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

E••••• C••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 140542SEC 801-67199IAPD
Latest filing Nov 16, 2016
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$144M
reported, Item 5.F
Discretionary
75%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$15.3M gross assets
History
9 filings and snapshots on the tape
RAUM$160M as of Mar 30, 2016
Mar 30, 2012$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 19, 20130 then
Employees (5.A)6 as of Mar 30, 2016
Mar 19, 20137 then
Private funds2 as of Mar 30, 2016
Mar 30, 20122 then
RAUM -26% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 16, 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
$143,251derivedRAUM over accounts (5.F.2.f)
Discretionary
75%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
-18%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
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$15.3M, 2 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.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
1,004reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$15.3M for 2 clientsreported
Compensation
% of AUMreported
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
Private funds
3 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
G••• N•••• L••Other Private Fund$12.3M72Mar 25, 2014
H••••••• O••••••••• F•••• L••Private Equity Fund$10.6M68Mar 30, 2012
H••••••• D••••••• F•••• L••Private Equity Fund$3.0M82Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • B•••••• R•••• N••• · Managing Principal And Chief Compliance Officercontrol
    since 09/2006 · owns less than 5%
  • L••••••• J••••••• A••••• · Principalcontrol
    since 01/2011 · owns less than 5%
  • S•••••• M•••• C••••••••• · Principalcontrol
    since 01/2007 · owns less than 5%
  • B•••••• R•••• N••• · Ceo & Managercontrol
    since 12/2012 · owns F of E•••••• L••
  • B•••••• S••••• M••••••• · Ownercontrol
    since 07/2015 · owns 75% or more of R•• G•••• P•••••••• I•••
Entity owners
  • E•••••• L•• · Managing Member
    direct · owns 75% or more
  • R•• G•••• P•••••••• I••• · Owner
    indirect · owns 25% to 50% of E•••••• L••
Related persons
Schedule D 7.A
  • E••••• E•••••• L••
    pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 900 to 1,004
    Mar 30, 2016 to Nov 16, 2016
  • Commission compensation · true to false
    Mar 30, 2016 to Nov 16, 2016
  • Assets in custody · $12.7M to $15.3M
    Mar 30, 2016 to Nov 16, 2016
  • Discretionary RAUM · $120M to $108M
    Mar 30, 2016 to Nov 16, 2016
  • Non-discretionary RAUM · $40.0M to $36.1M
    Mar 30, 2016 to Nov 16, 2016
  • RAUM · $160M to $144M
    Mar 30, 2016 to Nov 16, 2016
  • Succession · false to true
    Mar 30, 2016 to Nov 16, 2016
  • Accounts · 1,053 to 900
    Oct 19, 2015 to Mar 30, 2016
  • Assets in custody · $28.0M to $12.7M
    Oct 19, 2015 to Mar 30, 2016
  • Employees · 7 to 6
    Oct 19, 2015 to Mar 30, 2016
  • Private funds · 3 to 2
    Oct 19, 2015 to Mar 30, 2016
  • Discretionary RAUM · $136M to $120M
    Oct 19, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $59.0M to $40.0M
    Oct 19, 2015 to Mar 30, 2016
  • RAUM · $195M to $160M
    Oct 19, 2015 to Mar 30, 2016
  • Accounts · 1,429 to 1,053
    Mar 25, 2014 to Mar 18, 2015
  • Assets in custody · $38.0M to $28.0M
    Mar 25, 2014 to Mar 18, 2015
  • Discretionary RAUM · $165M to $136M
    Mar 25, 2014 to Mar 18, 2015
  • Non-discretionary RAUM · $35.0M to $59.0M
    Mar 25, 2014 to Mar 18, 2015
  • RAUM · $200M to $195M
    Mar 25, 2014 to Mar 18, 2015
  • Accounts · 1,348 to 1,429
    Mar 19, 2013 to Mar 25, 2014
  • BD registered reps · 3 to 0
    Mar 19, 2013 to Mar 25, 2014
  • Assets in custody · unset to 38011700.0
    Mar 19, 2013 to Mar 25, 2014
  • Custody of client assets · false to true
    Mar 19, 2013 to Mar 25, 2014
  • Private funds · 2 to 3
    Mar 19, 2013 to Mar 25, 2014
  • Discretionary RAUM · $161M to $165M
    Mar 19, 2013 to Mar 25, 2014
  • Non-discretionary RAUM · $39.0M to $35.0M
    Mar 19, 2013 to Mar 25, 2014
  • Accounts · 1,430 to 1,348
    May 16, 2012 to Mar 19, 2013
  • Advisory employees · unset to 3.0
    May 16, 2012 to Mar 19, 2013
  • Advisory activities · 4 to 5
    May 16, 2012 to Mar 19, 2013
  • BD registered reps · unset to 3.0
    May 16, 2012 to Mar 19, 2013
  • Commission compensation · false to true
    May 16, 2012 to Mar 19, 2013
  • Employees · unset to 7.0
    May 16, 2012 to Mar 19, 2013
  • State-registered IARs · unset to 0.0
    May 16, 2012 to Mar 19, 2013
  • Discretionary RAUM · $164M to $161M
    May 16, 2012 to Mar 19, 2013
  • Non-discretionary RAUM · $31.0M to $39.0M
    May 16, 2012 to Mar 19, 2013
  • RAUM · $195M to $200M
    May 16, 2012 to Mar 19, 2013
Signals
1 dated events
  • E••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 16, 2016 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
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