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

C•••••••• F••• M•••••• G•• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 146216SEC 801-68765IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$409M
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$409M gross assets
History
7 filings and snapshots on the tape
RAUM$409M as of Mar 30, 2015
Mar 29, 2012$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 29, 20120 then
Employees (5.A)6 as of Mar 30, 2015
Mar 28, 20137 then
Private funds3 as of Mar 30, 2015
Mar 28, 20133 then
RAUM +9.9% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$136MderivedRAUM 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
+9.9%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 vehiclesreportedItem 5.G
Custody
$409M, 3 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)
  • has custody of client securities (9.A.1.b)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$409M for 3 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• E•••••• J••• · Managing Member & Chief Executive Officercontrol
        since 06/2007 · owns 10% to 25%
      • C••••••••• C•••• A••• · Chief Financial Officercontrol
        since 06/2007 · owns less than 5%
      • F•••••••• J•••• D•••• · Managing Membercontrol
        since 06/2007 · owns 10% to 25%
      • G••••• H•••••• N••••• · Managing Membercontrol
        since 06/2007 · owns 10% to 25%
      • H•••••• M•••••• N•• · Chief Risk Officercontrol
        since 01/2014 · owns less than 5%
      • H••••••• A•••••• A•••••• · Managing Membercontrol
        since 06/2007 · owns 10% to 25%
      • J••••• J••••• B••••• · Managing Member & Chief Compliance Officercontrol
        since 06/2007 · owns 10% to 25%
      • L•••••••• B••••• B••••• · Chief Operating Officercontrol
        since 01/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list C•••••••• F••• M•••••• G•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $372M to $409M
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $372M to $409M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $372M to $409M
        Mar 28, 2014 to Mar 30, 2015
      • Related adviser · false to true
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 6
        Nov 19, 2013 to Mar 28, 2014
      • BD registered reps · 5 to 4
        Nov 19, 2013 to Mar 28, 2014
      • Assets in custody · $339M to $372M
        Nov 19, 2013 to Mar 28, 2014
      • Employees · 7 to 6
        Nov 19, 2013 to Mar 28, 2014
      • Discretionary RAUM · $339M to $372M
        Nov 19, 2013 to Mar 28, 2014
      • RAUM · $339M to $372M
        Nov 19, 2013 to Mar 28, 2014
      • Advisory employees · unset to 7.0
        Apr 3, 2012 to Mar 28, 2013
      • BD registered reps · unset to 5.0
        Apr 3, 2012 to Mar 28, 2013
      • Assets in custody · $302M to $339M
        Apr 3, 2012 to Mar 28, 2013
      • Employees · unset to 7.0
        Apr 3, 2012 to Mar 28, 2013
      • Private funds · unset to 3
        Apr 3, 2012 to Mar 28, 2013
      • Discretionary RAUM · $302M to $339M
        Apr 3, 2012 to Mar 28, 2013
      • RAUM · $302M to $339M
        Apr 3, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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