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

D••••••••• E••••• L•

Former SEC-registered adviserTampa, FloridaCRD 166732SEC 801-77611IAPD
Latest filing Mar 29, 2022
First filing on the tape Jan 29, 2013 · 18 filings
RAUM
$88.3M
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
181
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$88.3M as of Mar 29, 2022
Mar 28, 2014$39.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20140 then
Employees (5.A)181 as of Mar 29, 2022
Mar 28, 201445 then
Private funds: no history
RAUM -0.1% over the last fiscal year-1.6% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 29, 2022; 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
$29.4MderivedRAUM 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
-0.1%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$88.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• H••••• V••• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • E•••• J•••• L•••• · Executive Committeecontrol
        since 08/2020 · owns less than 5%
      • G•••• Y••••• E• · Chief Compliance Officer, Executive Committeecontrol
        since 03/2018 · owns less than 5%
      • G•••••••• J••••••• E••••• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • L••••••• E•••• A•••• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • M••••• C••••• L•• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • R•••••• R•••••• R••••• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • S•••• A•• I••• C••• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • S••••••• J••••••• J••• · Executive Committeecontrol
        since 04/2016 · owns less than 5%
      • T••••••• P••••••• A•••• · Executive Committeecontrol
        since 03/2018 · owns less than 5%
      • V•• E••••• B••••••• R••• · Executive Committeecontrol
        since 01/2013 · owns less than 5%
      • C••••• H••••• V••• · Membercontrol
        since 03/2015 · owns 25% to 50% of R•• G•••• L••
      • G•••••••• J••••••• E• · Limited Partnercontrol
        since 01/2013 · owns 75% or more of D••••••••• H••••••• L•
      • L••••••• E•••• A•••• · Membercontrol
        since 03/2015 · owns 25% to 50% of R•• G•••• L••
      • R•••••• R•••••• R••••• · Membercontrol
        since 03/2015 · owns 25% to 50% of R•• G•••• L••
      Entity owners
      • D••••••••• C•••••• G• L•• · General Partner
        direct · owns less than 5%
      • D••••••••• E•• L•• · Limited Partner
        direct · owns 25% to 50%
      • D••••••••• H••••••• L• · Limited Partner
        direct · owns 50% to 75%
      • D••••••••• C•••••• G• L•• · General Partner
        indirect · owns F of D••••••••• H••••••• L•
      • R•• G•••• L•• · General Partner
        indirect · owns 25% to 50% of D••••••••• E•• L••
      Related persons
      Schedule D 7.A
      • D••••••••• C•••••• L•
        investment adviserbanknRAUM $93B
      • D••••••••• C••• F••• G• L••
        pooled vehicle sponsorn
      • D••••••••• M••••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • D••••••••• O••••••••• I••••• G• L••
        pooled vehicle sponsorn
      Advisers that list D••••••••• E••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA5 employees
      • Glendale, CA
      What changed
      consecutive filings, newest first
      • BD registered reps · 42 to 41
        Jan 11, 2022 to Mar 29, 2022
      • Employees · 160 to 181
        Jan 11, 2022 to Mar 29, 2022
      • Discretionary RAUM · $88.4M to $88.3M
        Jan 11, 2022 to Mar 29, 2022
      • RAUM · $88.4M to $88.3M
        Jan 11, 2022 to Mar 29, 2022
      • HQ city · GLENDALE to TAMPA
        Mar 26, 2021 to Jan 11, 2022
      • HQ state · CA to FL
        Mar 26, 2021 to Jan 11, 2022
      • Other offices · 1 to 2
        Mar 26, 2021 to Jan 11, 2022
      • BD registered reps · 43 to 42
        Aug 18, 2020 to Mar 26, 2021
      • Discretionary RAUM · $93.2M to $88.4M
        Aug 18, 2020 to Mar 26, 2021
      • RAUM · $93.2M to $88.4M
        Aug 18, 2020 to Mar 26, 2021
      • BD registered reps · 38 to 43
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 117 to 160
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $92.7M to $93.2M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $92.7M to $93.2M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 2 to 3
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 5 to 6
        Mar 29, 2018 to Mar 29, 2019
      • BD registered reps · 34 to 38
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 100 to 117
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $27.0M to $92.7M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $27.0M to $92.7M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 1 to 2
        Sep 22, 2017 to Mar 29, 2018
      • BD registered reps · 28 to 34
        Sep 22, 2017 to Mar 29, 2018
      • Employees · 94 to 100
        Sep 22, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Sep 22, 2017 to Mar 29, 2018
      • Discretionary RAUM · $12.9M to $27.0M
        Sep 22, 2017 to Mar 29, 2018
      • RAUM · $12.9M to $27.0M
        Sep 22, 2017 to Mar 29, 2018
      • Advisory employees · 3 to 5
        May 20, 2016 to Mar 30, 2017
      • BD registered reps · 11 to 28
        May 20, 2016 to Mar 30, 2017
      • Employees · 78 to 94
        May 20, 2016 to Mar 30, 2017
      • HQ city · LOS ANGELES to GLENDALE
        May 20, 2016 to Mar 30, 2017
      • Discretionary RAUM · $11.6M to $12.9M
        May 20, 2016 to Mar 30, 2017
      • RAUM · $11.6M to $12.9M
        May 20, 2016 to Mar 30, 2017
      • Discretionary RAUM · $11.5M to $11.6M
        Mar 30, 2016 to May 20, 2016
      • RAUM · $11.5M to $11.6M
        Mar 30, 2016 to May 20, 2016
      • Accounts · 3 to 1
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 6 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 4 to 1
        Mar 31, 2015 to Mar 30, 2016
      • BD registered reps · 20 to 11
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 55 to 78
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $8.6M to $11.5M
        Mar 31, 2015 to Mar 30, 2016
      Signals
      8 dated events
      • Ann Leticia Acosta (Executive Committee) no longer on Schedule A of D••••••••• E••••• L• (listed 2020-03-30, absent 2020-08-18)
        Aug 18, 2020 · Control person left · inference
      • Lynea Joan Elam (Executive Committee) appeared on Schedule A of D••••••••• E••••• L•
        Aug 18, 2020 · