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•• A•••••••• L••

Former SEC-registered adviserSherman Oaks, CaliforniaCRD 154269SEC 801-71588IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 6, 2012 · 14 filings
RAUM
$86.6M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$82.2M gross assets
History
14 filings and snapshots on the tape
RAUM$86.6M as of Mar 31, 2017
Mar 6, 2012$435M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 6, 20120 then
Employees (5.A)4 as of Mar 31, 2017
Feb 22, 20139 then
Private funds1 as of Mar 31, 2017
Mar 6, 20122 then
RAUM -26% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$86.6MderivedRAUM 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
-26%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$85.5M, 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)
  • 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
$85.5M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• V•••• P••••••• F••• I• L•Private Equity Fund$82.2M9Mar 6, 2012
      A•• M• S••••• I•••••••• A•• S•••••••••no longer reportedPrivate Equity Fund$29.2M1Mar 6, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• B••••• A•••• · Managing Member, Ceocontrol
        since 05/2006 · owns 25% to 50%
      • K•• A••• H•• C••• · Managing Member/Cfo/Chief Compliance Officercontrol
        since 05/2006 · owns 10% to 25%
      • Z••••• R••••••• S•••••• · Membercontrol
        since 05/2006 · owns 50% to 75%
      • Z••••• R••••••• S•••••• · Trusteecontrol
        since 06/1999 · owns F of T•• R•• T••••
      Entity owners
      • C••••• I••••••••• O••• L•• · Member
        direct · owns 25% to 50%
      • T•• R•• T•••• · Member
        indirect · owns 75% or more of C••••• I••••••••• O••• L••
      Related persons
      Schedule D 7.A
      • A•• C••••••• L••
        pooled vehicle sponsory
      • B•••• C•••••• I•• L••
        pooled vehicle sponsory
      • B•••• I• C••••••••• L••
        pooled vehicle sponsory
      • B•••• I••••••••• G••••• L••
        investment adviseryRAUM $427M
      • B•••• P••••••••• V••••••• I•• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $116M to $85.5M
        Feb 6, 2017 to Mar 31, 2017
      • Employees · 5 to 4
        Feb 6, 2017 to Mar 31, 2017
      • Discretionary RAUM · $118M to $86.6M
        Feb 6, 2017 to Mar 31, 2017
      • RAUM · $118M to $86.6M
        Feb 6, 2017 to Mar 31, 2017
      • HQ city · LOS ANGELES to SHERMAN OAKS
        Mar 29, 2016 to Feb 6, 2017
      • Accounts · 2 to 1
        Apr 30, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 2
        Apr 30, 2015 to Mar 29, 2016
      • Advisory activities · 2 to 3
        Apr 30, 2015 to Mar 29, 2016
      • Assets in custody · $217M to $116M
        Apr 30, 2015 to Mar 29, 2016
      • Employees · 8 to 5
        Apr 30, 2015 to Mar 29, 2016
      • Private funds · 2 to 1
        Apr 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $191M to $118M
        Apr 30, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $29.8M to $0
        Apr 30, 2015 to Mar 29, 2016
      • RAUM · $221M to $118M
        Apr 30, 2015 to Mar 29, 2016
      • Related adviser · false to true
        Apr 30, 2015 to Mar 29, 2016
      • Assets in custody · $198M to $217M
        Mar 30, 2015 to Apr 30, 2015
      • Discretionary RAUM · $177M to $191M
        Mar 30, 2015 to Apr 30, 2015
      • Non-discretionary RAUM · $22.6M to $29.8M
        Mar 30, 2015 to Apr 30, 2015
      • RAUM · $200M to $221M
        Mar 30, 2015 to Apr 30, 2015
      • Assets in custody · $211M to $198M
        Nov 19, 2014 to Mar 30, 2015
      • Employees · 7 to 8
        Nov 19, 2014 to Mar 30, 2015
      • Discretionary RAUM · $189M to $177M
        Nov 19, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $26.9M to $22.6M
        Nov 19, 2014 to Mar 30, 2015
      • RAUM · $216M to $200M
        Nov 19, 2014 to Mar 30, 2015
      • Employees · 8 to 7
        Apr 29, 2014 to Aug 13, 2014
      • Assets in custody · $209M to $211M
        Mar 28, 2014 to Apr 29, 2014
      • Discretionary RAUM · $186M to $189M
        Mar 28, 2014 to Apr 29, 2014
      • Non-discretionary RAUM · $26.9M to $26.9M
        Mar 28, 2014 to Apr 29, 2014
      • RAUM · $213M to $216M
        Mar 28, 2014 to Apr 29, 2014
      • Assets in custody · $219M to $209M
        Apr 30, 2013 to Mar 28, 2014
      • Employees · 9 to 8
        Apr 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $215M to $186M
        Apr 30, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $27.6M to $26.9M
        Apr 30, 2013 to Mar 28, 2014
      • RAUM · $242M to $213M
        Apr 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $400M to $215M
        Apr 15, 2013 to Apr 30, 2013
      • Non-discretionary RAUM · $35.0M to $27.6M
        Apr 15, 2013 to Apr 30, 2013
      • RAUM · $435M to $242M
        Apr 15, 2013 to Apr 30, 2013
      • Assets in custody · $207M to $219M
        Feb 22, 2013 to Apr 15, 2013
      • Advisory employees · unset to 4.0
        Mar 22, 2012 to Feb 22, 2013
      • Assets in custody · $182M to $207M
        Mar 22, 2012 to Feb 22, 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