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

P••••••• C•••••• M••••••••• •••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 139979SEC 801-66493IAPD
Latest filing Mar 29, 2016
First filing on the tape Apr 3, 2012 · 7 filings
RAUM
$80.0M
reported, Item 5.F
Discretionary
100%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$80.0M as of Mar 29, 2016
Apr 3, 2012$244M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)2 as of Mar 29, 2016
Apr 1, 20132 then
Private funds1 as of Mar 28, 2014
Apr 3, 20121 then
RAUM -60% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$80.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-60%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• A•• S••• F••• L•no longer reportedOther Private Fund$00Apr 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• P•••• · President And Chief Compliance Officercontrol
        since 03/2006 · owns 50% to 75%
      Entity owners
      • D•••• A• S••••••• 2••• T•••• · Owner
        direct · owns 25% to 50%
      • T••• N• S••••••• 2••• T•••• · Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • P••••••• C•••••• M••••••••• L••••••
        investment advisery
      • P••••••• T•••••• M••••••••• L••••••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $200M to $80.0M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $200M to $80.0M
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 1 to unset
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $280M to $200M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $280M to $200M
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $276M to $280M
        Apr 9, 2013 to Mar 28, 2014
      • RAUM · $276M to $280M
        Apr 9, 2013 to Mar 28, 2014
      • Discretionary RAUM · $204M to $276M
        Apr 1, 2013 to Apr 9, 2013
      • RAUM · $204M to $276M
        Apr 1, 2013 to Apr 9, 2013
      • Discretionary RAUM · $264M to $204M
        Dec 6, 2012 to Apr 1, 2013
      • RAUM · $264M to $204M
        Dec 6, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Apr 3, 2012 to Dec 6, 2012
      • Employees · unset to 2.0
        Apr 3, 2012 to Dec 6, 2012
      • State-registered IARs · unset to 0.0
        Apr 3, 2012 to Dec 6, 2012
      • Discretionary RAUM · $244M to $264M
        Apr 3, 2012 to Dec 6, 2012
      • RAUM · $244M to $264M
        Apr 3, 2012 to Dec 6, 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