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

T••••• C•••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 119171SEC 801-73027IAPD
Latest filing Feb 27, 2013
First filing on the tape Jan 4, 2012 · 7 filings
RAUM
$89.2M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$23.5M as of Jan 30, 2013
Apr 26, 2012$26.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 30, 2013
Apr 26, 20120 then
Employees (5.A): 1
Private funds: 1
RAUM +233% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Feb 27, 2013; every figure names its basis
RAUM per advisor
$44.6MderivedRAUM 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
$3.7MderivedRAUM 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
-12%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
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
24reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T••••• C•••••• L•Hedge Fund$00Jan 4, 2012
Owners and control persons
Schedule A and B, latest filing
  • W••••• N•••••• A••• · Managing Member - Ccocontrol
    since 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 9 to 24
    Jan 30, 2013 to Feb 27, 2013
  • Advisory employees · 1 to 2
    Jan 30, 2013 to Feb 27, 2013
  • Advisory activities · 1 to 3
    Jan 30, 2013 to Feb 27, 2013
  • Employees · 1 to 2
    Jan 30, 2013 to Feb 27, 2013
  • State-registered IARs · 1 to 2
    Jan 30, 2013 to Feb 27, 2013
  • Discretionary RAUM · $23.5M to $89.2M
    Jan 30, 2013 to Feb 27, 2013
  • RAUM · $23.5M to $89.2M
    Jan 30, 2013 to Feb 27, 2013
  • Accounts · 7 to 9
    Oct 9, 2012 to Jan 30, 2013
  • Advisory employees · unset to 1.0
    Oct 9, 2012 to Jan 30, 2013
  • BD registered reps · unset to 0.0
    Oct 9, 2012 to Jan 30, 2013
  • Employees · unset to 1.0
    Oct 9, 2012 to Jan 30, 2013
  • State-registered IARs · 0 to 1
    Oct 9, 2012 to Jan 30, 2013
  • Discretionary RAUM · $26.5M to $23.5M
    Oct 9, 2012 to Jan 30, 2013
  • RAUM · $26.5M to $23.5M
    Oct 9, 2012 to Jan 30, 2013
  • Private funds · 1 to unset
    Apr 26, 2012 to Oct 9, 2012
  • Discretionary RAUM · $26.8M to $26.5M
    Apr 26, 2012 to Oct 9, 2012
  • RAUM · $26.8M to $26.5M
    Apr 26, 2012 to Oct 9, 2012
  • Accounts · 0 to 7
    Mar 23, 2012 to Apr 26, 2012
  • Discretionary RAUM · $0 to $26.8M
    Mar 23, 2012 to Apr 26, 2012
  • RAUM · $0 to $26.8M
    Mar 23, 2012 to Apr 26, 2012
  • Advisory activities · 2 to 1
    Jan 4, 2012 to Jan 11, 2012
  • Assets in custody · unset to 0.0
    Jan 4, 2012 to Jan 11, 2012
Signals
No event on the tape.
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