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

M•• C•••••• M••••••••• L••

Former SEC-registered adviserVan Nuys, CaliforniaCRD 149033SEC 801-69810IAPD
Latest filing Mar 31, 2017
First filing on the tape Apr 3, 2012 · 10 filings
RAUM
$13.9M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$13.9M gross assets
History
10 filings and snapshots on the tape
RAUM$13.9M as of Mar 31, 2017
Apr 3, 2012$11.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Apr 3, 20120 then
Employees (5.A)2 as of Mar 31, 2017
Mar 26, 20132 then
Private funds1 as of Mar 31, 2017
Jan 29, 20161 then
RAUM +0.4% over the last fiscal year-1.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$13.9MderivedRAUM 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
$13.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$13.9M, 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)
  • 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)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$13.9M for 1 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
      • R•••• A•••••• K• · Co Trustee Of The A•••••• & A••••• R••• Family Trust Dtd 5/30/02control
        since 05/2002 · owns less than 5%
      • R•••• A••••••• M•••••• · Co Trustee Of The A•••••• & A••••• R••• Family Trust Dtd 5/30/02control
        since 05/2002 · owns less than 5%
      Entity owners
      • A•••••• R••• • A••••• R•••• C••••••••• O• T•• A•••••• • A••••• R••• F••••• T•••• D•• 5•••••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Jun 3, 2016 to Mar 31, 2017
      • Assets in custody · $13.8M to $13.9M
        Jun 3, 2016 to Mar 31, 2017
      • Employees · 1 to 2
        Jun 3, 2016 to Mar 31, 2017
      • Discretionary RAUM · $13.8M to $13.9M
        Jun 3, 2016 to Mar 31, 2017
      • RAUM · $13.8M to $13.9M
        Jun 3, 2016 to Mar 31, 2017
      • Advisory employees · 2 to 1
        Jul 9, 2015 to Jan 29, 2016
      • Assets in custody · unset to 13831582.0
        Jul 9, 2015 to Jan 29, 2016
      • Custody of client assets · false to true
        Jul 9, 2015 to Jan 29, 2016
      • Employees · 2 to 1
        Jul 9, 2015 to Jan 29, 2016
      • Private funds · unset to 1
        Jul 9, 2015 to Jan 29, 2016
      • Discretionary RAUM · $15.9M to $13.8M
        Jul 9, 2015 to Jan 29, 2016
      • RAUM · $15.9M to $13.8M
        Jul 9, 2015 to Jan 29, 2016
      • Advisory employees · 1 to 2
        Mar 28, 2015 to Jul 9, 2015
      • BD registered reps · 0 to 1
        Mar 28, 2015 to Jul 9, 2015
      • Employees · 1 to 2
        Mar 28, 2015 to Jul 9, 2015
      • State-registered IARs · 0 to 1
        Mar 28, 2015 to Jul 9, 2015
      • Employees · 2 to 1
        Mar 27, 2014 to Mar 28, 2015
      • Discretionary RAUM · $14.6M to $15.9M
        Mar 27, 2014 to Mar 28, 2015
      • RAUM · $14.6M to $15.9M
        Mar 27, 2014 to Mar 28, 2015
      • Advisory activities · 2 to 1
        Mar 26, 2013 to Mar 27, 2014
      • Discretionary RAUM · $12.6M to $14.6M
        Mar 26, 2013 to Mar 27, 2014
      • RAUM · $12.6M to $14.6M
        Mar 26, 2013 to Mar 27, 2014
      • Advisory employees · unset to 1.0
        Apr 3, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Apr 3, 2012 to Mar 26, 2013
      • Employees · unset to 2.0
        Apr 3, 2012 to Mar 26, 2013
      • Discretionary RAUM · $11.1M to $12.6M
        Apr 3, 2012 to Mar 26, 2013
      • RAUM · $11.1M to $12.6M
        Apr 3, 2012 to Mar 26, 2013
      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