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••••• M••••••••• P••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 158845SEC 801-73915IAPD
Latest filing Oct 4, 2021
First filing on the tape Feb 14, 2012 · 17 filings
RAUM
$4.2B
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
28
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
$4.2B gross assets
History
17 filings and snapshots on the tape
RAUM$3.9B as of Mar 31, 2021
Apr 1, 2013$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)28 as of Mar 31, 2021
Apr 1, 201329 then
Private funds16 as of Mar 31, 2021
Apr 1, 201321 then
RAUM +21% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 4, 2021; 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
$265MderivedRAUM 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
+11%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
$4.2B, 16 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$4.2B for 16 clientsreported
Compensation
% of AUM, performancereported
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
      23 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• R••••••••• F••• •• L•••no longer reportedPrivate Equity Fund$333M2Feb 14, 2012
      A••••• E••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$279M46Feb 14, 2012
      A••••• R••••••••• F••• L•••no longer reportedPrivate Equity Fund$117M8Feb 14, 2012
      A••••• R••••••••• F••• I• L•••no longer reportedPrivate Equity Fund$76.4M33Mar 31, 2014
      A••••• R••••••••• F••• ••• L•••no longer reportedPrivate Equity Fund$70.8M4Feb 14, 2012
      A••••• E••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$49.7M53Feb 14, 2012
      A•• I• M••••••• E••••• C••••••••• L••no longer reportedPrivate Equity Fund$15.1M6Mar 31, 2015
      M••••••• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$6.5M30Feb 14, 2012
      A••••• O••••••• E••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$3.4M2Feb 14, 2012
      A••••• R••••••••• A••••••••• L•••no longer reportedPrivate Equity Fund$2.6M17Feb 14, 2012
      W•••••• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$1.5M28Feb 14, 2012
      A•• I• M••••••• E••••• P••••••• L•no longer reportedPrivate Equity Fund$898,16910Mar 31, 2015
      U•• E••••• P••••••• L•••no longer reportedOther Private Fund$821,25018Feb 14, 2012
      A••••• A••••••••• I• L•••no longer reportedPrivate Equity Fund$656,83110Feb 14, 2012
      A••••• O••••••• E••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$587,6862Feb 14, 2012
      A••••• A••••••••• I•• L•••no longer reportedPrivate Equity Fund$346,78115Feb 14, 2012
      I••• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$118,65134Feb 14, 2012
      A••••• R•• C•••••••• L••no longer reportedPrivate Equity Fund$85,6715Mar 30, 2016
      R•• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$48,57932Mar 30, 2016
      A••• G••••• L•••no longer reportedPrivate Equity Fund$43,21227Feb 14, 2012
      D• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$20,84637Apr 1, 2013
      P•••• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$20,30150Feb 14, 2012
      N•••• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$16,37027Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• J•••••• R••• · Partnercontrol
        since 01/2010 · owns less than 5%
      • M••••• J•••• T••••• · Partner And Managing Membercontrol
        since 01/2001 · owns 25% to 50%
      • P•••••• G•••••• L••••••• · Chairman And Managing Membercontrol
        since 03/1998 · owns 25% to 50%
      • R••••••••• M•••• D••••• · Partnercontrol
        since 01/2007 · owns less than 5%
      • W•••• R•••••• K•••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••• A••••••• I• L••
        pooled vehicle sponsorn
      • A••••• C•••••• P••••••• I• L••
        pooled vehicle sponsorn
      • A••••• C•••••• P••••••• V• L•••
        pooled vehicle sponsorn
      • A••••• C•••••• P••••••• V• L•••
        pooled vehicle sponsorn
      • A••••• F••• V• U•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $3.9B to $4.2B
        Mar 31, 2021 to Oct 4, 2021
      • Discretionary RAUM · $3.9B to $4.2B
        Mar 31, 2021 to Oct 4, 2021
      • Pooled vehicle RAUM · $3.9B to $4.2B
        Mar 31, 2021 to Oct 4, 2021
      • RAUM · $3.9B to $4.2B
        Mar 31, 2021 to Oct 4, 2021
      • Accounts · 19 to 16
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 24 to 23
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 19 to 16
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $3.5B to $3.9B
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 30 to 28
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 19 to 16
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $3.5B to $3.9B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $3.5B to $3.9B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $3.5B to $3.9B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 22 to 19
        Feb 6, 2020 to Mar 30, 2020
      • Advisory employees · 21 to 24
        Feb 6, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 22 to 19
        Feb 6, 2020 to Mar 30, 2020
      • Assets in custody · $2.0B to $3.5B
        Feb 6, 2020 to Mar 30, 2020
      • Employees · 27 to 30
        Feb 6, 2020 to Mar 30, 2020
      • Private funds · 20 to 19
        Feb 6, 2020 to Mar 30, 2020
      • Discretionary RAUM · $2.0B to $3.5B
        Feb 6, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.0B to $3.5B
        Feb 6, 2020 to Mar 30, 2020
      • RAUM · $2.0B to $3.5B
        Feb 6, 2020 to Mar 30, 2020
      • Related bank · true to false
        Feb 6, 2020 to Mar 30, 2020
      • Private funds · 22 to 20
        Jun 6, 2019 to Feb 6, 2020
      • Accounts · 23 to 22
        Nov 1, 2018 to Mar 29, 2019
      • Advisory employees · 23 to 21
        Nov 1, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 23 to 22
        Nov 1, 2018 to Mar 29, 2019
      • Assets in custody · $2.5B to $2.0B
        Nov 1, 2018 to Mar 29, 2019
      • Employees · 30 to 27
        Nov 1, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.5B to $2.0B
        Nov 1, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.5B to $2.0B
        Nov 1, 2018 to Mar 29, 2019
      • RAUM · $2.5B to $2.0B
        Nov 1, 2018 to Mar 29, 2019
      • Accounts · 22 to 23
        Mar 31, 2017 to Mar 31, 2018
      • Advisory employees · 22 to 23
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 23.0
        Mar 31, 2017 to Mar 31, 2018
      • Assets in custody · unset to 2521515912.0
        Mar 31, 2017 to Mar 31, 2018
      • Custody of client assets · false to true
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Private funds · 21 to 22
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $2.8B to $2.5B
        Mar 31, 2017 to Mar 31, 2018
      Signals
      2 dated events
      • J Michael Marino (Partner) no longer on Schedule A of Aurora Management Partners Llc (listed 2020-03-30, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Aurora Management Partners Llc reported RAUM $3.5B, up 71% from $2.0B (2020-02-06 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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