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••••••• L••• A•••••••• L••

Former SEC-registered adviserMenlo Park, CaliforniaCRD 134090SEC 801-63870IAPD
Latest filing Mar 30, 2016
First filing on the tape Dec 5, 2011 · 14 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
93%
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
34
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.6B as of Mar 30, 2016
Mar 30, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2016
Mar 28, 20131 then
Employees (5.A)34 as of Mar 30, 2016
Mar 28, 201334 then
Private funds: no history
RAUM -8.0% over the last fiscal year+4.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$2.6BderivedRAUM 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
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
34.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
Financial planning clients
700reportedItem 5.H
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)
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
670reported
Financial planning clients
700reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• J••••• K••• · Managing Membercontrol
        since 02/2005 · owns 10% to 25%
      • O••••• P••••• V••••• · Managing Membercontrol
        since 02/2005 · owns 50% to 75%
      • P••••••••• G•••• R••••• · Managing Membercontrol
        since 02/2005 · owns 10% to 25%
      • M••••••••• W••••••• E••••• · Chief Compliance Officer
        since 09/2008 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list A••••••• L••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Santa Barbara, CA
      What changed
      consecutive filings, newest first
      • Accounts · 702 to 670
        Jan 6, 2016 to Mar 30, 2016
      • Advisory employees · 26 to 24
        Jan 6, 2016 to Mar 30, 2016
      • Employees · 36 to 34
        Jan 6, 2016 to Mar 30, 2016
      • Discretionary RAUM · $2.7B to $2.4B
        Jan 6, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $140M to $193M
        Jan 6, 2016 to Mar 30, 2016
      • RAUM · $2.8B to $2.6B
        Jan 6, 2016 to Mar 30, 2016
      • Related adviser · true to false
        Jan 6, 2016 to Mar 30, 2016
      • Accounts · 653 to 702
        Jan 8, 2015 to Mar 30, 2015
      • Advisory employees · 25 to 26
        Jan 8, 2015 to Mar 30, 2015
      • Employees · 34 to 36
        Jan 8, 2015 to Mar 30, 2015
      • Discretionary RAUM · $2.3B to $2.7B
        Jan 8, 2015 to Mar 30, 2015
      • Non-discretionary RAUM · $128M to $140M
        Jan 8, 2015 to Mar 30, 2015
      • RAUM · $2.4B to $2.8B
        Jan 8, 2015 to Mar 30, 2015
      • Accounts · 686 to 653
        Dec 10, 2013 to Mar 28, 2014
      • Discretionary RAUM · $2.1B to $2.3B
        Dec 10, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $149M to $128M
        Dec 10, 2013 to Mar 28, 2014
      • RAUM · $2.3B to $2.4B
        Dec 10, 2013 to Mar 28, 2014
      • Related adviser · false to true
        Oct 1, 2013 to Oct 31, 2013
      • Accounts · 691 to 686
        Jan 16, 2013 to Mar 28, 2013
      • Employees · 33 to 34
        Jan 16, 2013 to Mar 28, 2013
      • Discretionary RAUM · $2.1B to $2.1B
        Jan 16, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $140M to $149M
        Jan 16, 2013 to Mar 28, 2013
      • RAUM · $2.3B to $2.3B
        Jan 16, 2013 to Mar 28, 2013
      • Advisory employees · unset to 25.0
        Jun 11, 2012 to Dec 6, 2012
      • Employees · unset to 33.0
        Jun 11, 2012 to Dec 6, 2012
      • State-registered IARs · unset to 1.0
        Jun 11, 2012 to Dec 6, 2012
      • Accounts · 742 to 691
        Dec 5, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 5, 2011 to Mar 30, 2012
      • Discretionary RAUM · $2.1B to $2.1B
        Dec 5, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $124M to $140M
        Dec 5, 2011 to Mar 30, 2012
      • RAUM · $2.3B to $2.3B
        Dec 5, 2011 to Mar 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