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I••••••••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· Los Angeles, California

Former SEC-registered adviser, based in Los Angeles, California, reporting $492M of regulatory assets.

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

As of 2016-02-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $492M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +1.7%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2016-02-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 16 Form ADV filings for this adviser, the latest 10.8 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 164895 · SEC 801-76966 · 16 filingsShow

CRD 164895SEC 801-76966First filing on the tape Jul 23, 2012, latest Feb 4, 2016IAPD

RAUM

$492M

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

$445M gross assets

History

16 filings and snapshots on the tape

RAUM$175M as of Mar 27, 2015

Mar 14, 2013$204M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2015

Mar 14, 20130 then

Employees (5.A)4 as of Mar 27, 2015

Mar 14, 20139 then

Private funds1 as of Mar 27, 2015

Mar 14, 20131 then

RAUM +1.7% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Feb 4, 2016; 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: $82.0MderivedRAUM 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: -64%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 individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody: $74.8M, 3 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)
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)
an independent public accountant performs a surprise examination (9.C.1)

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: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $74.8M for 3 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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• T•••• A•••• · Managing Member, Cio And Ceocontrol
since 06/2012 · owns 75% or more
S••••• I••• C•••• · Chief Compliance Officer And Chief Financial Officercontrol
since 01/2016 · owns less than 5%

Related persons

Schedule D 7.A

I••••••••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Related adviser · true to false
Nov 13, 2015 to Feb 4, 2016
Related broker-dealer · true to false
Nov 13, 2015 to Feb 4, 2016
Employees · 4 to 3
Aug 18, 2015 to Nov 13, 2015
Accounts · 4 to 6
Mar 27, 2015 to Aug 18, 2015
Assets in custody · $0 to $74.8M
Mar 27, 2015 to Aug 18, 2015
Private funds · 1 to 2
Mar 27, 2015 to Aug 18, 2015
Discretionary RAUM · $175M to $492M
Mar 27, 2015 to Aug 18, 2015
RAUM · $175M to $492M
Mar 27, 2015 to Aug 18, 2015
Related adviser · false to true
Mar 27, 2015 to Aug 18, 2015
Related broker-dealer · false to true
Mar 27, 2015 to Aug 18, 2015
Accounts · 5 to 4
Oct 27, 2014 to Mar 27, 2015
Assets in custody · $24.8M to $0
Oct 27, 2014 to Mar 27, 2015
Discretionary RAUM · $296M to $175M
Oct 27, 2014 to Mar 27, 2015
RAUM · $296M to $175M
Oct 27, 2014 to Mar 27, 2015
Assets in custody · $24.1M to $24.8M
Sep 29, 2014 to Oct 27, 2014
Discretionary RAUM · $357M to $296M
Sep 29, 2014 to Oct 27, 2014
RAUM · $357M to $296M
Sep 29, 2014 to Oct 27, 2014
Advisory employees · 5 to 2
Aug 28, 2014 to Sep 29, 2014
Employees · 9 to 4
Aug 28, 2014 to Sep 29, 2014
Discretionary RAUM · $400M to $357M
Aug 28, 2014 to Sep 29, 2014
RAUM · $400M to $357M
Aug 28, 2014 to Sep 29, 2014
Assets in custody · $21.0M to $24.1M
Apr 28, 2014 to Aug 28, 2014
Discretionary RAUM · $372M to $400M
Apr 28, 2014 to Aug 28, 2014
RAUM · $372M to $400M
Apr 28, 2014 to Aug 28, 2014
Discretionary RAUM · $484M to $372M
Mar 20, 2014 to Mar 26, 2014
RAUM · $484M to $372M
Mar 20, 2014 to Mar 26, 2014
Assets in custody · $19.7M to $21.0M
Dec 3, 2013 to Mar 20, 2014
Discretionary RAUM · $204M to $484M
Dec 3, 2013 to Mar 20, 2014
RAUM · $204M to $484M
Dec 3, 2013 to Mar 20, 2014
Accounts · 4 to 5
Nov 26, 2012 to Mar 14, 2013
Advisory activities · 2 to 3
Nov 26, 2012 to Mar 14, 2013
Assets in custody · $19.5M to $19.7M
Nov 26, 2012 to Mar 14, 2013
Employees · 7 to 9
Nov 26, 2012 to Mar 14, 2013
HQ city · unset to LOS ANGELES
Nov 26, 2012 to Mar 14, 2013
HQ state · unset to CA
Nov 26, 2012 to Mar 14, 2013
Discretionary RAUM · $154M to $204M
Nov 26, 2012 to Mar 14, 2013
RAUM · $154M to $204M
Nov 26, 2012 to Mar 14, 2013
Advisory employees · unset to 5.0
Oct 8, 2012 to Nov 26, 2012
BD registered reps · unset to 0.0
Oct 8, 2012 to Nov 26, 2012
Employees · unset to 7.0
Oct 8, 2012 to Nov 26, 2012

Signals

1 dated events

••• Locked
Jul 23, 2012 · 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