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

W••• C•••• A•••• M•••••••••

Former SEC-registered adviserMontecito, CaliforniaCRD 111982SEC 801-58232IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$7.8M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$7.8M gross assets
History
11 filings and snapshots on the tape
RAUM$7.8M as of Mar 31, 2015
Mar 30, 2012$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)4 as of Mar 31, 2015
Apr 1, 20137 then
Private funds1 as of Mar 31, 2015
Mar 30, 20121 then
RAUM -96% over the last fiscal year-65% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$3.9MderivedRAUM 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
$7.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-96%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$7.8M, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
0reported
Wrap fee programs
noreported
Custody of client assets
$7.8M for 1 clientsreported
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
Every departureEvery arrival
Private funds
5 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
1••• S•••• S••••• H•••• I••••••••• L•••Real Estate Fund$17.7M35Oct 16, 2012
M•••••••• V•••••• P•••••••• L••no longer reportedPrivate Equity Fund$13.0M5Oct 16, 2012
W••• C•••• O••••••••• F•••• L••Hedge Fund$7.8M69Mar 30, 2012
1••• M••••••• S••••• I••••••••• L•Real Estate Fund$3.0M17Jan 15, 2014
C••••••••• L••Private Equity Fund$1.6M30Apr 1, 2013
Owners and control persons
Schedule A and B, latest filing
  • H••••••• L••••• W•••••• · President, Director, Chief Compliance Officercontrol
    since 11/2000 · owns 50% to 75%
  • L•••• R•••• A•••••• · Chief Investment Officer & Directorcontrol
    since 11/2006 · owns 5% to 10%
  • F••••••••• A•••••• B•••••• · Owner
    since 03/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
  • A••••• F••••••••
    pooled vehicle sponsorn
  • J••• P•••••
    pooled vehicle sponsorn
  • L•••• H••••••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · $37.4M to $7.8M
    Dec 16, 2014 to Mar 31, 2015
  • Employees · 3 to 4
    Dec 16, 2014 to Mar 31, 2015
  • Insurance-licensed employees · 0 to 1
    Dec 16, 2014 to Mar 31, 2015
  • State-registered IARs · 1 to 2
    Dec 16, 2014 to Mar 31, 2015
  • Private funds · 2 to 1
    Dec 16, 2014 to Mar 31, 2015
  • Discretionary RAUM · $37.4M to $7.8M
    Dec 16, 2014 to Mar 31, 2015
  • RAUM · $37.4M to $7.8M
    Dec 16, 2014 to Mar 31, 2015
  • Accounts · 99 to 1
    Jul 1, 2014 to Dec 16, 2014
  • Advisory employees · 4 to 2
    Jul 1, 2014 to Dec 16, 2014
  • Advisory activities · 3 to 1
    Jul 1, 2014 to Dec 16, 2014
  • Assets in custody · $59.9M to $37.4M
    Jul 1, 2014 to Dec 16, 2014
  • Employees · 6 to 3
    Jul 1, 2014 to Dec 16, 2014
  • State-registered IARs · 2 to 1
    Jul 1, 2014 to Dec 16, 2014
  • Private funds · 4 to 2
    Jul 1, 2014 to Dec 16, 2014
  • Discretionary RAUM · $162M to $37.4M
    Jul 1, 2014 to Dec 16, 2014
  • Non-discretionary RAUM · $13.0M to $0
    Jul 1, 2014 to Dec 16, 2014
  • RAUM · $175M to $37.4M
    Jul 1, 2014 to Dec 16, 2014
  • Assets in custody · $60.2M to $59.9M
    Jan 15, 2014 to Mar 31, 2014
  • Employees · 7 to 6
    Jan 15, 2014 to Mar 31, 2014
  • Discretionary RAUM · $164M to $162M
    Jan 15, 2014 to Mar 31, 2014
  • RAUM · $177M to $175M
    Jan 15, 2014 to Mar 31, 2014
  • Related insurance company · true to false
    Jan 15, 2014 to Mar 31, 2014
  • Accounts · 154 to 99
    Dec 13, 2013 to Jan 15, 2014
  • Assets in custody · $55.4M to $60.2M
    Dec 13, 2013 to Jan 15, 2014
  • Discretionary RAUM · $179M to $164M
    Dec 13, 2013 to Jan 15, 2014
  • Non-discretionary RAUM · $18.2M to $13.0M
    Dec 13, 2013 to Jan 15, 2014
  • RAUM · $197M to $177M
    Dec 13, 2013 to Jan 15, 2014
  • Accounts · 197 to 154
    Oct 16, 2012 to Apr 1, 2013
  • Advisory employees · unset to 4.0
    Oct 16, 2012 to Apr 1, 2013
  • Assets in custody · $77.3M to $55.4M
    Oct 16, 2012 to Apr 1, 2013
  • Employees · unset to 7.0
    Oct 16, 2012 to Apr 1, 2013
  • State-registered IARs · 0 to 2
    Oct 16, 2012 to Apr 1, 2013
  • Private funds · 3 to 4
    Oct 16, 2012 to Apr 1, 2013
  • Discretionary RAUM · $191M to $179M
    Oct 16, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $18.2M to $18.2M
    Oct 16, 2012 to Apr 1, 2013
  • RAUM · $209M to $197M
    Oct 16, 2012 to Apr 1, 2013
  • Related insurance company · false to true
    Oct 16, 2012 to Apr 1, 2013
  • Accounts · 166 to 197
    Mar 30, 2012 to Oct 16, 2012
  • Advisory activities · 4 to 3
    Mar 30, 2012 to Oct 16, 2012
  • Assets in custody · $47.5M to $77.3M
    Mar 30, 2012 to Oct 16, 2012
Signals
No event on the tape.
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

W••• C•••• A•••• M••••••••• 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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