DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••• H•••• C•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Los Angeles, California

Former SEC-registered adviser, based in Los Angeles, California, reporting $59.0M of regulatory assets.

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

Last reported RAUM
$59.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-51%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 160739 · SEC 801-73938 · 14 filingsShow
CRD 160739SEC 801-73938First filing on the tape Feb 14, 2012, latest Mar 23, 2021IAPD
RAUM
$59.0M
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$59.0M gross assets
History
14 filings and snapshots on the tape
RAUM$59.0M as of Mar 23, 2021
Mar 28, 2013$586M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 28, 20130 then
Employees (5.A)3 as of Mar 23, 2021
Mar 28, 201313 then
Private funds1 as of Mar 23, 2021
Mar 28, 20133 then
RAUM -51% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
$29.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-51%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
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$59.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• H•••• S•••••• O••••••••• F••• I••• L•••no longer reportedHedge Fund$8.1M114Feb 14, 2012
      T••• H•••• S•••••• O••••••••• F••• I•• L•••Hedge Fund$4.8M78Feb 14, 2012
      T••• H•••• S•••••• O••••••••• I• L••••••••• T••••no longer reportedOther Private Fund$792,76981Mar 31, 2014
      T••• H•••• S•••••• O••••••••• M••••• F••• I•• L•••no longer reportedHedge Fund$083Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• P•••• L••••••• · Senior Managing Directorcontrol
        since 10/2009 · owns less than 5%
      • W••••••• R•••••• B•••••• · Senior Managing Directorcontrol
        since 10/2009 · owns less than 5%
      • M••••••••• P•••• L••••••• · Trusteecontrol
        since 05/1999 · owns F of T•• P••• A•• V•••••• M•••••••• T••••• D•• 5••••••
      • W••••••• R•••••• B•••••• · Trusteecontrol
        since 12/1996 · owns F of T•• R••••• A•• J•••• W•••••• L••••• T••••• D•• 1••••••
      • V••••• M••••••• D•••• · Chief Compliance Officer , Chief Operating Officer, Chief Financial Officer
        since 11/2009 · owns less than 5%
      Entity owners
      • T•• P••• A•• V•••••• M•••••••• T••••• D•• 5•••••• · Member
        direct · owns 50% to 75%
      • T•• R••••• A•• J•••• W•••••• L••••• T••••• D•• 1•••••• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • T••• H•••• S•••••• O••••••••• P••••••• I•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 30, 2020 to Mar 23, 2021
      • Employees · 4 to 3
        Mar 30, 2020 to Mar 23, 2021
      • Discretionary RAUM · $120M to $59.0M
        Mar 30, 2020 to Mar 23, 2021
      • Pooled vehicle RAUM · $120M to $59.0M
        Mar 30, 2020 to Mar 23, 2021
      • RAUM · $120M to $59.0M
        Mar 30, 2020 to Mar 23, 2021
      • Accounts · 5 to 2
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 4 to 2
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 5 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 2 to 1
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $172M to $120M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $172M to $120M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $172M to $120M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 6 to 5
        May 4, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 3
        May 4, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 5 to 4
        May 4, 2018 to Mar 29, 2019
      • Employees · 7 to 5
        May 4, 2018 to Mar 29, 2019
      • Private funds · 3 to 2
        May 4, 2018 to Mar 29, 2019
      • Discretionary RAUM · $309M to $172M
        May 4, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $309M to $172M
        May 4, 2018 to Mar 29, 2019
      • RAUM · $309M to $172M
        May 4, 2018 to Mar 29, 2019
      • Advisory employees · 7 to 4
        May 2, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 5.0
        May 2, 2017 to Mar 28, 2018
      • Employees · 10 to 7
        May 2, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        May 2, 2017 to Mar 28, 2018
      • Discretionary RAUM · $377M to $309M
        May 2, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 308834592.0
        May 2, 2017 to Mar 28, 2018
      • RAUM · $377M to $309M
        May 2, 2017 to Mar 28, 2018
      • Accounts · 7 to 6
        May 31, 2016 to Mar 29, 2017
      • Employees · 12 to 10
        May 31, 2016 to Mar 29, 2017
      • Discretionary RAUM · $482M to $377M
        May 31, 2016 to Mar 29, 2017
      • RAUM · $482M to $377M
        May 31, 2016 to Mar 29, 2017
      • Advisory employees · 8 to 7
        May 6, 2015 to Mar 30, 2016
      • Employees · 14 to 12
        May 6, 2015 to Mar 30, 2016
      • Discretionary RAUM · $551M to $482M
        May 6, 2015 to Mar 30, 2016
      • RAUM · $551M to $482M
        May 6, 2015 to Mar 30, 2016
      • Accounts · 12 to 7
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 4 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $544M to $551M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $544M to $551M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 11 to 12
        Mar 28, 2013 to Mar 31, 2014
      Signals
      2 dated events
      • ••• Locked
        May 28, 2021 · ria registration change · fact
      • ••• Locked
        Mar 29, 2019 · RAUM change · derived
      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