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

A••••••• F••••

Former SEC-registered adviserLa Jolla, CaliforniaCRD 128219SEC 801-73015IAPD
Legal name A••••••• P•••••••• M••••••••• I•••
Latest filing Apr 10, 2014
First filing on the tape Dec 23, 2011 · 17 filings
RAUM
$530M
reported, Item 5.F
Discretionary
77%
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
19
$530M gross assets
History
17 filings and snapshots on the tape
RAUM$502M as of Mar 20, 2014
Feb 23, 2012$263M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2014
Feb 23, 20120 then
Employees (5.A)8 as of Mar 20, 2014
Mar 14, 20137 then
Private funds16 as of Mar 20, 2014
Feb 23, 201216 then
RAUM +50% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Apr 10, 2014; every figure names its basis
RAUM per advisor
$265MderivedRAUM 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
$29.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+42%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$502M, 16 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.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
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$502M for 16 clientsreported
Compensation
% of AUMreported
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
9 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
A••••••• L••• S•••• A•••• F••• L•Hedge Fund$59.6M129Dec 23, 2011
A••••••• L••• S•••• A•••• F••• L•Hedge Fund$22.8M129Apr 10, 2014
A••••••• L••• S•••• A•••• F••• L••Hedge Fund$11.9M54Dec 23, 2011
A••••••• E••••• L••• S•••• F••• L•no longer reportedHedge Fund$8.1M37Dec 23, 2011
A••••••• E••••••• M•••••• F••• L•Hedge Fund$4.5M31Dec 23, 2011
A••••••• L••• S•••• A•••• F••• L••Hedge Fund$4.4M56Apr 10, 2014
A•• • E••••• L••• S•••• F••• L••no longer reportedHedge Fund$2.0M7Dec 23, 2011
A•• • P•••••• A•••••••• P••• F••• L••Hedge Fund$1.4M15Dec 23, 2011
A•• • P•••••• A•••••••• P••• F••• L••Hedge Fund$1.0M15Apr 10, 2014
Owners and control persons
Schedule A and B, latest filing
  • M••••••• N••••••• T•••••• · Chief Compliance Officercontrol
    since 01/2014 · owns less than 5%
  • M••••••• D••••• P•••• · General Counselcontrol
    since 04/2005 · owns less than 5%
  • M••••••• K••••••• I••• · Chief Operating Officercontrol
    since 05/2010 · owns less than 5%
  • O••••••• M••••••• C•••••• · Vice Presidentcontrol
    since 07/2002 · owns less than 5%
  • R•••••• J•••• L••• · Chief Investment Officercontrol
    since 01/2014 · owns less than 5%
  • S••••• J••• C•••••••• · President/Treasurercontrol
    since 10/2004 · owns less than 5%
  • G••••••••• J••••••• W•••• · Shareholdercontrol
    since 04/2009 · owns 25% to 50% of A••••••• C•••••• P••••••• I• G• ••••••••• L•••
Entity owners
  • A••••••• H••••••• I••• · Shareholder
    direct · owns 75% or more
  • A••••••• H••••••• I•• I•• · Shareholder
    indirect · owns 75% or more of A••••••• Holdings Inc
  • A•••• L•••••• A••••••••• I••• · Shareholder
    indirect · owns 75% or more of A••••••• H••••••• I•• I••.
