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

H••••••••• I•••• A• C••••••••• C•••••••••

Former SEC-registered adviserCalabasas, CaliforniaCRD 112226SEC 801-55793websiteIAPD
Latest filing Mar 27, 2025
First filing on the tape Mar 22, 2012 · 15 filings
SEC status approved since Sep 8, 1998
RAUM
$2.4B
reported, Item 5.F
Discretionary
0.0%
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
24
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.4B as of Mar 27, 2025
Mar 22, 2012$575M then
HNW client RAUM$0 as of Mar 27, 2025
Mar 30, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Mar 22, 20130 then
Employees (5.A)24 as of Mar 27, 2025
Mar 22, 201322 then
Private funds15 as of Mar 27, 2025
Mar 22, 201214 then
RAUM +36% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; 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
$162MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+36%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$35.5M, 15 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.4B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$35.5M for 15 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
      43 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• H••••••••• P••••• B•••••• L•• O•••••• L••Real Estate Fund$574M2Mar 29, 2021
      H••••••••• H•••••• P••••••• I••• L••Real Estate Fund$459M2Mar 22, 2012
      R••••••••• P••••• B•••••• L•• O••••• J• L••Real Estate Fund$309M2Mar 30, 2022
      O••••• L•• O••••• J•••• V•••••• I•• L••Real Estate Fund$160M2Mar 30, 2022
      B•••• A••••• L••Real Estate Fund$117M3Mar 30, 2023
      K•••• L•• O••••• P••• 0•• L••Real Estate Fund$73.9M1Mar 28, 2024
      N•••• L•• O••••• J•••• V•••••• V• L••no longer reportedReal Estate Fund$63.1M2Mar 31, 2020
      F•••• L•• O••••• J•••• V••••••••• P•••• L••Real Estate Fund$51.1M3Mar 30, 2022
      F•••• L•• O••••• J•••• V••••••••• L••Real Estate Fund$42.7M3Mar 29, 2021
      N•••• L•• O••••• J•••• V•••••• V••• L••Real Estate Fund$41.6M2Mar 30, 2022
      B•••• R•• L••• V••••••• L••no longer reportedReal Estate Fund$26.9M11Mar 28, 2019
      N•••• L•• O••••• J•••• V•••••• I• L••no longer reportedReal Estate Fund$25.8M5Mar 28, 2019
      N•••• L•• O••••• J•••• V•••••• V•• L••no longer reportedReal Estate Fund$19.3M2Mar 29, 2021
      H••••••••• H•••••• P••••••• I•• L••Real Estate Fund$16.2M2Mar 22, 2012
      E•••• L•• O••••• J•••• V••••••• L••no longer reportedReal Estate Fund$13.2M2Mar 31, 2020
      E•••• L•• O••••• J•••• V•••••• I•• L••no longer reportedReal Estate Fund$10.7M2Mar 31, 2020
      H••••••••• H•••••• P••••••• X•• L••Hedge Fund$9.1M2Mar 27, 2015
      O••••• L•• O••••• J•••• V••••••• L••Real Estate Fund$7.0M2Mar 29, 2021
      N•••• L•• O••••• J•••• V•••••• I•• L••no longer reportedReal Estate Fund$6.9M2Mar 31, 2020
      R••••••••• C••••• O••••••••• I•• L••no longer reportedReal Estate Fund$6.7M9Mar 30, 2017
      B•••• L••• V•••••• I••• L••no longer reportedReal Estate Fund$6.6M10Mar 28, 2019
      N•••• L•• O••••• J•••• V•••••• V•••• L••Real Estate Fund$6.1M2Mar 30, 2022
      H•••• F•••••• C••••••• L••Real Estate Fund$5.9M2Mar 29, 2021
      N•••• L•• O••••• J•••• V•••••• I••• L••Real Estate Fund$5.6M2Mar 28, 2019
      H••••••••• H•••••• P••••••• X•• L••no longer reportedReal Estate Fund$5.5M1Mar 22, 2013
      B•••• L••• V•••••• I•• L••no longer reportedReal Estate Fund$3.0M8Mar 29, 2018
      B•••• L••• V••••••• L••no longer reportedReal Estate Fund$2.0M9Mar 29, 2018
      N•••• L•• O••••• J•••• V•••••• I•• L••no longer reportedReal Estate Fund$1.8M2Mar 28, 2019
      H••••••••• • S•••• H••••••••• I••••••••• L•• •••••• 2•Real Estate Fund$990,0002Mar 22, 2012
      H••••••••• M••••••••• R••••••••• V••••••••• F••• I••• L••Real Estate Fund$869,0006Mar 22, 2012
      H••••••••• • O•••••• H••••••••• I••••••••• L••no longer reportedReal Estate Fund$772,0002Mar 22, 2012
      H••••••••• L•• O••••• J•••• V••••••• L••no longer reportedReal Estate Fund$724,0002Mar 29, 2016
      H••••••••• • R•• H••••••••• I•••••••• L••no longer reportedReal Estate Fund$610,0002Mar 22, 2012
      H•••• H•••••• P•••••••• L••no longer reportedReal Estate Fund$385,0002Mar 30, 2017
      H••••••••• • M••• H••••••••• I••••••••• L••no longer reportedReal Estate Fund$243,00013Mar 22, 2012
      H••••••••• P••••••••• F•••• L••no longer reportedReal Estate Fund$125,0002Mar 22, 2012
      L••••••• L•••• L••Real Estate Fund$29,0001Mar 27, 2015
      H••••••••• • S•••• H••••••••• I••••••••• L•• •••••• 1•no longer reportedReal Estate Fund$26,0003Mar 22, 2012
      H••••••••• H•••••• P•••••••• L•••no longer reportedReal Estate Fund$13,0002Mar 22, 2012
