DFX Intelligence

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G••••••• A••••••• A•••• M••••••••• I•••

Asset manager (funds and pooled vehicles)SEC-registered· Pasadena, Californiawebsite

Asset manager (funds and pooled vehicles), based in Pasadena, California, reporting $344M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $344M
Advisors: 0
RAUM change, 1 year: +6.9%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+6.9%
RAUM, one year
RAUM $322M to $344M (+6.9%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 124465 · SEC 801-61667 · 32 filingsShow

CRD 124465SEC 801-61667First filing on the tape Mar 28, 2012, latest Mar 30, 2026SEC status approved since Dec 10, 2002IAPD

RAUM

$344M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

24 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM +8.1% a year over three years · the tape starts Mar 28, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$344M as of Mar 30, 2026

Mar 28, 2012$542M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 28, 20120 then

Employees (5.A)41 as of Mar 30, 2026

Mar 26, 201313 then

Private funds: no history

RAUM +6.9% over the last fiscal year+8.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $28.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +6.9%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 assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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

100% investment companies

The breakdown by client type, and the client counts1 client typesShow

Investment companies$344M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 12reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••••• J••••• J••••• · Chief Executive Officer, Chief Compliance Officer (10/2004)control
since 11/2002 · owns 25% to 50%
G•••••••• E•••••• B••••••• · Directorcontrol
since 01/2020 · owns less than 5%
G•••••••• T••••••• W••••••• N••••• · Chairman, Chief Investment Officercontrol
since 11/2002 · owns 25% to 50%
H••••••• E••••• · Directorcontrol
since 04/2003 · owns 10% to 25%
R••••••••• G••••• A••••• D•••• · Chief Financial Officercontrol
since 10/2005 · owns less than 5%

Related persons

Schedule D 7.A

G••••••• A•••• M••••••••• L•••
investment advisern
G••••••• C•••••• M••••••••• L••••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

London, United Kingdom12 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count surgeChange between filings · filing Mar 30, 2026
employees (Item 5.A) moved from 24.0 to 41.0 (+71.0%) between the annual amendments of 2025-03-18 and 2026-03-30; the peer median change was 0.0% (391 comparable advisers, 99.0th percentile of changes)
peers: asset managers, $100M to $500M (391) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 9 to 12
Dec 5, 2025 to Mar 30, 2026
Advisory employees · 17 to 24
Dec 5, 2025 to Mar 30, 2026
Employees · 24 to 41
Dec 5, 2025 to Mar 30, 2026
Discretionary RAUM · $322M to $344M
Dec 5, 2025 to Mar 30, 2026
RAUM · $322M to $344M
Dec 5, 2025 to Mar 30, 2026

Full history · 55 changes

Financial planning clients · 0 to 0
Mar 18, 2025 to Jul 28, 2025
Accounts · 11 to 9
Jul 26, 2024 to Mar 18, 2025
Discretionary RAUM · $342M to $322M
Jul 26, 2024 to Mar 18, 2025
RAUM · $342M to $322M
Jul 26, 2024 to Mar 18, 2025
Discretionary RAUM · $319M to $342M
Mar 8, 2024 to Jul 26, 2024
RAUM · $319M to $342M
Mar 8, 2024 to Jul 26, 2024
Discretionary RAUM · $273M to $319M
Mar 17, 2023 to Mar 8, 2024
RAUM · $273M to $319M
Mar 17, 2023 to Mar 8, 2024
Advisory employees · 12 to 17
Oct 21, 2022 to Mar 17, 2023
Employees · 15 to 24
Oct 21, 2022 to Mar 17, 2023
Discretionary RAUM · $363M to $273M
Oct 21, 2022 to Mar 17, 2023
RAUM · $363M to $273M
Oct 21, 2022 to Mar 17, 2023
Discretionary RAUM · $411M to $363M
Nov 2, 2021 to Mar 10, 2022
RAUM · $411M to $363M
Nov 2, 2021 to Mar 10, 2022
Discretionary RAUM · $362M to $411M
Jan 27, 2021 to Mar 23, 2021
RAUM · $362M to $411M
Jan 27, 2021 to Mar 23, 2021
Accounts · 9 to 11
Mar 12, 2020 to Jan 27, 2021
Discretionary RAUM · $283M to $362M
Mar 12, 2020 to Jan 27, 2021
RAUM · $283M to $362M
Mar 12, 2020 to Jan 27, 2021
Accounts · 8 to 9
Feb 3, 2020 to Mar 12, 2020
Discretionary RAUM · $309M to $283M
Feb 3, 2020 to Mar 12, 2020
RAUM · $309M to $283M
Feb 3, 2020 to Mar 12, 2020
Discretionary RAUM · $392M to $309M
Dec 4, 2018 to Mar 7, 2019
RAUM · $392M to $309M
Dec 4, 2018 to Mar 7, 2019
HQ city · WOODLAND HILLS to PASADENA
Mar 27, 2018 to May 3, 2018
Discretionary RAUM · $415M to $392M
Jan 16, 2018 to Mar 27, 2018
RAUM · $415M to $392M
Jan 16, 2018 to Mar 27, 2018
Advisory employees · 7 to 12
Feb 28, 2017 to Jan 16, 2018
BD registered reps · 1 to 0
Feb 28, 2017 to Jan 16, 2018
Other offices · unset to 1.0
Feb 28, 2017 to Jan 16, 2018
Discretionary RAUM · $328M to $415M
Feb 28, 2017 to Jan 16, 2018
RAUM · $328M to $415M
Feb 28, 2017 to Jan 16, 2018
Discretionary RAUM · $330M to $328M
Feb 17, 2016 to Feb 28, 2017
RAUM · $330M to $328M
Feb 17, 2016 to Feb 28, 2017
Employees · 14 to 15
Dec 10, 2015 to Feb 17, 2016
Discretionary RAUM · $500M to $330M
Dec 10, 2015 to Feb 17, 2016
RAUM · $500M to $330M
Dec 10, 2015 to Feb 17, 2016
Employees · 13 to 14
Mar 27, 2014 to Feb 20, 2015
Discretionary RAUM · $380M to $500M
Mar 27, 2014 to Feb 20, 2015
RAUM · $380M to $500M
Mar 27, 2014 to Feb 20, 2015
Accounts · 9 to 8
Sep 23, 2013 to Mar 27, 2014
Discretionary RAUM · $440M to $380M
Sep 23, 2013 to Mar 27, 2014
RAUM · $440M to $380M
Sep 23, 2013 to Mar 27, 2014
Accounts · 8 to 9
Mar 28, 2012 to Mar 26, 2013
Advisory employees · unset to 7.0
Mar 28, 2012 to Mar 26, 2013
Advisory activities · 2 to 1
Mar 28, 2012 to Mar 26, 2013
BD registered reps · unset to 1.0
Mar 28, 2012 to Mar 26, 2013
Employees · unset to 13.0
Mar 28, 2012 to Mar 26, 2013
Discretionary RAUM · $542M to $440M
Mar 28, 2012 to Mar 26, 2013
RAUM · $542M to $440M
Mar 28, 2012 to Mar 26, 2013

Signals

4 dated events

••• Locked
Mar 30, 2026 · ria principal change · fact
••• Locked
Mar 30, 2026 · ria principal change · derived
••• Locked
Mar 30, 2026 · Control person left · inference
••• Locked
Feb 3, 2020 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.