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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
T•• E•••••••• A•••••••• M••••••••• I•••
Latest filing Apr 30, 2019
First filing on the tape Apr 10, 2017 · 8 filings
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$51.1M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$204M as of Mar 31, 2019
Mar 27, 2018$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2019
Mar 27, 20184 then
Employees (5.A)4 as of Mar 31, 2019
Mar 27, 20184 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Apr 30, 2019; every figure names its basis
- RAUM per advisor
- $51.1MderivedRAUM 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
- $204MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $204M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pooled investment vehicles$204M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $204M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• R••••• A•••• | Santa Monica, Ca | Sep 26, 2025 | 17 y | 0 |
| M•••••• A•••••• S••••• | Santa Monica, Ca | Oct 9, 2025 | 26 y | 1 |
| D••••• •••• Z•••••••• | Santa Monica, Ca | Oct 27, 2025 | 17 y | 0 |
| J•••• •••• B•••••• | Santa Monica, Ca | Nov 3, 2025 | 17 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• A•••••• S••••• from R•••••• C•••••• M•••••••••Oct 9, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••• R••••• · Vice Presidentcontrolsince 06/2009 · owns 25% to 50%
- B••••••• J••••• •••• · Vice Presidentcontrolsince 06/2009 · owns 25% to 50%
- S•••••• M••••••• A•••••• · Vice Presidentcontrolsince 06/2009 · owns 25% to 50%
- Z••••••••• D•••••• •••• · President And Chief Compliance Officercontrolsince 06/2009 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $187M to $204MMar 6, 2019 to Mar 31, 2019
- Discretionary RAUM · $187M to $204MMar 6, 2019 to Mar 31, 2019
- Pooled vehicle RAUM · $187M to $204MMar 6, 2019 to Mar 31, 2019
- RAUM · $187M to $204MMar 6, 2019 to Mar 31, 2019
- Assets in custody · $170M to $187MMar 27, 2018 to Mar 6, 2019
- Discretionary RAUM · $170M to $187MMar 27, 2018 to Mar 6, 2019
- Pooled vehicle RAUM · $170M to $187MMar 27, 2018 to Mar 6, 2019
- RAUM · $170M to $187MMar 27, 2018 to Mar 6, 2019
- Pooled vehicle clients · unset to 1.0Apr 21, 2017 to Mar 27, 2018
- Assets in custody · $127M to $170MApr 21, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Apr 21, 2017 to Mar 27, 2018
- Discretionary RAUM · $127M to $170MApr 21, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 169820000.0Apr 21, 2017 to Mar 27, 2018
- RAUM · $127M to $170MApr 21, 2017 to Mar 27, 2018
Signals
1 dated events
- T•• E•••••••• A•••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 10, 2017 · 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
- $51.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026