      H••••••••• S••••••• A•••••• P•••••••• L•••no longer reportedReal Estate Fund$03Mar 22, 2012
      All funds of H••••••••• I•••• A• C••••••••• C•••••••••
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• M•••• A•••• · Ceocontrol
        since 12/2022 · owns 75% or more
      • P•••••• S••••• · Chief Compliance Officer
        since 01/2023 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••••••• P••••••••• • S•• L•
        pooled vehicle sponsory
      • H••••••••• P••••••••• X•• L•
        pooled vehicle sponsory
      • H••••••••• P••••••••• X•••• L•
        pooled vehicle sponsory
      • H••••••••• P••••••••• L•••
        pooled vehicle sponsory
      • H••••••••• P••••••••• L•
        pooled vehicle sponsory
      • H••••••••• R••••••••• P••••••••• I••• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Mission Viejo, CA6 employees
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 15
        Mar 28, 2024 to Mar 27, 2025
      • Advisory employees · 10 to 8
        Mar 28, 2024 to Mar 27, 2025
      • Pooled vehicle clients · 12 to 15
        Mar 28, 2024 to Mar 27, 2025
      • Assets in custody · $19.8M to $35.5M
        Mar 28, 2024 to Mar 27, 2025
      • Employees · 23 to 24
        Mar 28, 2024 to Mar 27, 2025
      • Financial planning clients · 0 to 0
        Mar 28, 2024 to Mar 27, 2025
      • Private funds · 12 to 15
        Mar 28, 2024 to Mar 27, 2025
      • Non-discretionary RAUM · $1.8B to $2.4B
        Mar 28, 2024 to Mar 27, 2025
      • Pooled vehicle RAUM · $1.8B to $2.4B
        Mar 28, 2024 to Mar 27, 2025
      • RAUM · $1.8B to $2.4B
        Mar 28, 2024 to Mar 27, 2025
      • Accounts · 17 to 12
        Jun 5, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 17 to 12
        Jun 5, 2023 to Mar 28, 2024
      • Assets in custody · $16.4M to $19.8M
        Jun 5, 2023 to Mar 28, 2024
      • Employees · 22 to 23
        Jun 5, 2023 to Mar 28, 2024
      • Private funds · 17 to 12
        Jun 5, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $2.0B to $1.8B
        Jun 5, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $2.0B to $1.8B
        Jun 5, 2023 to Mar 28, 2024
      • RAUM · $2.0B to $1.8B
        Jun 5, 2023 to Mar 28, 2024
      • Accounts · 18 to 17
        Mar 30, 2022 to Mar 30, 2023
      • Advisory activities · 2 to 1
        Mar 30, 2022 to Mar 30, 2023
      • Charity clients · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Corporate clients · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • HNW clients · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Individual clients · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Pension plan clients · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Pooled vehicle clients · unset to 17.0
        Mar 30, 2022 to Mar 30, 2023
      • Assets in custody · $17.2M to $16.4M
        Mar 30, 2022 to Mar 30, 2023
      • Employees · 23 to 22
        Mar 30, 2022 to Mar 30, 2023
      • Private funds · 22 to 17
        Mar 30, 2022 to Mar 30, 2023
      • HNW RAUM · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Individual RAUM · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $1.6B to $2.0B
        Mar 30, 2022 to Mar 30, 2023
      • Pension RAUM · unset to 0.0
        Mar 30, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · unset to 2007419000.0
        Mar 30, 2022 to Mar 30, 2023
      • RAUM · $1.6B to $2.0B
        Mar 30, 2022 to Mar 30, 2023
      • Accounts · 39 to 18
        Mar 29, 2021 to Mar 30, 2022
      • Assets in custody · $20.4M to $17.2M
        Mar 29, 2021 to Mar 30, 2022
      • Employees · 17 to 23
        Mar 29, 2021 to Mar 30, 2022
      • Private funds · 23 to 22
        Mar 29, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $884M to $1.6B
        Mar 29, 2021 to Mar 30, 2022
      Signals
      4 dated events
      • H••••••••• I•••• A• C••••••••• C••••••••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $2.4B)
        Feb 2, 2026 · Left the SEC roster · derived
      • H••••••••• I•••• A• C••••••••• C••••••••• reported RAUM $2.4B, up 36% from $1.8B (2024-03-28 to 2025-03-27)
        Mar 27, 2025 · RAUM change · derived
      • H••••••••• I•••• A• C••••••••• C••••••••• reported RAUM $2.0B, up 26% from $1.6B (2022-03-30 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • H••••••••• I•••• A• C••••••••• C••••••••• reported RAUM $1.6B, up 80% from $884.2M (2021-03-29 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      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
      Across the graphs

      H••••••••• I•••• A• C••••••••• C••••••••• 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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