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••••• I••••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 166214SEC 801-107673IAPD
Latest filing May 13, 2019
First filing on the tape Apr 4, 2016 · 15 filings
RAUM
$18.9M
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
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$18.9M gross assets
History
15 filings and snapshots on the tape
RAUM$18.9M as of Mar 31, 2019
Mar 31, 2017$142M then
HNW client RAUM$0 as of Mar 31, 2019
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2019
Mar 31, 20170 then
Employees (5.A)2 as of Mar 31, 2019
Mar 31, 20177 then
Private funds2 as of Mar 31, 2019
Mar 31, 20172 then
RAUM -96% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 13, 2019; 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
$9.5MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-96%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
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)
  • 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$18.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••• D••••••••• O••••••••• R••• E••••• F••• I•• L•••Real Estate Fund$1.7M14Apr 4, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• A•••• Y•• · Chief Investment Officercontrol
        since 06/2012 · owns less than 5%
      • S••••• A•••••• E•••••• · Managing Membercontrol
        since 08/2009 · owns 50% to 75%
      • S••••• J••• P••• · Managing Membercontrol
        since 08/2009 · owns 50% to 75%
      • B•••••• S••••• · Cco
        since 03/2018 · owns less than 5%
      • K•••• D•••••• · Cfo
        since 06/2014 · owns less than 5%
      • R•••••• M••••• · Investment Committee Chair
        since 02/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E••••• O••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 0
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 12 to 2
        Mar 30, 2018 to Mar 31, 2019
      • Financial planning clients · unset to 0
        Mar 30, 2018 to Mar 31, 2019
      • HQ city · LOS ANGELES to SANTA MONICA
        Mar 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $530M to $18.9M
        Mar 30, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $530M to $18.9M
        Mar 30, 2018 to Mar 31, 2019
      • RAUM · $530M to $18.9M
        Mar 30, 2018 to Mar 31, 2019
      • Advisory employees · 4 to 5
        May 2, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        May 2, 2017 to Mar 30, 2018
      • Employees · 7 to 12
        May 2, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 2, 2017 to Mar 30, 2018
      • Discretionary RAUM · $523M to $530M
        May 2, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        May 2, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        May 2, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        May 2, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 529634082.0
        May 2, 2017 to Mar 30, 2018
      • RAUM · $523M to $530M
        May 2, 2017 to Mar 30, 2018
      • Discretionary RAUM · $142M to $523M
        Apr 21, 2017 to Apr 28, 2017
      • RAUM · $142M to $523M
        Apr 21, 2017 to Apr 28, 2017
      • Employees · 8 to 7
        Sep 14, 2016 to Mar 31, 2017
      • Discretionary RAUM · $221M to $142M
        Sep 14, 2016 to Mar 31, 2017
      • RAUM · $221M to $142M
        Sep 14, 2016 to Mar 31, 2017
      • Private funds · 4 to 2
        Apr 4, 2016 to Apr 6, 2016
      Signals
      2 dated events
      • E••••• I••••••••• L•• reported RAUM $18.9M, down 96% from $529.6M (2018-03-30 to 2019-03-31)
        Mar 31, 2019 · RAUM change · derived
      • E••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 4, 2016 · 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
      Across the graphs

      E••••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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