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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•••••••• C•••••• A•••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 158313SEC 801-118264IAPD
Latest filing May 24, 2021
First filing on the tape Mar 6, 2012 · 10 filings
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$129M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$132M as of Mar 10, 2021
Mar 6, 2012$35.0M then
HNW client RAUM: $93.7M
State-registered IARs (5.B.3)2 as of Mar 10, 2021
Mar 6, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 24, 2021; every figure names its basis
RAUM per advisor
$65.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
118derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$304,241derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$2.2M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$93.7M71%
  • Individuals$34.8M26%
  • Pension and profit-sharing plans$3.2M2.4%
Individual clients
193reported
HNW clients
43reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
433reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.2M for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
  • S••••••• W••••••• N••• · Managing Member And Chief Compliance Officercontrol
    since 07/2011 · 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
  • Advisory activities · 5 to 4
    Mar 10, 2021 to May 24, 2021
  • Accounts · 385 to 433
    Jun 17, 2020 to Mar 10, 2021
  • HNW clients · 25 to 43
    Jun 17, 2020 to Mar 10, 2021
  • Individual clients · 192 to 193
    Jun 17, 2020 to Mar 10, 2021
  • Assets in custody · $13.9M to $2.2M
    Jun 17, 2020 to Mar 10, 2021
  • Financial planning clients · 1-10 to 0
    Jun 17, 2020 to Mar 10, 2021
  • Discretionary RAUM · $107M to $132M
    Jun 17, 2020 to Mar 10, 2021
  • HNW RAUM · $60.9M to $93.7M
    Jun 17, 2020 to Mar 10, 2021
  • Individual RAUM · $43.0M to $34.8M
    Jun 17, 2020 to Mar 10, 2021
  • Pension RAUM · $3.4M to $3.2M
    Jun 17, 2020 to Mar 10, 2021
  • RAUM · $107M to $132M
    Jun 17, 2020 to Mar 10, 2021
  • Accounts · 108 to 385
    May 14, 2012 to Feb 19, 2020
  • Advisory employees · unset to 2.0
    May 14, 2012 to Feb 19, 2020
  • HNW clients · unset to 25.0
    May 14, 2012 to Feb 19, 2020
  • Individual clients · unset to 192.0
    May 14, 2012 to Feb 19, 2020
  • Assets in custody · unset to 13869542.0
    May 14, 2012 to Feb 19, 2020
  • Custody of client assets · false to true
    May 14, 2012 to Feb 19, 2020
  • Employees · unset to 2.0
    May 14, 2012 to Feb 19, 2020
  • Financial planning clients · 0 to 1-10
    May 14, 2012 to Feb 19, 2020
  • State-registered IARs · 0 to 2
    May 14, 2012 to Feb 19, 2020
  • Other offices · unset to 0.0
    May 14, 2012 to Feb 19, 2020
  • Discretionary RAUM · $20.0M to $107M
    May 14, 2012 to Feb 19, 2020
  • HNW RAUM · unset to 60889394.0
    May 14, 2012 to Feb 19, 2020
  • Individual RAUM · unset to 43043141.0
    May 14, 2012 to Feb 19, 2020
  • Non-discretionary RAUM · $15.0M to $0
    May 14, 2012 to Feb 19, 2020
  • Pension RAUM · unset to 3444999.0
    May 14, 2012 to Feb 19, 2020
  • RAUM · $35.0M to $107M
    May 14, 2012 to Feb 19, 2020
Signals
1 dated events
  • A•••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 19, 2020 · 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