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
M••••••• L••
Latest filing Apr 28, 2021
First filing on the tape Mar 27, 2012 · 19 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$417M as of Mar 22, 2017
Mar 27, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 10, 2021
Mar 27, 20120 then
Employees (5.A)8 as of Mar 10, 2021
Mar 27, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 28, 2021; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 100reported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- 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
- A•••• W••••• G•••• to C••••••• P••••••• I••••••••• A•••••••• L••Dec 14, 2021 · Other
- I••••• M••••• I••••••• to C••••••• P••••••• I••••••••• A•••••••• L••Dec 14, 2021 · Other
- M•••••• J••• M••••• to C••••••• P••••••• I••••••••• A•••••••• L••Dec 31, 2006 · Other
Joined, latest
- A•••• W••••• G•••• from F••••••• W••••• M••••••••• I•••Jan 12, 2018 · Other
- M•••••• J••• M••••• from M••••••••• • A••••••••• I•••Jan 1, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• A•• · Managing Membercontrolsince 07/1997 · owns 50% to 75%
- M•••••• M••••••• J••• · Managing Member/Chief Compliance Officercontrolsince 07/1997 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Culver City, CA1 employees
- Pasadena, CA1 employees
What changed
consecutive filings, newest first
- HQ city · PASADENA to PHOENIXMar 10, 2021 to Apr 28, 2021
- HQ state · CA to AZMar 10, 2021 to Apr 28, 2021
- Succession · false to trueApr 28, 2021 to Apr 28, 2021
- Pension plan clients · 99 to 100Mar 10, 2020 to Mar 10, 2021
- Advisory employees · 7 to 5Feb 25, 2020 to Mar 10, 2020
- Pension plan clients · 92 to 99Feb 25, 2020 to Mar 10, 2020
- Employees · 9 to 8Feb 25, 2020 to Mar 10, 2020
- Succession · true to falseFeb 25, 2020 to Mar 10, 2020
- Succession · false to trueMar 26, 2019 to Feb 25, 2020
- Advisory employees · 8 to 7Mar 27, 2018 to Mar 26, 2019
- Pension plan clients · 85 to 92Mar 27, 2018 to Mar 26, 2019
- Employees · 10 to 9Mar 27, 2018 to Mar 26, 2019
- State-registered IARs · 4 to 3Mar 27, 2018 to Mar 26, 2019
- Accounts · 18.0 to unsetMar 23, 2017 to Mar 27, 2018
- Advisory employees · 7 to 8Mar 23, 2017 to Mar 27, 2018
- Pension plan clients · unset to 85.0Mar 23, 2017 to Mar 27, 2018
- Employees · 9 to 10Mar 23, 2017 to Mar 27, 2018
- HQ city · PHOENIX to PASADENAMar 23, 2017 to Mar 27, 2018
- HQ state · AZ to CAMar 23, 2017 to Mar 27, 2018
- State-registered IARs · 2 to 4Mar 23, 2017 to Mar 27, 2018
- Other offices · unset to 2.0Mar 23, 2017 to Mar 27, 2018
- Discretionary RAUM · 417200000.0 to unsetMar 23, 2017 to Mar 27, 2018
- Non-discretionary RAUM · 0.0 to unsetMar 23, 2017 to Mar 27, 2018
- RAUM · 417200000.0 to unsetMar 23, 2017 to Mar 27, 2018
- Accounts · 57 to 18Oct 13, 2016 to Mar 22, 2017
- Employees · 8 to 9Oct 13, 2016 to Mar 22, 2017
- Discretionary RAUM · $334M to $417MOct 13, 2016 to Mar 22, 2017
- RAUM · $334M to $417MOct 13, 2016 to Mar 22, 2017
- Accounts · unset to 57.0Mar 2, 2016 to Oct 13, 2016
- Discretionary RAUM · unset to 333619965.0Mar 2, 2016 to Oct 13, 2016
- Non-discretionary RAUM · unset to 0.0Mar 2, 2016 to Oct 13, 2016
- RAUM · unset to 333619965.0Mar 2, 2016 to Oct 13, 2016
- Accounts · 21.0 to unsetMar 26, 2015 to Mar 2, 2016
- Insurance-licensed employees · 0 to 1Mar 26, 2015 to Mar 2, 2016
- State-registered IARs · 0 to 2Mar 26, 2015 to Mar 2, 2016
- Discretionary RAUM · 385454183.0 to unsetMar 26, 2015 to Mar 2, 2016
- Non-discretionary RAUM · 0.0 to unsetMar 26, 2015 to Mar 2, 2016
- RAUM · 385454183.0 to unsetMar 26, 2015 to Mar 2, 2016
- Accounts · 19 to 21Mar 28, 2014 to Mar 26, 2015
- Advisory employees · 6 to 7Mar 28, 2014 to Mar 26, 2015
Signals
2 dated events
- Ann M••••• (Managing Member) appeared on Schedule A of M••••••• L••Mar 10, 2020 · Control person joined · fact
- M••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 25, 2020 · Succession (Item 4) · 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