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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SEC-registered adviser
F•••••• I•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 6, 2012 · 21 filings
SEC status approved since Jun 28, 2006
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.6B
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.3B as of Mar 30, 2026
Mar 6, 2012$1.5B then
HNW client RAUM$182M as of Mar 18, 2020
Mar 27, 2018$198M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 6, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Feb 21, 20137 then
Private funds1 as of Mar 30, 2026
Mar 6, 20121 then
RAUM +1.6% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $1.6BderivedRAUM 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
- $365MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $996M, 1 clientsreportedItem 9.A
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B36%
- State and municipal entities$876M27%
- Corporations and businesses$776M24%
- Charitable organizations$354M11%
- Pension and profit-sharing plans$106M3.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $996M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.36 institutional_share=0.41 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••• •••• S••••••• | Los Angeles, Ca | Oct 10, 2025 | 25 y | 2 |
| B•••• G••••• V•••• | Los Angeles, Ca | Oct 13, 2025 | 31 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
Joined, latest
- B•••• G••••• V•••• from P•••••• F•••••••• R••••••• I••••••••• M•••••••••Oct 13, 2025 · Other
- N•••••• •••• S••••••• from S••••• P••• A•••• M••••••••• L••Oct 10, 2025 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••••• I•••••••• F••• L• | Other Private Fund | $1.2B | 58 | Mar 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• N••••••• •••• · Managing Membercontrolsince 03/2008 · owns 25% to 50%
- T•••••• B••••••• C••••••• · Chief Operating Officer/Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- V••••• B••••• G••••• · Managing Membercontrolsince 02/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $1.2B to $996MMar 27, 2025 to Mar 30, 2026
- Employees · 5 to 4Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.2B to $3.3BMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $140M to $106MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $1.2BMar 27, 2025 to Mar 30, 2026
- RAUM · $3.2B to $3.3BMar 27, 2025 to Mar 30, 2026
- Assets in custody · $1.2B to $1.2BMar 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.2B to $3.2BMar 22, 2024 to Mar 27, 2025
- Pension RAUM · $131M to $140MMar 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.4B to $1.3BMar 22, 2024 to Mar 27, 2025
- RAUM · $3.2B to $3.2BMar 22, 2024 to Mar 27, 2025
- Assets in custody · $1.2B to $1.2BMar 8, 2023 to Mar 22, 2024
- Employees · 6 to 5Mar 8, 2023 to Mar 22, 2024
- Discretionary RAUM · $3.2B to $3.2BMar 8, 2023 to Mar 22, 2024
- Pension RAUM · $121M to $131MMar 8, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BMar 8, 2023 to Mar 22, 2024
- RAUM · $3.2B to $3.2BMar 8, 2023 to Mar 22, 2024
- Assets in custody · $1.4B to $1.2BFeb 16, 2022 to Mar 8, 2023
- Discretionary RAUM · $3.4B to $3.2BFeb 16, 2022 to Mar 8, 2023
- Pension RAUM · $121M to $121MFeb 16, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $1.6B to $1.4BFeb 16, 2022 to Mar 8, 2023
- RAUM · $3.4B to $3.2BFeb 16, 2022 to Mar 8, 2023
- Accounts · 10 to 9Jan 28, 2021 to Feb 16, 2022
- Assets in custody · $1.1B to $1.4BJan 28, 2021 to Feb 16, 2022
- Discretionary RAUM · $2.8B to $3.4BJan 28, 2021 to Feb 16, 2022
- Pension RAUM · $215M to $121MJan 28, 2021 to Feb 16, 2022
- Pooled vehicle RAUM · $1.3B to $1.6BJan 28, 2021 to Feb 16, 2022
- RAUM · $2.8B to $3.4BJan 28, 2021 to Feb 16, 2022
- Advisory activities · 3 to 2Oct 19, 2020 to Jan 28, 2021
- Charity clients · 3.0 to unsetOct 19, 2020 to Jan 28, 2021
- Corporate clients · 1.0 to unsetOct 19, 2020 to Jan 28, 2021
- Pension plan clients · 2.0 to unsetOct 19, 2020 to Jan 28, 2021
- Assets in custody · $1.0B to $1.1BOct 19, 2020 to Jan 28, 2021
- Discretionary RAUM · $2.6B to $2.8BOct 19, 2020 to Jan 28, 2021
- Pension RAUM · $207M to $215MOct 19, 2020 to Jan 28, 2021
- Pooled vehicle RAUM · $1.2B to $1.3BOct 19, 2020 to Jan 28, 2021
- RAUM · $2.6B to $2.8BOct 19, 2020 to Jan 28, 2021
- HNW clients · 2.0 to unsetMar 18, 2020 to Oct 16, 2020
Signals
2 dated events
- (Nmn) Michael Kromm (Chief Compliance Officer) no longer on Schedule A of F•••••• I•••••••• L•• (listed 2020-10-19, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- C Beverly Tecson (Chief Operating Officer) appeared on Schedule A of F•••••• I•••••••• L••Mar 18, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- F•••••• I•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- F•••••• I•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- F••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-734-1200reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026