DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

Q•••••• E••••••••• L••

Former SEC-registered adviserWhittier, CaliforniaCRD 161197SEC 801-107349IAPD

Latest filing Mar 23, 2023

First filing on the tape Apr 4, 2012 · 20 filings

RAUM

$147M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

100%

$147M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$147M as of Mar 23, 2023

Mar 31, 2017$114M then

HNW client RAUM$124M as of Mar 23, 2023

Mar 14, 2018$124M then

State-registered IARs (5.B.3)6 as of Mar 23, 2023

Mar 31, 20176 then

Employees (5.A)6 as of Mar 23, 2023

Mar 31, 20176 then

Private funds: no history

RAUM -22% over the last fiscal year+0.2% a year over threeIARs 6 to 6

Practice profile

derived from the filing of Mar 23, 2023; every figure names its basis

RAUM per advisor: $24.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 32derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $758,486derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $147MreportedItem 5.I
Custody: $3.8M, 4 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$124M84%
Individuals$23.5M16%

Individual clients: 79reported
HNW clients: 115reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 194reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $3.8M for 4 clientsreported
Compensation: % of AUMreported
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

S•••••• L••••••• M•••••• to C••••• I••••••••• A••••••• L••
Nov 22, 2023 · RIA to affiliated broker-dealer or bank
B•••• S•••••• H••••• to C••••• I••••••••• A••••••• L••
Nov 22, 2023 · RIA to affiliated broker-dealer or bank
C••••••••• J•••• G••••• to C••••• I••••••••• A••••••• L••
Nov 22, 2023 · RIA to affiliated broker-dealer or bank
K•••• J••••• B•••••• to C••••• I••••••••• A••••••• L••
Nov 22, 2023 · RIA to affiliated broker-dealer or bank
D•••••• M•••••• R•••• to C••••• I••••••••• A••••••• L••
Nov 22, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

none on the tape

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 left for C••••• I••••••••• A••••••• L••
Nov 22, 2023 · Whittier, Ca · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• K••••• J••••• · Managing Member & Chief Compliance Officercontrol
since 04/2012 · owns 10% to 25%
M••••••• H••••••• N••••• · Managing Membercontrol
since 04/2012 · owns 75% or more
R••••• D••••••• M•••••• · Membercontrol
since 04/2012 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Whittier, Ca · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 200 to 194
Feb 9, 2022 to Mar 23, 2023
HNW clients · 111 to 115
Feb 9, 2022 to Mar 23, 2023
Individual clients · 85 to 79
Feb 9, 2022 to Mar 23, 2023
Assets in custody · $7.7M to $3.8M
Feb 9, 2022 to Mar 23, 2023
Discretionary RAUM · $149M to $144M
Feb 9, 2022 to Mar 23, 2023
HNW RAUM · $157M to $124M
Feb 9, 2022 to Mar 23, 2023
Individual RAUM · $30.9M to $23.5M
Feb 9, 2022 to Mar 23, 2023
Non-discretionary RAUM · $38.6M to $2.9M
Feb 9, 2022 to Mar 23, 2023
RAUM · $188M to $147M
Feb 9, 2022 to Mar 23, 2023
Related broker-dealer · true to false
Feb 9, 2022 to Mar 23, 2023
Accounts · 182 to 200
Feb 3, 2021 to Feb 9, 2022
HNW clients · 51 to 111
Feb 3, 2021 to Feb 9, 2022
Individual clients · 59 to 85
Feb 3, 2021 to Feb 9, 2022
Assets in custody · $6.1M to $7.7M
Feb 3, 2021 to Feb 9, 2022
Discretionary RAUM · $130M to $149M
Feb 3, 2021 to Feb 9, 2022
HNW RAUM · $126M to $157M
Feb 3, 2021 to Feb 9, 2022
Individual RAUM · $37.1M to $30.9M
Feb 3, 2021 to Feb 9, 2022
Non-discretionary RAUM · $33.4M to $38.6M
Feb 3, 2021 to Feb 9, 2022
RAUM · $163M to $188M
Feb 3, 2021 to Feb 9, 2022
Related broker-dealer · false to true
Feb 3, 2021 to Feb 9, 2022
Accounts · 171 to 182
Oct 21, 2020 to Feb 3, 2021
Advisory activities · 2 to 1
Oct 21, 2020 to Feb 3, 2021
HNW clients · 35 to 51
Oct 21, 2020 to Feb 3, 2021
Individual clients · 66 to 59
Oct 21, 2020 to Feb 3, 2021
Assets in custody · $4.6M to $6.1M
Oct 21, 2020 to Feb 3, 2021
Financial planning clients · 0 to unset
Oct 21, 2020 to Feb 3, 2021
Discretionary RAUM · $113M to $130M
Oct 21, 2020 to Feb 3, 2021
HNW RAUM · $111M to $126M
Oct 21, 2020 to Feb 3, 2021
Individual RAUM · $35.3M to $37.1M
Oct 21, 2020 to Feb 3, 2021
Non-discretionary RAUM · $33.2M to $33.4M
Oct 21, 2020 to Feb 3, 2021
RAUM · $146M to $163M
Oct 21, 2020 to Feb 3, 2021
Advisory activities · 1 to 2
Oct 14, 2020 to Oct 21, 2020
Advisory activities · 2 to 1
Jun 24, 2020 to Oct 14, 2020
Accounts · 168 to 171
Feb 14, 2019 to Mar 18, 2020
HNW clients · 88 to 35
Feb 14, 2019 to Mar 18, 2020
Individual clients · 13 to 66
Feb 14, 2019 to Mar 18, 2020
Assets in custody · $1.8M to $4.6M
Feb 14, 2019 to Mar 18, 2020
Discretionary RAUM · $92.3M to $113M
Feb 14, 2019 to Mar 18, 2020
HNW RAUM · $125M to $111M
Feb 14, 2019 to Mar 18, 2020
Individual RAUM · $3.8M to $35.3M
Feb 14, 2019 to Mar 18, 2020

Signals

7 dated events

C••••••••• J•••• G••••• left Q•••••• E••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Nov 22, 2023 · Advisor changed firm · fact
K•••• J••••• B•••••• left Q•••••• E••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Nov 22, 2023 · Advisor changed firm · fact
Q•••••• E••••••••• L••'s advisors moved to C••••• I••••••••• A••••••• L•• (Whittier, CA): 5 of 5 registered, on the same day
Nov 22, 2023 · Firm absorbed (people side) · derived
S•••••• L••••••• M•••••• left Q•••••• E••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Nov 22, 2023 · Advisor changed firm · fact
B•••• S•••••• H••••• left Q•••••• E••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Nov 22, 2023 · Advisor changed firm · fact
D•••••• M•••••• R•••• left Q•••••• E••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Nov 22, 2023 · Advisor changed firm · fact
Q•••••• E••••••••• L•• filed its initial SEC registration (Form ADV)
Feb 23, 2016 · First SEC registration · fact

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