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

T••••••• C•••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 139707SEC 801-78286IAPD
Latest filing Jan 17, 2018
First filing on the tape Jun 26, 2013 · 10 filings
RAUM
$78.1M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$78.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$39.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$64.3M as of Mar 21, 2017
Mar 31, 2014$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2017
Mar 31, 20142 then
Employees (5.A)3 as of Mar 21, 2017
Mar 31, 20143 then
Private funds: no history
RAUM -25% over the last fiscal year-24% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 17, 2018; every figure names its basis
RAUM per advisor
$39.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$354,909derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
0.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-38%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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$71.4M91%
  • Individuals$6.7M8.5%
Individual clients
32reported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
220reported
Financial planning clients
1-10reported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Y•••• B••••Bend, OrMay 5, 200632 y1
D••••• A••••••••• A••••••••Thousand Oaks, CaJul 15, 201130 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• Y•••• · Managing Member/Chief Compliance Officercontrol
      since 05/2006 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 211 to 220
      Mar 21, 2017 to Nov 14, 2017
    • HNW clients · unset to 27.0
      Mar 21, 2017 to Nov 14, 2017
    • Individual clients · unset to 32.0
      Mar 21, 2017 to Nov 14, 2017
    • Other offices · unset to 3.0
      Mar 21, 2017 to Nov 14, 2017
    • Discretionary RAUM · $61.5M to $68.9M
      Mar 21, 2017 to Nov 14, 2017
    • HNW RAUM · unset to 71412607.0
      Mar 21, 2017 to Nov 14, 2017
    • Individual RAUM · unset to 6667404.0
      Mar 21, 2017 to Nov 14, 2017
    • Non-discretionary RAUM · $2.8M to $9.1M
      Mar 21, 2017 to Nov 14, 2017
    • RAUM · $64.3M to $78.1M
      Mar 21, 2017 to Nov 14, 2017
    • Advisory activities · 3 to 4
      Nov 14, 2017 to Nov 14, 2017
    • Accounts · 219 to 211
      Mar 30, 2016 to Mar 21, 2017
    • Discretionary RAUM · $96.3M to $61.5M
      Mar 30, 2016 to Mar 21, 2017
    • Non-discretionary RAUM · $7.5M to $2.8M
      Mar 30, 2016 to Mar 21, 2017
    • RAUM · $104M to $64.3M
      Mar 30, 2016 to Mar 21, 2017
    • Accounts · 240 to 219
      Mar 31, 2015 to Mar 30, 2016
    • Advisory activities · 4 to 3
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $141M to $96.3M
      Mar 31, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $46.2M to $7.5M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $187M to $104M
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 246 to 240
      Sep 5, 2014 to Mar 31, 2015
    • Advisory activities · 3 to 4
      Sep 5, 2014 to Mar 31, 2015
    • Insurance-licensed employees · 1 to 0
      Sep 5, 2014 to Mar 31, 2015
    • Discretionary RAUM · $99.9M to $141M
      Sep 5, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $74.9M to $46.2M
      Sep 5, 2014 to Mar 31, 2015
    • RAUM · $175M to $187M
      Sep 5, 2014 to Mar 31, 2015
    • Accounts · 223 to 246
      Jun 26, 2013 to Mar 31, 2014
    • Insurance-licensed employees · 0 to 1
      Jun 26, 2013 to Mar 31, 2014
    • Discretionary RAUM · $132M to $99.9M
      Jun 26, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $40.9M to $74.9M
      Jun 26, 2013 to Mar 31, 2014
    • RAUM · $173M to $175M
      Jun 26, 2013 to Mar 31, 2014
    Signals
    1 dated events
    • T••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
      Jun 26, 2013 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    thalassa.netreportedpublic record, Form ADV, Sep 19, 2026
    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
    $39.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026