DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

B•••••••• A••••••• G••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 111191SEC 801-108578IAPD
Latest filing Mar 6, 2018
First filing on the tape Mar 20, 2012 · 10 filings
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$129M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$129M as of Mar 6, 2018
Mar 20, 2012$80.0M then
HNW client RAUM: $116M
State-registered IARs (5.B.3)2 as of Mar 6, 2018
Mar 20, 20120 then
Employees (5.A)2 as of Mar 6, 2018
Mar 13, 20172 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2018; every figure names its basis
RAUM per advisor
$64.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$452,709derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
  • 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
  • High-net-worth individuals$116M90%
  • Individuals$12.8M10.0%
Individual clients
33reported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
284reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• C••••• L•• · Manager/Chief Compliance Officercontrol
        since 06/2000 · owns 25% to 50%
      • F•••••••• M••••••• W••••• · Membercontrol
        since 06/2000 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • G••••• F••••••• M•••• A••••••••• L••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 298 to 284
        May 4, 2017 to Mar 6, 2018
      • HNW clients · unset to 30.0
        May 4, 2017 to Mar 6, 2018
      • Individual clients · unset to 33.0
        May 4, 2017 to Mar 6, 2018
      • Other offices · unset to 0.0
        May 4, 2017 to Mar 6, 2018
      • Discretionary RAUM · $112M to $129M
        May 4, 2017 to Mar 6, 2018
      • HNW RAUM · unset to 115754556.0
        May 4, 2017 to Mar 6, 2018
      • Individual RAUM · unset to 12814896.0
        May 4, 2017 to Mar 6, 2018
      • RAUM · $112M to $129M
        May 4, 2017 to Mar 6, 2018
      • Accounts · 292 to 298
        Oct 26, 2016 to Mar 13, 2017
      • Discretionary RAUM · $114M to $112M
        Oct 26, 2016 to Mar 13, 2017
      • RAUM · $114M to $112M
        Oct 26, 2016 to Mar 13, 2017
      • Accounts · 273 to 292
        Jun 13, 2012 to Oct 20, 2016
      • Advisory employees · unset to 1.0
        Jun 13, 2012 to Oct 20, 2016
      • Employees · unset to 2.0
        Jun 13, 2012 to Oct 20, 2016
      • State-registered IARs · 0 to 2
        Jun 13, 2012 to Oct 20, 2016
      • Discretionary RAUM · $80.0M to $114M
        Jun 13, 2012 to Oct 20, 2016
      • RAUM · $80.0M to $114M
        Jun 13, 2012 to Oct 20, 2016
      • Advisory activities · 2 to 3
        May 18, 2012 to Jun 11, 2012
      Signals
      1 dated events
      • ••• Locked
        Oct 20, 2016 · 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.
      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