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

E•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCrystal Bay, NevadaCRD 161668SEC 801-100485IAPD
Latest filing Apr 28, 2023
First filing on the tape Jun 29, 2015 · 28 filings
RAUM
$646M
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
13
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
$688M gross assets
History
28 filings and snapshots on the tape
RAUM$646M as of Mar 29, 2023
Mar 29, 2016$414M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 29, 20160 then
Employees (5.A)13 as of Mar 29, 2023
Mar 29, 201613 then
Private funds3 as of Mar 29, 2023
Mar 29, 20168 then
RAUM -10% over the last fiscal year+25% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Apr 28, 2023; 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
$108MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
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
  • 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$646M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
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
      22 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• A••••••• R••••• M••••• F•••Hedge Fund$490M109Mar 31, 2022
      E••••••• S••••••••• L•Hedge Fund$150M1Mar 29, 2019
      G••••• O••••••••• F••• L••• S••• S••••••••• P•••••••• E•••no longer reportedHedge Fund$48.4M1Mar 29, 2016
      J•••• O••••••••• M••••• F••• L•••Hedge Fund$47.7M2Mar 29, 2016
      G••••• O••••••••• F••• L••• S••• S••••••••• P•••••••• E•••no longer reportedHedge Fund$26.8M2Apr 28, 2014
      E•••••••• T••••••••• M•••• A•• T••••••••• F•••no longer reportedHedge Fund$19.8M15Mar 29, 2019
      E•• S••••• F••• L•no longer reportedHedge Fund$13.2M10Dec 9, 2016
      E•••••••• S•••••• O••••••••• L••• I• S••• S••••••••• P•••••••• B•no longer reportedHedge Fund$10.3M17Mar 31, 2015
      C•••••• R• L••Hedge Fund$9.1M3Mar 25, 2021
      E•••••••• L•••••••• I••••• F••• L•no longer reportedHedge Fund$8.9M75Mar 31, 2015
      E•••••••• I••••• M••••• F••• L•••no longer reportedHedge Fund$7.5M351Apr 28, 2014
      G••••• A••••••••• F•••no longer reportedHedge Fund$6.5M33Mar 30, 2018
      E•••••••• L•••••••• I••••• F••• L••no longer reportedHedge Fund$6.1M29Mar 31, 2015
      E•••••••• S•••••• O••••••••• F••• L••• I•no longer reportedHedge Fund$6.0M2Apr 28, 2014
      E•••••••• C••••••• L•••••• F••• L•no longer reportedHedge Fund$4.7M29Apr 28, 2014
      E•• S••••• F••• L•••no longer reportedHedge Fund$4.5M3Dec 9, 2016
      F•••••• G••••• P••••••• F••• L••• S••• S••••••••• P•••••••• A•no longer reportedHedge Fund$3.6M1Mar 30, 2018
      E•••••••• S•••••• O••••••••• L••• I• S••• S••••••••• P•••••••• D•no longer reportedHedge Fund$3.1M9Dec 9, 2016
      E•• F•••Hedge Fund$2.4M1Dec 9, 2016
      E•••••••• S•••••• O••••••••• L••• I• S••• S••••••••• P•••••••• C•no longer reportedHedge Fund$425,10417Jun 29, 2015
      E•••••••• S•••••• O••••••••• L••• I• S••• S••••••••• P•••••••• E•no longer reportedHedge Fund$155,7014Mar 30, 2018
      E•••••••• S•••••• O••••••••• L••• I• S••• S••••••••• P•••••••• A•no longer reportedHedge Fund$54,4381Dec 9, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• A•••••• J••• · Chief Financial Officercontrol
        since 04/2014 · owns less than 5%
      • C•••••••• R••••••• G••••• · Chief Executive Officercontrol
        since 08/2005 · owns less than 5%
      • L••••• M••••••• L•• · Chief Investment Officer And Ownercontrol
        since 08/2002 · owns 75% or more
      • T•••• G•••••• H•• W•• · General Counsel And Chief Compliance Officercontrol
        since 11/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•• C•••••• M••••••••• A••• L••••••
