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
M••••••• • C•••••• L••
Latest filing Sep 16, 2026
First filing on the tape Dec 15, 2011 · 37 filings
SEC status approved since Oct 11, 2001
RAUM
$7.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$17.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.6B
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$7.6B as of Jul 24, 2026
Mar 30, 2012$5.5B then
HNW client RAUM$12.3M as of Jul 24, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Jul 24, 2026
Apr 1, 20130 then
Employees (5.A)26 as of Jul 24, 2026
Apr 1, 201325 then
Private funds8 as of Jul 24, 2026
Mar 31, 20151 then
RAUM +2.5% over the last fiscal year+4.8% a year over threeIARs 1 to 1offices 3 to 2
Practice profile
derived from the filing of Sep 16, 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
- $7.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $817,128derivedHNW RAUM over HNW clients
- Average account
- $34.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 26.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $110M, 3 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$3.0B61%
- Pooled investment vehicles$1.9B38%
- High-net-worth individuals$12.3M0.2%
- Individuals$4.9M0.1%
- Individual clients
- 26reported
- HNW clients
- 15reported
- Pension plan clients
- 32reported
- Charitable clients
- n/areported
- Accounts
- 221reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.25 institutional_share=0.4 related_bd=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• F• S•••• S••••••••• | Coral Gables , Fl | Oct 12, 2012 | 19 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A•••••••• E••• K••• to P••••••••• S••••••••• C•••••••••Apr 30, 2020 · Other
Joined, latest
- A•••••••• E••• K••• from C••••• S••••• S••••••••• •••• L••Jul 3, 2015 · Other
- J••• F• S•••• S••••••••• from N•• Y••• L••• I••••••••• M••••••••• L••Oct 12, 2012 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• I••••••••• F••• I• L••• | Other Private Fund | $991M | 58 | Mar 31, 2015 |
| M••••••• I••••••••• F••• I• ••••••• L• | Other Private Fund | $109M | 3 | Mar 30, 2023 |
| M••••••• I••••••••• F••• I• •••••• L• | Other Private Fund | $34.3M | 0 | Mar 30, 2023 |
| M••••••• V•••••• F••• V•• L•• | Venture Capital Fund | $9.6M | 2 | Mar 30, 2021 |
| M••••••• O••••••••• F•••• L• | Other Private Fund | $7.0M | 24 | Mar 29, 2019 |
| M••••••• I••••••••• F••• I• L• | Other Private Fund | $0 | 0 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D••••• T•••••• A•••••• · President Of Equity Division, Portfolio Managercontrolsince 11/2020 · owns less than 5%
- J••••• A•••••• S• · General Counsel And Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- L•••••• S••••• T••••• · Co-Chief Investment Officer Of Equity Division, Portfolio Managercontrolsince 11/2020 · owns less than 5%
- M•••••• B••••• T••••• · President, Board Of Managers, Membercontrolsince 09/2002 · owns 10% to 25%
- R•••• R•••• J•••• · Co-Chief Investment Officer Of Equity Division, Portfolio Managercontrolsince 11/2020 · owns less than 5%
- S••••••••• J•••• F• S•••• · Ceo & Board Of Managerscontrolsince 01/2008 · owns 10% to 25%
- T•••••• K••• H•••••• · Chief Investment Officercontrolsince 07/2020 · owns less than 5%
Entity owners
- M•• H••••••• G•• L•• · Ownerdirect · owns less than 5%
- M•• H•••••••• L• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••••• • C•••••• C•••••• A••••••• L••broker-dealery
- M••••••• I••••••••• F••• I• G•• L••pooled vehicle sponsory
- M••••••• I••••••••• F••• I• •••••• G• L••pooled vehicle sponsory
- M••••••• I••••••••• F••• I• G• L••pooled vehicle sponsory
- M••••••• N•••• G• I•• L••pooled vehicle sponsory
- M••••••• O••••••••• F••• G•• L••pooled vehicle sponsory
- M••••••• V•••••• F••• V•• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Thousand Oaks, CA3 employees
- Burbank, CA2 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 24, 2026 to Sep 16, 2026
- Private funds · 8 to unsetJul 24, 2026 to Sep 16, 2026
- Succession · false to unsetJul 24, 2026 to Sep 16, 2026
- Accounts · 238 to 221Jun 12, 2025 to Mar 30, 2026
- Advisory employees · 16 to 14Jun 12, 2025 to Mar 30, 2026
