DFX Intelligence

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S•••••••• A•••••••• L•••

Former SEC-registered adviserFormer SEC adviser1 private funds· Los Angeles, California

Former SEC-registered adviser, based in Los Angeles, California, reporting $2.6B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2016-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $2.6B
RAUM change, 1 year: -2.4%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2016-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Mar 2016, RAUM $2.64B to $2.58B (-2.4%) on the Form ADV filed 28 Mar 2016.

Every filed figure, and the identifiersCRD 158221 · SEC 801-73909 · 12 filingsShow

CRD 158221SEC 801-73909First filing on the tape Feb 14, 2012, latest Mar 28, 2016IAPD

RAUM

$2.6B

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

Not computed

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$2.6B gross assets

History

12 filings and snapshots on the tape

RAUM +12% a year over three years · the tape starts Feb 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$2.6B as of Mar 18, 2016

Apr 1, 2013$1.9B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 18, 2016

Apr 1, 20130 then

Employees (5.A)17 as of Mar 18, 2016

Apr 1, 201315 then

Private funds1 as of Mar 18, 2016

Apr 1, 20134 then

RAUM -2.4% over the last fiscal year+12% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 28, 2016; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $860MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: -2.4%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: $1.6B, 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)
compensates persons for client referrals (8.G.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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $1.6B for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
J•• C•••••• P•••••••• L•••	Hedge Fund	$1.7B	136	Feb 14, 2012
J•• C•••••• P••••••• O•••••••• L•••	Hedge Fund	$764M	43	Feb 14, 2012
J•• C•••••• P••••••• M••••• F•••• L•••	Hedge Fund	$67.1M	116	Feb 14, 2012
W•••• W••• V•••••••• L••no longer reported	Hedge Fund	$36.1M	11	Feb 14, 2012
A••••• S••• L•••	Hedge Fund	$19,000	12	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• J•••••••• M•••••• · Limited Partner, Portfolio Managercontrol
since 03/2006 · owns 50% to 75%
H•••••• C••••• S•••••• · Limited Partner, Portfolio Managercontrol
since 04/2006 · owns 25% to 50%
B•••••• J•••••••• M•••••• · Member, Managercontrol
since 03/2006 · owns 75% or more of S•••••••• G•••••• P••••••• L••
B•••• S•••••• R••••• · President, Chief Operating Officer
since 01/2013 · owns less than 5%
L•••• M••••••• · G•••••• Counsel / Chief Compliance Officer
since 03/2016 · owns less than 5%

Entity owners

S•••••••• G•••••• P••••••• L•• · G•••••• Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

S•••••••• A••••••• G•••••• L•••
investment adviserbankn
S•••••••• P•••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Apr 10, 2015 to Mar 18, 2016
Advisory employees · 6 to 7
Apr 10, 2015 to Mar 18, 2016
Assets in custody · $2.4B to $1.6B
Apr 10, 2015 to Mar 18, 2016
Employees · 15 to 17
Apr 10, 2015 to Mar 18, 2016
Private funds · 4 to 1
Apr 10, 2015 to Mar 18, 2016

Full history · 23 changes

Discretionary RAUM · $2.6B to $2.6B
Apr 10, 2015 to Mar 18, 2016
RAUM · $2.6B to $2.6B
Apr 10, 2015 to Mar 18, 2016
Assets in custody · $1.9B to $2.4B
Mar 31, 2014 to Mar 31, 2015
Discretionary RAUM · $2.3B to $2.6B
Mar 31, 2014 to Mar 31, 2015
RAUM · $2.3B to $2.6B
Mar 31, 2014 to Mar 31, 2015
Assets in custody · $1.4B to $1.9B
Jun 10, 2013 to Mar 31, 2014
Discretionary RAUM · $1.9B to $2.3B
Jun 10, 2013 to Mar 31, 2014
RAUM · $1.9B to $2.3B
Jun 10, 2013 to Mar 31, 2014
Accounts · 5 to 4
Mar 30, 2012 to Apr 1, 2013
Advisory employees · unset to 6.0
Mar 30, 2012 to Apr 1, 2013
BD registered reps · unset to 0.0
Mar 30, 2012 to Apr 1, 2013
Assets in custody · unset to 1426000000.0
Mar 30, 2012 to Apr 1, 2013
Custody of client assets · false to true
Mar 30, 2012 to Apr 1, 2013
Employees · unset to 15.0
Mar 30, 2012 to Apr 1, 2013
State-registered IARs · unset to 0.0
Mar 30, 2012 to Apr 1, 2013
Private funds · 5 to 4
Mar 30, 2012 to Apr 1, 2013
Discretionary RAUM · $1.9B to $1.9B
Mar 30, 2012 to Apr 1, 2013
RAUM · $1.9B to $1.9B
Mar 30, 2012 to Apr 1, 2013

Signals

1 dated events

••• Locked
Apr 10, 2017 · ria registration change · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026