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

A•••••• G••••• I•••••••• S•••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 147825SEC 801-69607IAPD
Latest filing Apr 4, 2012
First filing on the tape Dec 23, 2011 · 3 filings
RAUM
$282M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$282M as of Apr 4, 2012
Dec 23, 2011$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 4, 2012; 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
$141MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • F••••• C••••••• H•••• · Chief Legal Officercontrol
        since 09/2009 · owns less than 5%
      • P••••••••• M••••••• J•••• · Chief Financial Officercontrol
        since 06/2008 · owns less than 5%
      • S••••••• S••••••• C•••••• · Managing Director, Chief Investment Officercontrol
        since 06/2008 · owns less than 5%
      • W••••••••• D••••••• A•• · Chief Compliance Officercontrol
        since 06/2008 · owns less than 5%
      Entity owners
      • A•••••• G••••• I•••••••• U••• L•• · Member
        direct · owns 75% or more
      • A•••••• A•••• M••••••••• O• A•••••• L•• · Partner
        indirect · owns 75% or more of A•••••• A•••• M••••••••• O• A•••••• L•••
      • A•••••• A•••• M••••••••• O• A•••••• L••• · Member
        indirect · owns 75% or more of A•••••• G••••• I•••••••• U••• L••
      • A•••••• O• A••••••• I••• · Member
        indirect · owns 75% or more of A•••••• A•••• M••••••••• O• A•••••• L••
      • A•••••• S• · Sole Stockholder
        indirect · owns 75% or more of A•••••• O• A••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 2
        Mar 30, 2012 to Apr 4, 2012
      • Non-discretionary RAUM · $802M to $0
        Mar 30, 2012 to Apr 4, 2012
      • RAUM · $1.1B to $282M
        Mar 30, 2012 to Apr 4, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $278M to $282M
        Dec 23, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $996M to $802M
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $1.3B to $1.1B
        Dec 23, 2011 to Mar 30, 2012
      • Related bank · false to true
        Dec 23, 2011 to Mar 30, 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