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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SEC-registered adviser
Y•••••• M••••• M••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 13, 2012 · 19 filings
SEC status approved since Mar 21, 2012
RAUM
$1.5B
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
23
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2026
Apr 1, 2013$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20130 then
Employees (5.A)23 as of Mar 30, 2026
Apr 1, 201354 then
Private funds8 as of Mar 30, 2026
Apr 1, 20138 then
RAUM +22% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $186MderivedRAUM 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
- +22%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.5B, 8 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.5B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Y•••••• A••••••• A••••••• F••• I•• L• | Private Equity Fund | $745M | 15 | Feb 13, 2012 |
| Y•••••• A••••••• A••••••• ••••••••• F••• I•• L• | Private Equity Fund | $488M | 28 | Feb 13, 2012 |
| Y•••••• A••••••• A••••••• I••• L• | Private Equity Fund | $163M | 6 | Mar 31, 2016 |
| Y•••••• A••••••• A••••••• ••••••••• I••• L• | Private Equity Fund | $51.5M | 6 | Mar 31, 2016 |
| Y•••••• C•••••••• I••••••••• F••• I• L• | Private Equity Fund | $13.8M | 5 | Feb 13, 2012 |
| Y•••••• C•••••••• I••••••••• F••• I•• L• | Private Equity Fund | $11.5M | 15 | Feb 13, 2012 |
| Y•••••• C•••••••• I••••••••• ••••••••• F••• I•• L• | Private Equity Fund | $3.1M | 12 | Feb 13, 2012 |
| Y•••••• A••••••• S•••••• S•••••••• F••• I• L• | Private Equity Fund | $3.0M | 2 | Feb 13, 2012 |
| Y•••••• A••••••• A••••••• F••• I• L• | Private Equity Fund | $17 | 2 | Feb 13, 2012 |
| Y•••••• A••••••• A••••••• ••••••••• F••• I• L• | Private Equity Fund | $3 | 2 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• H•••• · Chief Financial Officer Of Y•••••• M••••• M••••••• L••controlsince 01/2016 · owns less than 5%
- B••••••••• R•••••• P• · Vice President, Secretary And General Counsel Of Y•••••• C•••••••• I••••••••• F••• I•• L••controlsince 08/2007 · owns less than 5%
- B•••••• R•••••• W•••• · Managing Member Of Y•••••• C•••••••• I••••••••• F••• I• L••controlsince 07/2001 · owns 75% or more
- L•••••• D•••••• A•••• · Assistant General Counsel And Chief Compliance Officer Of Y•••••• M••••• M••••••• L••controlsince 03/2022 · owns less than 5%
- S••••••• S••••• L••••• · Senior Partner Of Y•••••• M••••• M••••••• L••controlsince 05/2011 · owns less than 5%
- T••••••• I••• L•••• · Senior Partner Of Y•••••• M••••• M••••••• L••controlsince 05/2011 · owns less than 5%
- B•••••• R•••••• W•••• · Member Of Y•••••• A••••••• A••••••••• L••controlsince 08/2004 · owns 75% or more of Y•••••• A••••••• A••••••••• L••
- B•••••• R•••••• W•••• · Managing Member Of Y•••••• A••••••• M••••••••• L••controlsince 08/2004 · owns 25% to 50% of Y•••••• A••••••• M••••••••• L••
- B•••••• R•••••• W•••• · Managing Member Of Y•••••• C•••••••• A•••••••• I•• L••controlsince 05/2008 · owns 75% or more of Y•••••• C•••••••• A•••••••• I•• L••
- B•••••• R•••••• W•••• · Managing Member Of R••• I•• L••controlsince 08/2007 · owns 25% to 50% of R••• I•• L••
- J••••••• E••••• · Trustee Of June Bug L••••••• Trustcontrolsince 03/1992 · owns 75% or more of June Bug L••••••• Trust
Entity owners
- J•••••• C•••••• M••••••••• · Member Of Y•••••• C•••••••• I••••••••• F••• I•• L••direct · owns 50% to 75%
- J•••••• C•••••• M••••••••• L•• · Member Of C••••••••• M••••••••• A••••••••• I•• L••direct · owns 25% to 50%
- R••• I•• L•• · Managing Member Of Y•••••• C•••••••• I••••••••• F••• I•• L••direct · owns 75% or more
- Y•••••• A••••••• F••••• L•• · Sole Member Of Y•••••• A••••••• A••••••• F••• I•• L••direct · owns 75% or more
- Y•••••• M••••• M••••••• L•• · Sole Member Of Y••• M••••••• L••direct · owns 75% or more
- J•••••• L••••••• T•••• · Member Of J•••••• C•••••• M••••••••• LLCindirect · owns 75% or more of J•••••• C•••••• M••••••••• LLC
- Y•••••• A••••••• A••••••••• L•• · Member Of Y•••••• A••••••• M••••••••• L••indirect · owns 50% to 75% of Y•••••• A••••••• M••••••••• L••
