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•• C•••••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 128621SEC 801-65581IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$247M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$420M gross assets
History
6 filings and snapshots on the tape
RAUM$247M as of Mar 30, 2015
Mar 29, 2012$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 29, 20120 then
Employees (5.A)7 as of Mar 30, 2015
Apr 1, 20138 then
Private funds5 as of Mar 30, 2015
Mar 29, 20125 then
RAUM +2.2% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$49.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.2%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$247M, 5 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$247M for 5 clientsreported
Compensation
% of AUM, 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
5 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
L•• C••••••• L•••Hedge Fund$59.4M12Mar 29, 2012
L•• C••••••• L•••Hedge Fund$51.0M11Mar 29, 2012
A•• C•••••• I•• L•••Hedge Fund$27.4M14Mar 29, 2012
A•• C•••••• O•••••••• L•••Hedge Fund$12.1M6Mar 29, 2012
A•• C•••••• I• L•••Hedge Fund$9.2M43Mar 29, 2012
Owners and control persons
Schedule A and B, latest filing
  • F••••••• J••••••• S••• · Manager, Chief Compliance Officercontrol
    since 09/2003 · owns less than 5%
  • G•••• L•••••••• B••••••• · Managercontrol
    since 09/2003 · owns less than 5%
  • S••••••••• R••• D•••• · Managercontrol
    since 02/2010 · owns less than 5%
  • F••••••• J••••••• S••• · Membercontrol
    since 09/2003 · owns 75% or more of F•••••••• L••
  • G•••• L•••••••• B••••••• · Membercontrol
    since 09/2003 · owns 75% or more of J•••••• L••
  • S••••••••• R••• D•••• · Membercontrol
    since 02/2010 · owns 75% or more of A•• A••••••• L••
Entity owners
  • A•• A••••••• L•• · Member
    direct · owns 25% to 50%
  • F•••••••• L•• · Member
    direct · owns 25% to 50%
  • J•••••• L•• · Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
  • A•• C•••••• P•••••••• L••
    bankpooled vehicle sponsory
  • F•••••• C•••••• C•••••••••
    real estaten
  • J•• F••••••••• L••
    investment advisernRAUM $2.0B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · $242M to $247M
    Apr 25, 2014 to Mar 30, 2015
  • Employees · 8 to 7
    Apr 25, 2014 to Mar 30, 2015
  • Discretionary RAUM · $232M to $247M
    Apr 25, 2014 to Mar 30, 2015
  • RAUM · $232M to $247M
    Apr 25, 2014 to Mar 30, 2015
  • Related bank · false to true
    Apr 25, 2014 to Mar 30, 2015
  • Discretionary RAUM · $242M to $232M
    Mar 28, 2014 to Apr 25, 2014
  • RAUM · $242M to $232M
    Mar 28, 2014 to Apr 25, 2014
  • Assets in custody · $191M to $242M
    Nov 5, 2013 to Mar 28, 2014
  • Discretionary RAUM · $202M to $242M
    Nov 5, 2013 to Mar 28, 2014
  • RAUM · $202M to $242M
    Nov 5, 2013 to Mar 28, 2014
  • Advisory employees · unset to 5.0
    Mar 29, 2012 to Apr 1, 2013
  • BD registered reps · unset to 1.0
    Mar 29, 2012 to Apr 1, 2013
  • Assets in custody · $118M to $191M
    Mar 29, 2012 to Apr 1, 2013
  • Employees · unset to 8.0
    Mar 29, 2012 to Apr 1, 2013
  • Discretionary RAUM · $144M to $202M
    Mar 29, 2012 to Apr 1, 2013
  • RAUM · $144M to $202M
    Mar 29, 2012 to Apr 1, 2013
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