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

F•••••• C•••••• M••••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 130165SEC 801-79772IAPD
Latest filing Sep 24, 2015
First filing on the tape May 14, 2014 · 7 filings
RAUM
$75.7M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$70.5M gross assets
History
7 filings and snapshots on the tape
RAUM$75.7M as of Sep 24, 2015
May 14, 2014$124M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 24, 2015
May 14, 20141 then
Employees (5.A)3 as of Sep 24, 2015
May 14, 20143 then
Private funds2 as of Sep 24, 2015
May 14, 20142 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 24, 2015; every figure names its basis
RAUM per advisor
$75.7MderivedRAUM 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
$18.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$70.5M, 2 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$70.5M for 2 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• P•••••••• L••Hedge Fund$43.6M49May 14, 2014
      C•••••••• O•••••••• L•••Hedge Fund$26.9M4May 14, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• J•••• P•••• · President And Managing Membercontrol
        since 03/2000 · owns 75% or more
      • B•••••• J•••• K••••••• · Chief Compliance Officer & Chief Financial Officer
        since 02/2015 · owns less than 5%
      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
      • Advisory employees · 2 to 1
        Jul 7, 2015 to Aug 7, 2015
      • Employees · 4 to 3
        Jul 7, 2015 to Aug 7, 2015
      • Accounts · 5 to 4
        May 14, 2014 to Mar 30, 2015
      • Advisory employees · 1 to 2
        May 14, 2014 to Mar 30, 2015
      • Assets in custody · $92.6M to $70.5M
        May 14, 2014 to Mar 30, 2015
      • Employees · 3 to 4
        May 14, 2014 to Mar 30, 2015
      • Discretionary RAUM · $124M to $75.7M
        May 14, 2014 to Mar 30, 2015
      • RAUM · $124M to $75.7M
        May 14, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • F•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 14, 2014 · First SEC registration · fact
      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