        investment advisern
      • E•• I••••••••• S••••••••• I•••
        investment advisern
      • E•••••••• J•••• A•••• M••••••••• C••• L•••
        investment advisern
      • E•••••••• J•••• S••••••••• C••• L•••
        broker-dealercustodiann
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      • Los Angeles, CA
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $646M to $646M
        Mar 29, 2023 to Apr 28, 2023
      • Pooled vehicle RAUM · $646M to $646M
        Mar 29, 2023 to Apr 28, 2023
      • RAUM · $646M to $646M
        Mar 29, 2023 to Apr 28, 2023
      • Accounts · 8 to 6
        Oct 10, 2022 to Mar 29, 2023
      • Pooled vehicle clients · 8 to 6
        Oct 10, 2022 to Mar 29, 2023
      • Other offices · 1 to 2
        Oct 10, 2022 to Mar 29, 2023
      • Private funds · 5 to 3
        Oct 10, 2022 to Mar 29, 2023
      • Discretionary RAUM · $639M to $646M
        Oct 10, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $639M to $646M
        Oct 10, 2022 to Mar 29, 2023
      • RAUM · $639M to $646M
        Oct 10, 2022 to Mar 29, 2023
      • Discretionary RAUM · $719M to $639M
        Mar 31, 2022 to Apr 28, 2022
      • Pooled vehicle RAUM · $719M to $639M
        Mar 31, 2022 to Apr 28, 2022
      • RAUM · $719M to $639M
        Mar 31, 2022 to Apr 28, 2022
      • Accounts · 7 to 8
        Apr 23, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 7 to 8
        Apr 23, 2021 to Mar 31, 2022
      • Employees · 12 to 13
        Apr 23, 2021 to Mar 31, 2022
      • Private funds · 6 to 5
        Apr 23, 2021 to Mar 31, 2022
      • Discretionary RAUM · $285M to $719M
        Apr 23, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $285M to $719M
        Apr 23, 2021 to Mar 31, 2022
      • RAUM · $285M to $719M
        Apr 23, 2021 to Mar 31, 2022
      • Accounts · 6 to 7
        Jul 2, 2020 to Mar 25, 2021
      • Pooled vehicle clients · 6 to 7
        Jul 2, 2020 to Mar 25, 2021
      • Employees · 9 to 12
        Jul 2, 2020 to Mar 25, 2021
      • Other offices · 2 to 1
        Jul 2, 2020 to Mar 25, 2021
      • Private funds · 5 to 6
        Jul 2, 2020 to Mar 25, 2021
      • Discretionary RAUM · $228M to $285M
        Jul 2, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $228M to $285M
        Jul 2, 2020 to Mar 25, 2021
      • RAUM · $228M to $285M
        Jul 2, 2020 to Mar 25, 2021
      • HQ city · SANTA MONICA to CRYSTAL BAY
        Apr 22, 2020 to Jul 2, 2020
      • HQ state · CA to NV
        Apr 22, 2020 to Jul 2, 2020
      • Discretionary RAUM · $328M to $228M
        Mar 17, 2020 to Apr 22, 2020
      • Pooled vehicle RAUM · $328M to $228M
        Mar 17, 2020 to Apr 22, 2020
      • RAUM · $328M to $228M
        Mar 17, 2020 to Apr 22, 2020
      • Accounts · 11 to 6
        Nov 5, 2019 to Mar 17, 2020
      • Advisory employees · 4 to 2
        Nov 5, 2019 to Mar 17, 2020
      • Pooled vehicle clients · 11 to 6
        Nov 5, 2019 to Mar 17, 2020
      • Insurance-licensed employees · 1 to 0
        Nov 5, 2019 to Mar 17, 2020
      • State-registered IARs · 1 to 0
        Nov 5, 2019 to Mar 17, 2020
      • Other offices · 3 to 2
        Nov 5, 2019 to Mar 17, 2020
      • Private funds · 9 to 5
        Nov 5, 2019 to Mar 17, 2020
      Signals
      2 dated events
      • E•••••••• C•••••• M••••••••• L•• reported RAUM $719.2M, up 153% from $284.7M (2021-04-23 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • E•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 29, 2015 · First SEC registration · fact
      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