DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

S• A•••• M••••••••• L••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 155393SEC 801-71945IAPD

Latest filing Mar 31, 2015

First filing on the tape Mar 30, 2012 · 5 filings

RAUM

$399M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$3.2M gross assets

History

5 filings and snapshots on the tape

RAUM$399M as of Mar 31, 2015

Mar 30, 2012$130M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2015

Mar 22, 20130 then

Employees (5.A)7 as of Mar 31, 2015

Mar 22, 20138 then

Private funds1 as of Mar 31, 2015

Mar 30, 20121 then

RAUM +7.1% over the last fiscal year+46% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $99.8MderivedRAUM 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: +7.1%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, portfolio management for investment companiesreportedItem 5.G
Custody: $3.2M, 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.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: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $3.2M 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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•••• M••••• F••• L•••	Hedge Fund	$2.0M	6	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

H•••••• D••••• C••••• · Managing Membercontrol
since 01/2010 · owns 25% to 50%
V••••••• R•••••• S•••••• · Chief Compliance Officercontrol
since 01/2010 · owns 10% to 25%
Z•••••• R••••••• T••••••• · Managing Membercontrol
since 01/2010 · owns 25% to 50%
G••••• G•••••• P•••• · Membercontrol
since 08/2001 · owns 25% to 50% of F•••••• M••••••••• L••

Entity owners

R••••• F•••••• F••••• H•••••• C••••••• L•• · Member
indirect · owns 25% to 50% of F•••••• M••••••••• L••
F•••••• M••••••••• L•• · Member
direct · owns 5% to 10%

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 · 5 to 4
Aug 19, 2014 to Mar 31, 2015
Advisory employees · 5 to 4
Aug 19, 2014 to Mar 31, 2015
Assets in custody · $15.0M to $3.2M
Aug 19, 2014 to Mar 31, 2015
Employees · 9 to 7
Aug 19, 2014 to Mar 31, 2015
Discretionary RAUM · $373M to $399M
Aug 19, 2014 to Mar 31, 2015
Non-discretionary RAUM · $0 to $407,784
Aug 19, 2014 to Mar 31, 2015
RAUM · $373M to $399M
Aug 19, 2014 to Mar 31, 2015
Accounts · 7 to 5
Mar 22, 2013 to Mar 28, 2014
Advisory employees · 4 to 5
Mar 22, 2013 to Mar 28, 2014
Assets in custody · $15.0M to $15.0M
Mar 22, 2013 to Mar 28, 2014
Employees · 8 to 9
Mar 22, 2013 to Mar 28, 2014
Discretionary RAUM · $296M to $373M
Mar 22, 2013 to Mar 28, 2014
RAUM · $296M to $373M
Mar 22, 2013 to Mar 28, 2014
Accounts · 5 to 7
Mar 30, 2012 to Mar 22, 2013
Advisory employees · unset to 4.0
Mar 30, 2012 to Mar 22, 2013
Assets in custody · $14.6M to $15.0M
Mar 30, 2012 to Mar 22, 2013
Employees · unset to 8.0
Mar 30, 2012 to Mar 22, 2013
State-registered IARs · unset to 0.0
Mar 30, 2012 to Mar 22, 2013
Discretionary RAUM · $130M to $296M
Mar 30, 2012 to Mar 22, 2013
RAUM · $130M to $296M
Mar 30, 2012 to Mar 22, 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