- BD registered reps · 11 to 9Jun 12, 2025 to Mar 30, 2026
- HNW clients · 27 to 15Jun 12, 2025 to Mar 30, 2026
- Individual clients · 36 to 26Jun 12, 2025 to Mar 30, 2026
- Pension plan clients · 29 to 32Jun 12, 2025 to Mar 30, 2026
- Assets in custody · $116M to $110MJun 12, 2025 to Mar 30, 2026
- Employees · 29 to 26Jun 12, 2025 to Mar 30, 2026
- Other offices · 3 to 2Jun 12, 2025 to Mar 30, 2026
- Private funds · 6 to 8Jun 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $7.4B to $7.6BJun 12, 2025 to Mar 30, 2026
- HNW RAUM · $34.3M to $12.3MJun 12, 2025 to Mar 30, 2026
- Individual RAUM · $9.4M to $4.9MJun 12, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $5.9M to $5.3MJun 12, 2025 to Mar 30, 2026
- Pension RAUM · $2.8B to $3.0BJun 12, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.0B to $1.9BJun 12, 2025 to Mar 30, 2026
- RAUM · $7.4B to $7.6BJun 12, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jun 12, 2025
- Advisory employees · 19 to 16Dec 9, 2024 to Mar 26, 2025
- BD registered reps · 12 to 11Dec 9, 2024 to Mar 26, 2025
- Individual clients · 23 to 36Dec 9, 2024 to Mar 26, 2025
- Pension plan clients · 28 to 29Dec 9, 2024 to Mar 26, 2025
- Assets in custody · $111M to $116MDec 9, 2024 to Mar 26, 2025
- Employees · 31 to 29Dec 9, 2024 to Mar 26, 2025
- State-registered IARs · 0 to 1Dec 9, 2024 to Mar 26, 2025
- Other offices · 2 to 3Dec 9, 2024 to Mar 26, 2025
- Discretionary RAUM · $7.0B to $7.4BDec 9, 2024 to Mar 26, 2025
- HNW RAUM · $30.5M to $34.3MDec 9, 2024 to Mar 26, 2025
- Individual RAUM · $3.3M to $9.4MDec 9, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $5.5M to $5.9MDec 9, 2024 to Mar 26, 2025
- Pension RAUM · $2.2B to $2.8BDec 9, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $2.0B to $2.0BDec 9, 2024 to Mar 26, 2025
- RAUM · $7.1B to $7.4BDec 9, 2024 to Mar 26, 2025
- Accounts · 176 to 238Oct 13, 2023 to Mar 21, 2024
- Advisory employees · 18 to 19Oct 13, 2023 to Mar 21, 2024
- HNW clients · 9 to 27Oct 13, 2023 to Mar 21, 2024
- Individual clients · 19 to 23Oct 13, 2023 to Mar 21, 2024
Signals
10 dated events
- Anthony Thomas Derse (President Of Equity Division, Portfolio Manager) appeared on Schedule A of M••••••• • C•••••• L••Nov 10, 2020 · Control person joined · fact
- Thomas Scott Larson (Co-Chief Investment Officer Of Equity Division, Portfolio Manager) appeared on Schedule A of M••••••• • C•••••• L••Nov 10, 2020 · Control person joined · fact
- Jared Ryan Ross (Co-Chief Investment Officer Of Equity Division, Portfolio Manager) appeared on Schedule A of M••••••• • C•••••• L••Nov 10, 2020 · Control person joined · fact
- Carmen Racy-Choy (Chief Investment Officer) no longer on Schedule A of M••••••• • C•••••• L•• (listed 2020-03-30, absent 2020-07-28)Jul 28, 2020 · Control person left · inference
- Hiroshi Ken Tsuboi (Chief Investment Officer) appeared on Schedule A of M••••••• • C•••••• L••Jul 28, 2020 · Control person joined · fact
- Sig Mark Johnson (Managing Director, Member) no longer on Schedule A of M••••••• • C•••••• L•• (listed 2019-03-29, absent 2019-05-17)May 17, 2019 · Control person left · inference
- Robert Mark Taylor (Managing Director, Member) no longer on Schedule A of M••••••• • C•••••• L•• (listed 2019-03-29, absent 2019-05-17)May 17, 2019 · Control person left · inference
- Li-Wei Tony Chen (Controller) no longer on Schedule A of M••••••• • C•••••• L•• (listed 2019-03-29, absent 2019-05-17)May 17, 2019 · Control person left · inference
- Joseph Ronald Bucci (Managing Director, Member) no longer on Schedule A of M••••••• • C•••••• L•• (listed 2019-03-29, absent 2019-05-17)May 17, 2019 · Control person left · inference
- Keith Brian Jackson (Managing Director, Member) no longer on Schedule A of M••••••• • C•••••• L•• (listed 2019-03-29, absent 2019-05-17)May 17, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M••••••• • C•••••• L•• · Private Equityshared crd · intermediary
- M••••••• • C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-788-9300reportedpublic record, Form ADV, Sep 16, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $7.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026