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•••• C• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 159043SEC 801-72746websiteIAPD
Latest filing Mar 28, 2025
First filing on the tape Dec 16, 2011 · 30 filings
SEC status approved since Oct 14, 2011
RAUM
$2.1B
reported, Item 5.F
Discretionary
94%
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
51
28 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.1B as of Mar 28, 2025
Jun 22, 2012$19B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Jun 22, 20120 then
Employees (5.A)51 as of Mar 28, 2025
May 28, 201321 then
Private funds2 as of Mar 28, 2025
Mar 30, 20212 then
RAUM +8.6% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; 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
$692MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
81%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
+8.6%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
Custody
$1.7B, 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
  • 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$1.7B81%
  • Pooled investment vehicles$386M19%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 1 clientsreported
Compensation
% of AUM, fixed, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S••• T••••••••• C••••••••• F••• I• L•Private Equity Fund$235M2Mar 30, 2021
    P••• L•Private Equity Fund$93.6M2Mar 30, 2021
    Owners and control persons
    Schedule A and B, latest filing
    • O••••••••• C••••• R•••••• · Chief Compliance Officercontrol
      since 11/2011 · owns less than 5%
    • F••••••• M••• · Membercontrol
      since 03/2020 · owns F of A•••• L••
    • P••••••••• A••••••••• · Membercontrol
      since 03/2020 · owns 25% to 50% of A•••• L••
    • V••• J••••• H••••• · Managing Membercontrol
      since 03/2020 · owns F of A•••• L••
    • A••••••••• P••••••• R•••••• · Member
      since 03/2020 · owns F of A•••• L••
    • B•••••• V•••••• · Member
      since 03/2020 · owns F of A•••• L••
    • D•••••••• M•••••••• M••••••• · Member
      since 03/2020 · owns F of A•••• L••
    • F•••••••• S••••• A•••••••• · Member
      since 03/2020 · owns F of A•••• L••
    • G•••••••• B••••• L•• · Member
      since 01/2024 · owns F of A•••• L••
    • K•••• K•••• B•••• · Member
      since 03/2020 · owns F of A•••• L••
    • K••••• M••••••• S••••• · Member
      since 03/2020 · owns F of A•••• L••
    • L••••••• J•••••• P• · Member
      since 03/2020 · owns F of A•••• L••
    • M•••••• T•••••• J•••• · Member
      since 03/2020 · owns F of A•••• L••
    • N•••• W••••••• T•••••• · Member
      since 01/2022 · owns F of A•••• L••
    • N•••••• O•••••• P•••• · Member
      since 03/2020 · owns F of A•••• L••
    • W•••••• M••••• · Member
      since 03/2020 · owns F of A•••• L••
    Entity owners
    • A•••• L•• · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • A•••• E••••• L••••••
      investment advisern
    • A•••• H••• K••• L••••••
      investment advisern
    • A•••• J•••• C••• L••
      investment advisern
    • A•••• L••
      investment adviserbankyRAUM $35B
    • O••• F•••• G• L•
      pooled vehicle sponsory
    • S••• T••••••••• C••••••••• F••• I• G•• L•
      pooled vehicle sponsory
    Advisers that list A•••• C• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 31 to 28
      Oct 9, 2024 to Mar 28, 2025
    • Assets in custody · $1.6B to $1.7B
      Oct 9, 2024 to Mar 28, 2025
    • Employees · 54 to 51
      Oct 9, 2024 to Mar 28, 2025
    • Financial planning clients · unset to
      Oct 9, 2024 to Mar 28, 2025
    • Discretionary RAUM · $1.8B to $2.0B
      Oct 9, 2024 to Mar 28, 2025
    • Non-discretionary RAUM · $93.6M to $116M
      Oct 9, 2024 to Mar 28, 2025
