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•••• M•••••••••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 157705SEC 801-80079IAPD
Legal name A••••••• I••••••••• C••••••• L••
Latest filing Apr 13, 2018
First filing on the tape Jul 7, 2014 · 12 filings
RAUM
$11.3M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
91%
$10.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$11.3M as of Mar 20, 2018
Jan 2, 2015$8.9M then
HNW client RAUM: $4.5M
State-registered IARs (5.B.3)2 as of Mar 20, 2018
Jan 2, 20151 then
Employees (5.A)2 as of Mar 20, 2018
Jan 2, 20151 then
Private funds: no history
RAUM +13% over the last fiscal year+8.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 13, 2018; every figure names its basis
RAUM per advisor
$5.6MderivedRAUM 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
$185,175derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companies, publicationsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$5.8M51%
  • High-net-worth individuals$4.5M40%
  • Investment companies$1.0M8.9%
Individual clients
30reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
11-25reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••••• S••••• G•• · Managing Member/Ccocontrol
    since 04/2011 · owns 75% or more
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 · 41 to 61
    Jan 20, 2017 to Mar 20, 2018
  • Individual clients · unset to 30.0
    Jan 20, 2017 to Mar 20, 2018
  • Financial planning clients · 1-10 to 11-25
    Jan 20, 2017 to Mar 20, 2018
  • Other offices · unset to 1.0
    Jan 20, 2017 to Mar 20, 2018
  • Discretionary RAUM · $9.0M to $10.3M
    Jan 20, 2017 to Mar 20, 2018
  • HNW RAUM · unset to 4496721.0
    Jan 20, 2017 to Mar 20, 2018
  • Individual RAUM · unset to 5798958.0
    Jan 20, 2017 to Mar 20, 2018
  • RAUM · $10.0M to $11.3M
    Jan 20, 2017 to Mar 20, 2018
  • Accounts · 46 to 41
    Mar 4, 2016 to Jan 20, 2017
  • Advisory employees · 3 to 2
    Mar 4, 2016 to Jan 20, 2017
  • Employees · 3 to 2
    Mar 4, 2016 to Jan 20, 2017
  • Financial planning clients · 0 to 1-10
    Mar 4, 2016 to Jan 20, 2017
  • State-registered IARs · 3 to 2
    Mar 4, 2016 to Jan 20, 2017
  • Discretionary RAUM · $6.0M to $9.0M
    Mar 4, 2016 to Jan 20, 2017
  • Non-discretionary RAUM · $1.5M to $1.0M
    Mar 4, 2016 to Jan 20, 2017
  • RAUM · $7.5M to $10.0M
    Mar 4, 2016 to Jan 20, 2017
  • Accounts · 27 to 46
    Feb 9, 2016 to Mar 4, 2016
  • Advisory employees · 2 to 3
    Feb 9, 2016 to Mar 4, 2016
  • Employees · 2 to 3
    Feb 9, 2016 to Mar 4, 2016
  • State-registered IARs · 2 to 3
    Feb 9, 2016 to Mar 4, 2016
  • Advisory activities · 3 to 4
    Jan 20, 2016 to Feb 9, 2016
  • Advisory employees · 1 to 2
    Dec 7, 2015 to Jan 20, 2016
  • Advisory activities · 2 to 3
    Dec 7, 2015 to Jan 20, 2016
  • Employees · 1 to 2
    Dec 7, 2015 to Jan 20, 2016
  • State-registered IARs · 1 to 2
    Dec 7, 2015 to Jan 20, 2016
  • Accounts · 32 to 27
    Jun 16, 2015 to Dec 7, 2015
  • Discretionary RAUM · $7.4M to $6.0M
    Jun 16, 2015 to Dec 7, 2015
  • RAUM · $8.9M to $7.5M
    Jun 16, 2015 to Dec 7, 2015
  • Accounts · 29 to 32
    Jul 9, 2014 to Jan 2, 2015
  • Discretionary RAUM · $6.5M to $7.4M
    Jul 9, 2014 to Jan 2, 2015
  • RAUM · $8.0M to $8.9M
    Jul 9, 2014 to Jan 2, 2015
Signals
1 dated events
  • A••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
    Jul 7, 2014 · 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