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••••• W••••• A•••••••• L••

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 135044SEC 801-64174IAPD
Latest filing Mar 14, 2016
First filing on the tape Mar 5, 2012 · 12 filings
RAUM
$509M
reported, Item 5.F
Discretionary
0.0%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$509M as of Mar 14, 2016
Mar 5, 2012$555M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 14, 2016
Mar 5, 20120 then
Employees (5.A)4 as of Mar 14, 2016
Mar 27, 20134 then
Private funds: no history
RAUM -21% over the last fiscal year-5.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 14, 2016; every figure names its basis
RAUM per advisor
$127MderivedRAUM 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
$4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
121reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• M•••••• M••••• · Chief Executive Officercontrol
      since 07/2005 · owns less than 5%
    • L••••• A•••• T•••••• · President/Chief Operating Officercontrol
      since 03/2005 · owns less than 5%
    • H••••••• M•••••• M••••• · Chief Executive Officercontrol
      since 07/2005 · owns 25% to 50% of A••••• W••••• M••••••••• I•••
    • L••••• A•••• T•••••• · President/Chief Operating Officercontrol
      since 03/2005 · owns 25% to 50% of A••••• W••••• M••••••••• I•••
    • B•••• A••• S•••• · Chief Compliance Officer
      since 11/2012 · owns less than 5%
    Entity owners
    • A••••• W••••• M••••••••• I••• · Managing Member
      direct · owns 75% or more
    • B••••• V••••••• L•• · Investor
      indirect · owns F of A••••• W••••• M••••••••• I•••
    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
    • Accounts · 129 to 121
      Mar 25, 2015 to Mar 14, 2016
    • Non-discretionary RAUM · $645M to $509M
      Mar 25, 2015 to Mar 14, 2016
    • RAUM · $645M to $509M
      Mar 25, 2015 to Mar 14, 2016
    • Accounts · 123 to 129
      Mar 19, 2014 to Mar 25, 2015
    • Non-discretionary RAUM · $646M to $645M
      Mar 19, 2014 to Mar 25, 2015
    • RAUM · $646M to $645M
      Mar 19, 2014 to Mar 25, 2015
    • Accounts · 118 to 123
      Mar 27, 2013 to Mar 19, 2014
    • Non-discretionary RAUM · $596M to $646M
      Mar 27, 2013 to Mar 19, 2014
    • RAUM · $596M to $646M
      Mar 27, 2013 to Mar 19, 2014
    • Accounts · 124 to 118
      Nov 30, 2012 to Mar 27, 2013
    • BD registered reps · 4 to 0
      Nov 30, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 4
      Nov 30, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $555M to $596M
      Nov 30, 2012 to Mar 27, 2013
    • RAUM · $555M to $596M
      Nov 30, 2012 to Mar 27, 2013
    • Advisory employees · unset to 4.0
      Oct 22, 2012 to Nov 30, 2012
    • BD registered reps · 0 to 4
      Oct 22, 2012 to Nov 30, 2012
    • Employees · unset to 4.0
      Oct 22, 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