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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SEC-registered adviser
L••••• P•••••••• L••
Latest filing Jan 29, 2026
First filing on the tape Feb 21, 2012 · 21 filings
SEC status approved since Oct 28, 2011
RAUM
$778M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$389M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$778M as of Jan 29, 2026
Mar 28, 2012$105M then
HNW client RAUM$0 as of Jan 29, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)3 as of Jan 29, 2026
Mar 28, 20120 then
Employees (5.A)4 as of Jan 29, 2026
Mar 25, 20132 then
Private funds10 as of Jan 29, 2026
Mar 28, 20121 then
RAUM +6.6% over the last fiscal year-0.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
- RAUM per advisor
- $389MderivedRAUM 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
- $86.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- 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)
- compensates non-employees for client referrals (8.G.2)
- 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$778M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J•••• R••••••• | Los Angeles, Ca | Oct 20, 2025 | 32 y | 0 |
| G•••• D• S•••••• | Los Angeles, Ca | Dec 19, 2025 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• C•••••• I••• L••• | Private Equity Fund | $176M | 296 | Mar 20, 2017 |
| L••••• H•••••• I••••••••• P••••••••• L••• | Private Equity Fund | $143M | 2 | Mar 23, 2018 |
| L••••• H••••••• L••• | Private Equity Fund | $123M | 198 | Sep 5, 2014 |
| L••••• C••••••• L••• | Private Equity Fund | $54.3M | 88 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••• R•••••• I• · Managing Membercontrolsince 05/2011 · owns 75% or more
- R•••••••• R••••••• J•••• · Chief Compliance Officercontrolsince 05/2011 · owns less than 5%
Related persons
Schedule D 7.A
- L••••• C•••••• G•• L•••pooled vehicle sponsory
- L••••• C•••••• I•• G•• L•••pooled vehicle sponsory
- L••••• H•••••• G•• L•••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Jan 29, 2026discretionary share of RAUM moved from 69.0% to 100.0% between the annual amendments of 2025-02-27 and 2026-01-29peers: asset managers, $500M to $1B (784)
- private fund count surgeChange between filings · filing Jan 29, 2026private funds (Schedule D 7.B.1) moved from 4.0 to 10.0 (+150.0%) between the annual amendments of 2025-02-27 and 2026-01-29; the peer median change was 0.0% (489 comparable advisers, 100.0th percentile of changes)peers: asset managers, $500M to $1B (489) · 100% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $767M to $778MOct 17, 2025 to Jan 29, 2026
- Pooled vehicle RAUM · $767M to $778MOct 17, 2025 to Jan 29, 2026
- RAUM · $767M to $778MOct 17, 2025 to Jan 29, 2026
- Private funds · 4 to 10Feb 27, 2025 to Oct 17, 2025
- Discretionary RAUM · $504M to $767MFeb 27, 2025 to Oct 17, 2025
- Non-discretionary RAUM · $225M to $0Feb 27, 2025 to Oct 17, 2025
- Pooled vehicle RAUM · $729M to $767MFeb 27, 2025 to Oct 17, 2025
- RAUM · $729M to $767MFeb 27, 2025 to Oct 17, 2025
- Financial planning clients · unset to Feb 8, 2024 to Feb 27, 2025
- Discretionary RAUM · $512M to $504MFeb 8, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $233M to $225MFeb 8, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · $745M to $729MFeb 8, 2024 to Feb 27, 2025
- RAUM · $745M to $729MFeb 8, 2024 to Feb 27, 2025
- Discretionary RAUM · $547M to $512MMar 1, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $244M to $233MMar 1, 2023 to Feb 8, 2024
- Pooled vehicle RAUM · $791M to $745MMar 1, 2023 to Feb 8, 2024
- RAUM · $791M to $745MMar 1, 2023 to Feb 8, 2024
- Discretionary RAUM · $719M to $547MFeb 23, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $333M to $244MFeb 23, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $1.1B to $791MFeb 23, 2022 to Mar 1, 2023
- RAUM · $1.1B to $791MFeb 23, 2022 to Mar 1, 2023
- Discretionary RAUM · $768M to $719MMar 8, 2021 to Feb 23, 2022
- Non-discretionary RAUM · $339M to $333MMar 8, 2021 to Feb 23, 2022
- Pooled vehicle RAUM · $1.1B to $1.1BMar 8, 2021 to Feb 23, 2022
- RAUM · $1.1B to $1.1BMar 8, 2021 to Feb 23, 2022
- Non-discretionary RAUM · $321M to $339MFeb 18, 2020 to Mar 8, 2021
- Pooled vehicle RAUM · $1.1B to $1.1BFeb 18, 2020 to Mar 8, 2021
- RAUM · $1.1B to $1.1BFeb 18, 2020 to Mar 8, 2021
- Discretionary RAUM · $733M to $768MFeb 18, 2020 to Mar 8, 2021
- Discretionary RAUM · $587M to $733MMar 18, 2019 to Feb 18, 2020
- Non-discretionary RAUM · $409M to $321MMar 18, 2019 to Feb 18, 2020
- Pooled vehicle RAUM · $996M to $1.1BMar 18, 2019 to Feb 18, 2020
- RAUM · $996M to $1.1BMar 18, 2019 to Feb 18, 2020
- Accounts · 7 to 9Mar 23, 2018 to Mar 18, 2019
- Pooled vehicle clients · 7 to 9Mar 23, 2018 to Mar 18, 2019
- Discretionary RAUM · $589M to $587MMar 23, 2018 to Mar 18, 2019
- Non-discretionary RAUM · $398M to $409MMar 23, 2018 to Mar 18, 2019
- Pooled vehicle RAUM · $987M to $996MMar 23, 2018 to Mar 18, 2019
- RAUM · $987M to $996MMar 23, 2018 to Mar 18, 2019
- Accounts · 6 to 7Jun 27, 2017 to Mar 23, 2018
Signals
1 dated events
- L••••• P••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 5, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- L••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- L••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- l•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 424-777-0776reportedpublic record, Form ADV, Jan 29, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $389Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026