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

C••••••••• C••••••••• G••••• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 137272SEC 801-70043IAPD
Latest filing Oct 7, 2013
First filing on the tape Mar 28, 2012 · 5 filings
RAUM
$36.7M
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
9
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$31.3M gross assets
History
5 filings and snapshots on the tape
RAUM$36.0M as of Mar 28, 2013
Mar 28, 2012$223M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2013
Mar 28, 20120 then
Employees (5.A): 9
Private funds1 as of Mar 28, 2013
Mar 28, 20121 then
RAUM -84% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Oct 7, 2013; every figure names its basis
RAUM per advisor
$18.3MderivedRAUM 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
$2.2MderivedRAUM 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
4.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-84%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, hourly, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • 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
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
B••• O•••• D••••••••• F•••• L•••Real Estate Fund$31.3M40Mar 28, 2012
Owners and control persons
Schedule A and B, latest filing
  • K••••• M••••••• J••• · President/Ceo/Chief Compliance Officercontrol
    since 01/1999 · owns 75% or more
  • K••••• D•••• M•••• · Chief Operating Officer
    since 01/2004 · owns less than 5%
Related persons
Schedule D 7.A
  • K•• F•••••••• • I•••••••• S••••••• C•••••••••
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Irvine, Ca · principal001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 39 to 17
    Jul 17, 2013 to Sep 19, 2013
  • Financial planning clients · 0 to unset
    Jul 17, 2013 to Sep 19, 2013
  • Non-discretionary RAUM · $36.0M to $36.7M
    Jul 17, 2013 to Sep 19, 2013
  • RAUM · $36.0M to $36.7M
    Jul 17, 2013 to Sep 19, 2013
  • Discretionary RAUM · $3.7M to $0
    Mar 28, 2013 to Jul 17, 2013
  • Non-discretionary RAUM · $32.3M to $36.0M
    Mar 28, 2013 to Jul 17, 2013
  • Employees · unset to 9.0
    Mar 28, 2012 to Mar 28, 2013
  • Accounts · 435 to 39
    Mar 28, 2012 to Mar 28, 2013
  • Advisory employees · unset to 2.0
    Mar 28, 2012 to Mar 28, 2013
  • Advisory activities · 2 to 3
    Mar 28, 2012 to Mar 28, 2013
  • BD registered reps · unset to 6.0
    Mar 28, 2012 to Mar 28, 2013
  • Financial planning clients · unset to 0
    Mar 28, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 2
    Mar 28, 2012 to Mar 28, 2013
  • Discretionary RAUM · $18.5M to $3.7M
    Mar 28, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $205M to $32.3M
    Mar 28, 2012 to Mar 28, 2013
  • RAUM · $223M to $36.0M
    Mar 28, 2012 to Mar 28, 2013
Signals
1 dated events
  • M•••••• J••• K•••• left C••••••••• C••••••••• G••••• L•• for S•••• W••••• M••••••••• L•• (registered 2012-10-15)
    Oct 10, 2025 · Advisor changed firm · 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
Across the graphs

C••••••••• C••••••••• G••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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