DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

T••••••••• C•••••• A•••••••• L••

Institutional managerIrvine, CaliforniaCRD 142121SEC 801-67311websiteIAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 29, 2012 · 13 filings
SEC status approved since Nov 21, 2006
RAUM
$12.3M
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
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$12.3M as of Mar 28, 2024
Mar 29, 2012$447M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 29, 20120 then
Employees (5.A)10 as of Mar 28, 2024
Mar 28, 201312 then
Private funds: no history
RAUM -61% over the last fiscal year-56% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
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
$12.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
-61%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Custody
$1.2M, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$12.3M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.2M for 1 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• G•••••••• S••••••• · Chief Compliance Officercontrol
        since 11/2006 · owns less than 5%
      • F•••••• G•••••••• S••••••• · Shareholdercontrol
        since 10/2007 · owns 75% or more of T••••••••• M•••••••• I•••
      Entity owners
      • T••••••••• M•••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $2.1M to $1.2M
        Mar 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $31.4M to $12.3M
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $31.4M to $12.3M
        Mar 30, 2023 to Mar 28, 2024
      • Assets in custody · $2.7M to $2.1M
        Mar 30, 2022 to Mar 30, 2023
      • Discretionary RAUM · $48.6M to $31.4M
        Mar 30, 2022 to Mar 30, 2023
      • RAUM · $48.6M to $31.4M
        Mar 30, 2022 to Mar 30, 2023
      • Advisory employees · 5 to 4
        Mar 30, 2021 to Mar 30, 2022
      • Pension plan clients · 1 to 0
        Mar 30, 2021 to Mar 30, 2022
      • Assets in custody · $1.8M to $2.7M
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $146M to $48.6M
        Mar 30, 2021 to Mar 30, 2022
      • Pension RAUM · 145813000.0 to unset
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $146M to $48.6M
        Mar 30, 2021 to Mar 30, 2022
      • Advisory employees · 7 to 5
        Mar 31, 2020 to Mar 30, 2021
      • Pension plan clients · unset to 1.0
        Mar 31, 2020 to Mar 30, 2021
      • Assets in custody · $147,817 to $1.8M
        Mar 31, 2020 to Mar 30, 2021
      • Employees · 12 to 10
        Mar 31, 2020 to Mar 30, 2021
      • Discretionary RAUM · $290M to $146M
        Mar 31, 2020 to Mar 30, 2021
      • Pension RAUM · $290M to $146M
        Mar 31, 2020 to Mar 30, 2021
      • RAUM · $290M to $146M
        Mar 31, 2020 to Mar 30, 2021
      • Assets in custody · $3.1M to $147,817
        Mar 26, 2019 to Mar 31, 2020
      • Discretionary RAUM · $312M to $290M
        Mar 26, 2019 to Mar 31, 2020
      • Pension RAUM · $312M to $290M
        Mar 26, 2019 to Mar 31, 2020
      • RAUM · $312M to $290M
        Mar 26, 2019 to Mar 31, 2020
      • Accounts · 2 to 1
        Mar 30, 2018 to Mar 26, 2019
      • Assets in custody · $2.1M to $3.1M
        Mar 30, 2018 to Mar 26, 2019
      • Discretionary RAUM · $332M to $312M
        Mar 30, 2018 to Mar 26, 2019
      • Pension RAUM · $332M to $312M
        Mar 30, 2018 to Mar 26, 2019
      • RAUM · $332M to $312M
        Mar 30, 2018 to Mar 26, 2019
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Assets in custody · $2.1M to $2.1M
        Mar 28, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Discretionary RAUM · $434M to $332M
        Mar 28, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 332407000.0
        Mar 28, 2017 to Mar 30, 2018
      • RAUM · $434M to $332M
        Mar 28, 2017 to Mar 30, 2018
      • Assets in custody · $453M to $2.1M
        Mar 14, 2016 to Mar 28, 2017
      • Employees · 13 to 12
        Mar 14, 2016 to Mar 28, 2017
      Signals
      1 dated events
      • T••••••••• C•••••• A•••••••• L•• reported RAUM $145.8M, down 50% from $289.6M (2020-03-31 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      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
      T•••••••••LLC.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      949-724-5900reportedpublic record, Form ADV, Mar 28, 2024
      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
      Institutional managerderiveda 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