  • A•••• L•••••• H•••••••• L•• · Shareholder
    indirect · owns 75% or more of A•••• L•••••• M••••••••• I• I•••
  • A•••• L•••••• M••••••••• I• I••• · Shareholder
    indirect · owns 75% or more of A•••• L•••••• A••••••••• I•••
  • A••••••• C•••••• P••••••• I• G• ••••••••• L••• · General Partner
    indirect · owns F of A••••••• F•••••••• S••••••• F••• I•• L•
  • A••••••• F•••••••• S••••••• F••• I•• L• · Shareholder
    indirect · owns 50% to 75% of A••••••• L•••••• H•••••••• L••
  • A••••••• L•••••• C••••••••• L• · Shareholder
    indirect · owns 25% to 50% of A••••••• L•••••• H•••••••• L••
  • A••••••• L•••••• H•••••••• L•• · Shareholder
    indirect · owns 25% to 50% of A•••• L•••••• H•••••••• L••
  • G•••••• C•••••• P••••••• V•• L• · Shareholder
    indirect · owns 25% to 50% of A•••• L•••••• H•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 16 to 18
    Mar 20, 2014 to Apr 10, 2014
  • Private funds · 16 to 19
    Mar 20, 2014 to Apr 10, 2014
  • Discretionary RAUM · $385M to $408M
    Mar 20, 2014 to Apr 10, 2014
  • Non-discretionary RAUM · $117M to $122M
    Mar 20, 2014 to Apr 10, 2014
  • RAUM · $502M to $530M
    Mar 20, 2014 to Apr 10, 2014
  • Accounts · 18 to 16
    Jan 28, 2014 to Mar 20, 2014
  • BD registered reps · 3 to 4
    Jan 28, 2014 to Mar 20, 2014
  • Assets in custody · $452M to $502M
    Jan 28, 2014 to Mar 20, 2014
  • Employees · 6 to 8
    Jan 28, 2014 to Mar 20, 2014
  • Private funds · 18 to 16
    Jan 28, 2014 to Mar 20, 2014
  • Discretionary RAUM · $312M to $385M
    Jan 28, 2014 to Mar 20, 2014
  • Non-discretionary RAUM · $78.9M to $117M
    Jan 28, 2014 to Mar 20, 2014
  • RAUM · $391M to $502M
    Jan 28, 2014 to Mar 20, 2014
  • Advisory employees · 7 to 6
    Jan 14, 2014 to Jan 28, 2014
  • BD registered reps · 4 to 3
    Jan 14, 2014 to Jan 28, 2014
  • Employees · 7 to 6
    Jan 14, 2014 to Jan 28, 2014
  • Advisory employees · 5 to 7
    Sep 18, 2013 to Jan 13, 2014
  • Employees · 5 to 7
    Sep 18, 2013 to Jan 13, 2014
  • Discretionary RAUM · $347M to $312M
    Sep 18, 2013 to Jan 13, 2014
  • Non-discretionary RAUM · $105M to $78.9M
    Sep 18, 2013 to Jan 13, 2014
  • RAUM · $452M to $391M
    Sep 18, 2013 to Jan 13, 2014
  • Accounts · 14 to 18
    Apr 15, 2013 to Sep 18, 2013
  • Advisory employees · 7 to 5
    Apr 15, 2013 to Sep 18, 2013
  • BD registered reps · 6 to 4
    Apr 15, 2013 to Sep 18, 2013
  • Assets in custody · $347M to $452M
    Apr 15, 2013 to Sep 18, 2013
  • Employees · 7 to 5
    Apr 15, 2013 to Sep 18, 2013
  • State-registered IARs · 3 to 2
    Apr 15, 2013 to Sep 18, 2013
  • Private funds · 14 to 18
    Apr 15, 2013 to Sep 18, 2013
  • Discretionary RAUM · $277M to $347M
    Apr 15, 2013 to Sep 18, 2013
  • Non-discretionary RAUM · $76.5M to $105M
    Apr 15, 2013 to Sep 18, 2013
  • RAUM · $354M to $452M
    Apr 15, 2013 to Sep 18, 2013
  • Accounts · 15 to 14
    Dec 13, 2012 to Mar 14, 2013
  • Assets in custody · $281M to $347M
    Dec 13, 2012 to Mar 14, 2013
  • Discretionary RAUM · $260M to $277M
    Dec 13, 2012 to Mar 14, 2013
  • Non-discretionary RAUM · $66.6M to $76.5M
    Dec 13, 2012 to Mar 14, 2013
  • RAUM · $327M to $354M
    Dec 13, 2012 to Mar 14, 2013
  • Accounts · 14 to 15
    Oct 8, 2012 to Nov 30, 2012
  • Advisory employees · unset to 7.0
    Oct 8, 2012 to Nov 30, 2012
  • BD registered reps · unset to 6.0
    Oct 8, 2012 to Nov 30, 2012
  • Employees · unset to 7.0
    Oct 8, 2012 to Nov 30, 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