- Y•••••• A••••••• M••••••••• L•• · Member Of Y•••••• A••••••• F••••• L••indirect · owns 75% or more of Y•••••• A••••••• F••••• L••
- Y•••••• C•••••••• A•••••••• I•• L•• · Member Of R••• I•• L••indirect · owns 50% to 75% of R••• I•• L••
Related persons
Schedule D 7.A
- A•••••• M••••••••• L••investment advisern
- C••••••••• M••••••••• A••••••••• I•• L••investment advisery
- C••••••••• M••••••••• A••••••••• L••investment advisery
- Y••• M••••••• L••investment advisery
- Y•••••• A••••••• M••••••••• L••investment advisery
- Y•••••• A••••••• A••••••• F••• I•• L••pooled vehicle sponsorn
- Y•••••• A••••••• A••••••• I••• L••pooled vehicle sponsorn
- Y•••••• A••••••• S•••••• S••••••••• F••• I• L••pooled vehicle sponsorn
- Y•••••• C•••••••• I••••••••• F••• I• L••pooled vehicle sponsorn
- Y•••••• C•••••••• I••••••••• F••• I•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 21 to 22May 20, 2025 to Mar 30, 2026
- Assets in custody · $1.4B to $1.5BMay 20, 2025 to Mar 30, 2026
- Employees · 22 to 23May 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.4B to $1.5BMay 20, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.4B to $1.5BMay 20, 2025 to Mar 30, 2026
- RAUM · $1.4B to $1.5BMay 20, 2025 to Mar 30, 2026
- Assets in custody · $1.2B to $1.4BMar 26, 2025 to May 20, 2025
- Financial planning clients · unset to Mar 26, 2025 to May 20, 2025
- Discretionary RAUM · $1.2B to $1.4BMar 26, 2025 to May 20, 2025
- Pooled vehicle RAUM · $1.2B to $1.4BMar 26, 2025 to May 20, 2025
- RAUM · $1.2B to $1.4BMar 26, 2025 to May 20, 2025
- Advisory employees · 22 to 21Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $1.5B to $1.2BMar 26, 2024 to Mar 26, 2025
- Employees · 23 to 22Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.5B to $1.2BMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.5B to $1.2BMar 26, 2024 to Mar 26, 2025
- RAUM · $1.5B to $1.2BMar 26, 2024 to Mar 26, 2025
- Accounts · 10 to 8Mar 25, 2024 to Mar 26, 2024
- Pooled vehicle clients · 10 to 8Mar 25, 2024 to Mar 26, 2024
- Assets in custody · $1.5B to $1.5BMar 25, 2024 to Mar 26, 2024
- Private funds · 10 to 8Mar 25, 2024 to Mar 26, 2024
- Discretionary RAUM · $1.5B to $1.5BMar 25, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $1.5B to $1.5BMar 25, 2024 to Mar 26, 2024
- RAUM · $1.5B to $1.5BMar 25, 2024 to Mar 26, 2024
- Advisory employees · 23 to 22Mar 22, 2023 to Mar 25, 2024
- Assets in custody · $1.3B to $1.5BMar 22, 2023 to Mar 25, 2024
- Employees · 25 to 23Mar 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.3B to $1.5BMar 22, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.3B to $1.5BMar 22, 2023 to Mar 25, 2024
- RAUM · $1.3B to $1.5BMar 22, 2023 to Mar 25, 2024
- Advisory employees · 25 to 23Mar 30, 2022 to Mar 22, 2023
- Assets in custody · $2.0B to $1.3BMar 30, 2022 to Mar 22, 2023
- Employees · 27 to 25Mar 30, 2022 to Mar 22, 2023
- Discretionary RAUM · $2.0B to $1.3BMar 30, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $2.0B to $1.3BMar 30, 2022 to Mar 22, 2023
- RAUM · $2.0B to $1.3BMar 30, 2022 to Mar 22, 2023
- Advisory employees · 26 to 25Mar 29, 2021 to Mar 30, 2022
- Assets in custody · $1.8B to $2.0BMar 29, 2021 to Mar 30, 2022
- Employees · 28 to 27Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.9B to $2.0BMar 29, 2021 to Mar 30, 2022
Signals
3 dated events
- Y•••••• M••••• M••••••• L•• reported RAUM $1.3B, down 34% from $2.0B (2022-03-30 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Allen Daniel Larsen (Assistant General Counsel And Chief Compliance Officer Of Y•••••• M••••• M••••••• L••) appeared on Schedule A of Y•••••• M••••• M••••••• L••Mar 30, 2022 · Control person joined · fact
- Y•••••• M••••• M••••••• L•• reported RAUM $2.0B, down 30% from $2.9B (2019-03-26 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Y•••••• M••••• M••••••• L•• · Independent Sponsorsshared crd · capital_provider
- Y•••••• M••••• M••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- Y••••••CO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-228-2894reportedpublic record, Form ADV, Mar 30, 2026
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
- ASSET M••••••deriveda 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