    • Pooled vehicle RAUM · $329M to $386M
      Oct 9, 2024 to Mar 28, 2025
    • RAUM · $1.9B to $2.1B
      Oct 9, 2024 to Mar 28, 2025
    • Advisory employees · 25 to 31
      Apr 20, 2023 to Mar 28, 2024
    • Advisory activities · 3 to 4
      Apr 20, 2023 to Mar 28, 2024
    • Assets in custody · $1.3B to $1.6B
      Apr 20, 2023 to Mar 28, 2024
    • Employees · 49 to 54
      Apr 20, 2023 to Mar 28, 2024
    • Discretionary RAUM · $1.5B to $1.8B
      Apr 20, 2023 to Mar 28, 2024
    • Non-discretionary RAUM · $61.8M to $93.6M
      Apr 20, 2023 to Mar 28, 2024
    • Pooled vehicle RAUM · $238M to $329M
      Apr 20, 2023 to Mar 28, 2024
    • RAUM · $1.6B to $1.9B
      Apr 20, 2023 to Mar 28, 2024
    • Advisory employees · 32 to 25
      Feb 7, 2023 to Mar 31, 2023
    • Assets in custody · $890M to $1.3B
      Feb 7, 2023 to Mar 31, 2023
    • Employees · 56 to 49
      Feb 7, 2023 to Mar 31, 2023
    • Discretionary RAUM · $993M to $1.5B
      Feb 7, 2023 to Mar 31, 2023
    • Non-discretionary RAUM · $43.1M to $61.8M
      Feb 7, 2023 to Mar 31, 2023
    • Pooled vehicle RAUM · $146M to $238M
      Feb 7, 2023 to Mar 31, 2023
    • RAUM · $1.0B to $1.6B
      Feb 7, 2023 to Mar 31, 2023
    • Business name · A•••• T••••••••• P••••••• L•• to A•••• C• L••
      Mar 31, 2022 to Feb 7, 2023
    • Legal name · A•••• T••••••••• P••••••• L•• to A•••• C• L••
      Mar 31, 2022 to Feb 7, 2023
    • Advisory employees · 33 to 32
      Jul 2, 2021 to Mar 31, 2022
    • Assets in custody · $573M to $890M
      Jul 2, 2021 to Mar 31, 2022
    • Employees · 60 to 56
      Jul 2, 2021 to Mar 31, 2022
    • State-registered IARs · 3 to 0
      Jul 2, 2021 to Mar 31, 2022
    • Discretionary RAUM · $595M to $993M
      Jul 2, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $16.6M to $43.1M
      Jul 2, 2021 to Mar 31, 2022
    • Pooled vehicle RAUM · $38.7M to $146M
      Jul 2, 2021 to Mar 31, 2022
    • RAUM · $612M to $1.0B
      Jul 2, 2021 to Mar 31, 2022
    • Business name · T••••••••• C•••••• P••••••• L•• to A•••• T••••••••• P••••••• L••
      Mar 30, 2021 to Jul 2, 2021
    • Accounts · 1 to 3
      Apr 30, 2020 to Mar 30, 2021
    • Advisory employees · 30 to 33
      Apr 30, 2020 to Mar 30, 2021
    • Pooled vehicle clients · unset to 2.0
      Apr 30, 2020 to Mar 30, 2021
    • Assets in custody · $876M to $573M
      Apr 30, 2020 to Mar 30, 2021
    • Employees · 57 to 60
      Apr 30, 2020 to Mar 30, 2021
    • Legal name · T••••••••• C•••••• P••••••• L•• to A•••• T••••••••• P••••••• L••
      Apr 30, 2020 to Mar 30, 2021
    Signals
    8 dated events
    • A•••• C• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $2.1B)
      May 1, 2026 · Left the SEC roster · derived
    • A•••• C• L•• reported RAUM $1.6B, up 50% from $1.0B (2023-02-07 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • A•••• C• L•• reported RAUM $1.0B, up 69% from $611.8M (2021-07-02 to 2022-03-31)
      Mar 31, 2022 · RAUM change · derived
    • A•••• C• L•• reported RAUM $611.8M, up 191% from $210.5M (2020-04-30 to 2021-03-30)
      Mar 30, 2021 · RAUM change · derived
    • A•••• C• L•• reported RAUM $210.5M, down 99% from $35.2B (2020-03-12 to 2020-04-30)
      Apr 30, 2020 · RAUM change · derived
    • Hayden James Vos (Managing Member) appeared on Schedule A of A•••• C• L••
      Apr 30, 2020 · Control person joined · fact
    • Alexandros Panagiotidis (Member) appeared on Schedule A of A•••• C• L••
      Apr 30, 2020 · Control person joined · fact
    • A•••• C• L•• reported RAUM $32.5B, up 30% from $25.0B (2018-07-06 to 2019-03-15)
      Mar 15, 2019 · 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