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V••••• O• S•••••• I••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Playa Del Rey, California

Former SEC-registered adviser, based in Playa Del Rey, California.

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

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 5 Form ADV filings for this adviser, the latest 12.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 158743 · SEC 801-72854 · 5 filingsShow
CRD 158743SEC 801-72854First filing on the tape Nov 7, 2011, latest Mar 20, 2014IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$10.2M as of Mar 19, 2013
Mar 15, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2014
Mar 19, 20132 then
Employees (5.A)2 as of Mar 20, 2014
Mar 19, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2014; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• C••••••••• D•• · Managing Directorcontrol
        since 06/2011 · owns less than 5%
      • M••••••• G••••••• J••• · Managing Director & Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      • K•••••• C••••••••• D•• · Managing Director & Membercontrol
        since 10/2009 · owns 50% to 75% of M••• I••••••••• L••
      • M••••••• G••••••• J••• · Managing Director, Chief Compliance Officer & Membercontrol
        since 10/2009 · owns 50% to 75% of M••• I••••••••• L••
      Entity owners
      • M••• I••••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1400.0 to unset
        Mar 19, 2013 to Mar 20, 2014
      • Employees · 3 to 2
        Mar 19, 2013 to Mar 20, 2014
      • Discretionary RAUM · 10200000.0 to unset
        Mar 19, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Mar 19, 2013 to Mar 20, 2014
      • RAUM · 10200000.0 to unset
        Mar 19, 2013 to Mar 20, 2014
      • Accounts · 0 to 1,400
        Mar 15, 2012 to Mar 19, 2013
      • Advisory employees · unset to 2.0
        Mar 15, 2012 to Mar 19, 2013
      • Employees · unset to 3.0
        Mar 15, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 2.0
        Mar 15, 2012 to Mar 19, 2013
      • Discretionary RAUM · $0 to $10.2M
        Mar 15, 2012 to Mar 19, 2013
      • RAUM · $0 to $10.2M
        Mar 15, 2012 to Mar 19, 2013
      • Insurance-licensed employees · 3 to 2
        Mar 8, 2012 to Mar 15, 2012
      • Insurance-licensed employees · unset to 3.0
        Nov 7, 2011 to Mar 8, 2012
      • Financial planning clients · unset to 0
        Nov 7, 2011 to Mar 8, 2012
      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