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

S•••• C•••••• M••••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 154146SEC 801-76818IAPD
Latest filing Jul 11, 2017
First filing on the tape Jun 13, 2012 · 14 filings
RAUM
$75.4M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$22.6M gross assets
History
14 filings and snapshots on the tape
RAUM$75.4M as of Mar 17, 2017
Mar 28, 2013$52.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 17, 2017
Mar 28, 20130 then
Employees (5.A)3 as of Mar 17, 2017
Mar 28, 20134 then
Private funds1 as of Mar 17, 2017
Mar 28, 20131 then
RAUM -62% over the last fiscal year-6.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 11, 2017; every figure names its basis
RAUM per advisor
$75.4MderivedRAUM 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
$15.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-62%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 individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$22.6M, 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
  • 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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$22.6M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• E••••••• A••••••• M••••• F•••• L•••Hedge Fund$22.6M2Mar 31, 2015
      S•••• S•••••• S••••••••• F•••• L•no longer reportedHedge Fund$5.1M3Jun 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• W••••••• F• · Managing Membercontrol
        since 04/2010 · owns 75% or more
      • S•••••••• P••••• J••• · Chief Compliance Officer
        since 01/2017 · owns less than 5%
      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
      • Accounts · 4 to 5
        Jan 27, 2017 to Mar 17, 2017
      • Assets in custody · $43.3M to $22.6M
        Jan 27, 2017 to Mar 17, 2017
      • Discretionary RAUM · $74.0M to $75.4M
        Jan 27, 2017 to Mar 17, 2017
      • RAUM · $74.0M to $75.4M
        Jan 27, 2017 to Mar 17, 2017
      • Accounts · 7 to 4
        Mar 30, 2016 to Jan 27, 2017
      • BD registered reps · 0 to 1
        Mar 30, 2016 to Jan 27, 2017
      • Employees · 5 to 3
        Mar 30, 2016 to Jan 27, 2017
      • Discretionary RAUM · $196M to $74.0M
        Mar 30, 2016 to Jan 27, 2017
      • RAUM · $196M to $74.0M
        Mar 30, 2016 to Jan 27, 2017
      • Assets in custody · $44.3M to $43.3M
        May 14, 2015 to Mar 30, 2016
      • Employees · 6 to 5
        May 14, 2015 to Mar 30, 2016
      • Private funds · 2 to 1
        May 14, 2015 to Mar 30, 2016
      • Discretionary RAUM · $207M to $196M
        May 14, 2015 to Mar 30, 2016
      • RAUM · $207M to $196M
        May 14, 2015 to Mar 30, 2016
      • Accounts · 8 to 7
        Nov 4, 2014 to Mar 31, 2015
      • Assets in custody · $4.2M to $44.3M
        Nov 4, 2014 to Mar 31, 2015
      • State-registered IARs · 0 to 1
        Nov 4, 2014 to Mar 31, 2015
      • Private funds · 1 to 2
        Nov 4, 2014 to Mar 31, 2015
      • Discretionary RAUM · $92.1M to $207M
        Nov 4, 2014 to Mar 31, 2015
      • RAUM · $92.1M to $207M
        Nov 4, 2014 to Mar 31, 2015
      • Employees · 5 to 6
        Mar 12, 2014 to Nov 4, 2014
      • Accounts · 10 to 8
        Mar 28, 2013 to Mar 12, 2014
      • Assets in custody · $3.9M to $4.2M
        Mar 28, 2013 to Mar 12, 2014
      • Employees · 4 to 5
        Mar 28, 2013 to Mar 12, 2014
      • Discretionary RAUM · $52.2M to $92.1M
        Mar 28, 2013 to Mar 12, 2014
      • RAUM · $52.2M to $92.1M
        Mar 28, 2013 to Mar 12, 2014
      • Advisory employees · unset to 1.0
        Jul 27, 2012 to Mar 28, 2013
      • Assets in custody · $3.9M to $3.9M
        Jul 27, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Jul 27, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 27, 2012 to Mar 28, 2013
      • Discretionary RAUM · $60.0M to $52.2M
        Jul 27, 2012 to Mar 28, 2013
      • RAUM · $60.0M to $52.2M
        Jul 27, 2012 to Mar 28, 2013
      • Accounts · 9 to 10
        Jun 13, 2012 to Jul 27, 2012
      • Assets in custody · $3.8M to $3.9M
        Jun 13, 2012 to Jul 27, 2012
      • HQ city · WALNUT CREEK to SANTA MONICA
        Jun 13, 2012 to Jul 27, 2012
      • Discretionary RAUM · $37.3M to $60.0M
        Jun 13, 2012 to Jul 27, 2012
      • RAUM · $37.3M to $60.0M
        Jun 13, 2012 to Jul 27, 2012
      Signals
      1 dated events
      • S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 13, 2012 · First SEC registration · fact
      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