• · Owner
        indirect · owns 75% or more of R•••••••• C•••••• M••••••••• I•••
      Related persons
      Schedule D 7.A
      • 1••• G• L••
        bankpooled vehicle sponsory
      • A••• G• L••
        bankpooled vehicle sponsory
      • B•••• F•••• P••••••••• L••
        bankpooled vehicle sponsorn
      • B•••• F•••• P••••••• M••••••••• I•••
        bankinvestment companypooled vehicle sponsorn
      • C•••• G• L••
        bankpooled vehicle sponsory
      • D••••• A••••••• K•
        investment advisery
      • D••••• I••••••••• A••••••• S••••••• P•••••• L••••••
        investment advisery
      • D••••• I••••••••• ••••••••• P•• L••
        investment advisery
      • I•••• G• L••
        bankpooled vehicle sponsory
      • K••••• G• L••
        bankpooled vehicle sponsory
      • P••••• G• L••
        bankpooled vehicle sponsory
      • R••••• S•• M••••••••• L•••
        investment advisern
      • R•••••••• C•••••• M••••••••• I•••
        investment adviserpooled vehicle sponsoryRAUM $248M
      Offices
      Schedule D 1.F, the 25 largest
      • Tokyo, Japan4 employees
      • Las Vegas, NV2 employees
      • Mumbai, India1 employees
      • Redondo B••••, CA1 employees
      • Sydney, Australia1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 40 to 37
        Jan 8, 2021 to Mar 31, 2021
      • Advisory employees · 15 to 13
        Jan 8, 2021 to Mar 31, 2021
      • Advisory activities · 4 to 3
        Jan 8, 2021 to Mar 31, 2021
      • Pension plan clients · 9 to 8
        Jan 8, 2021 to Mar 31, 2021
      • Pooled vehicle clients · 23 to 20
        Jan 8, 2021 to Mar 31, 2021
      • Assets in custody · $113M to $167M
        Jan 8, 2021 to Mar 31, 2021
      • Employees · 37 to 38
        Jan 8, 2021 to Mar 31, 2021
      • Private funds · 9 to 7
        Jan 8, 2021 to Mar 31, 2021
      • Discretionary RAUM · $3.5B to $3.3B
        Jan 8, 2021 to Mar 31, 2021
      • HNW RAUM · $29.9M to $30.9M
        Jan 8, 2021 to Mar 31, 2021
      • Pension RAUM · $923M to $1.1B
        Jan 8, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.3B to $763M
        Jan 8, 2021 to Mar 31, 2021
      • RAUM · $3.5B to $3.3B
        Jan 8, 2021 to Mar 31, 2021
      • Accounts · 41 to 40
        Jul 1, 2019 to Mar 30, 2020
      • Advisory employees · 17 to 15
        Jul 1, 2019 to Mar 30, 2020
      • Advisory activities · 3 to 4
        Jul 1, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 25 to 23
        Jul 1, 2019 to Mar 30, 2020
      • Assets in custody · $172M to $113M
        Jul 1, 2019 to Mar 30, 2020
      • Employees · 42 to 37
        Jul 1, 2019 to Mar 30, 2020
      • Other offices · 3 to 5
        Jul 1, 2019 to Mar 30, 2020
      • Private funds · 10 to 9
        Jul 1, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.7B to $3.5B
        Jul 1, 2019 to Mar 30, 2020
      • HNW RAUM · $26.0M to $29.9M
        Jul 1, 2019 to Mar 30, 2020
      • Pension RAUM · $1.1B to $923M
        Jul 1, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.6B to $1.3B
        Jul 1, 2019 to Mar 30, 2020
      • RAUM · $3.7B to $3.5B
        Jul 1, 2019 to Mar 30, 2020
      • Accounts · 31 to 41
        Oct 5, 2018 to Mar 29, 2019
      • Advisory employees · 19 to 17
        Oct 5, 2018 to Mar 29, 2019
      • Advisory activities · 4 to 3
        Oct 5, 2018 to Mar 29, 2019
      • Charity clients · 5 to 4
        Oct 5, 2018 to Mar 29, 2019
      • HNW clients · 0 to 2
        Oct 5, 2018 to Mar 29, 2019
      • Pension plan clients · 6 to 9
        Oct 5, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 26 to 25
        Oct 5, 2018 to Mar 29, 2019
      • Assets in custody · $230M to $172M
        Oct 5, 2018 to Mar 29, 2019
      • Employees · 40 to 42
        Oct 5, 2018 to Mar 29, 2019
      • Discretionary RAUM · $4.0B to $3.7B
        Oct 5, 2018 to Mar 29, 2019
      • HNW RAUM · $0 to $26.0M
        Oct 5, 2018 to Mar 29, 2019
      • Pension RAUM · $918M to $1.1B
        Oct 5, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.9B to $1.6B
        Oct 5, 2018 to Mar 29, 2019
      • RAUM · $4.0B to $3.7B
        Oct 5, 2018 to Mar 29, 2019
      Signals
      8 dated events
      • Na Iain Douglas (Chief Marketing Officer, D••••• I••••••••• L••) appeared on Schedule A of D••••• I••••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • Barbara Sarah Alfandari (Chief Executive Officer, D••••• I••••••••• L••) appeared on Schedule A of D••••• I••••••••• L••
        Jan 8, 2021 · Control person joined · fact
      • Alfred Christopher Ha (Chief Compliance Officer, D••••• I••••••••• L••) appeared on Schedule A of D••••• I••••••••• L••
        Jan 8, 2021 · Control person joined · fact
      • Na Jill Rosenwald (Trustee Of James B Rosenwald Iv Trust And Jocelyn M Rosenwald Trust) no longer on Schedule A of D••••• I••••••••• L•• (listed 2019-05-16, absent 2019-07-01)
        Jul 1, 2019 · Control person left · inference
      • Wellington Walter Parker (Trustee Of James B Rosenwald Iv Trust And Jocelyn M Rosenwald Trust) no longer on Schedule A of D••••• I••••••••• L•• (listed 2019-05-16, absent 2019-07-01)
        Jul 1, 2019 · Control person left · inference
      • Rachel Erin Lavelle (Chief Financial Officer, D••••• I••••••••• L••) no longer on Schedule A of D••••• I••••••••• L•• (listed 2019-05-16, absent 2019-07-01)
        Jul 1, 2019 · Control person left · inference
      • Na Janet Hunpadongrat (Chief Financial Officer, D••••• I••••••••• L••) appeared on Schedule A of D••••• I••••••••• L••
        Jul 1, 2019 · Control person joined · fact
      • Parker Laura Rosenwald (Trustee) appeared on Schedule A of D••••• I••••••••• L••
        Jul 1, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      D••••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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