DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

M••••••••• C••••••• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 159599SEC 801-72889IAPD

Latest filing Mar 30, 2015

First filing on the tape Nov 11, 2011 · 8 filings

RAUM

$26.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$16.3M gross assets

History

8 filings and snapshots on the tape

RAUM$26.8M as of Mar 30, 2015

Mar 22, 2012$19.5M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2015

Feb 13, 20130 then

Employees (5.A)2 as of Mar 30, 2015

Feb 13, 20133 then

Private funds1 as of Mar 30, 2015

Mar 22, 20121 then

RAUM -58% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2015; 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: $8.9MderivedRAUM 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: -58%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 vehicles, portfolio management for investment companiesreportedItem 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)
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)

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: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M••••••••• M•••••• L•••	Hedge Fund	$16.3M	23	Mar 22, 2012
M••••••••• F•••• L•••no longer reported	Hedge Fund	$10.8M	13	Nov 11, 2011

Owners and control persons

Schedule A and B, latest filing

B••••• M••• · Managing Membercontrol
since 09/2011 · owns 75% or more
R••••••• D••••• A•••• · Chief Compliance Officer, Director Of Operationscontrol
since 09/2013 · owns less than 5%

Related persons

Schedule D 7.A

M••••••••• P•••••••• L••
pooled vehicle sponsorn
M••••••••• •••• G•• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Mar 31, 2014 to Mar 30, 2015
Employees · 3 to 2
Mar 31, 2014 to Mar 30, 2015
HQ city · NEWPORT BEACH to IRVINE
Mar 31, 2014 to Mar 30, 2015
Discretionary RAUM · $63.8M to $26.8M
Mar 31, 2014 to Mar 30, 2015
RAUM · $63.8M to $26.8M
Mar 31, 2014 to Mar 30, 2015
Assets in custody · unset to 0.0
Feb 13, 2013 to Mar 31, 2014
Private funds · 2 to 1
Feb 13, 2013 to Mar 31, 2014
Discretionary RAUM · $37.1M to $63.8M
Feb 13, 2013 to Mar 31, 2014
RAUM · $37.1M to $63.8M
Feb 13, 2013 to Mar 31, 2014
Advisory employees · unset to 2.0
Apr 25, 2012 to Feb 13, 2013
BD registered reps · unset to 0.0
Apr 25, 2012 to Feb 13, 2013
Employees · unset to 3.0
Apr 25, 2012 to Feb 13, 2013
State-registered IARs · unset to 0.0
Apr 25, 2012 to Feb 13, 2013
Discretionary RAUM · $19.5M to $37.1M
Apr 25, 2012 to Feb 13, 2013
RAUM · $19.5M to $37.1M
Apr 25, 2012 to Feb 13, 2013
Private funds · 1 to 2
Mar 22, 2012 to Apr 25, 2012
Accounts · 0 to 4
Nov 17, 2011 to Mar 22, 2012
Advisory activities · 1 to 2
Nov 17, 2011 to Mar 22, 2012
Discretionary RAUM · $0 to $19.5M
Nov 17, 2011 to Mar 22, 2012
RAUM · $0 to $19.5M
Nov 17, 2011 to Mar 22, 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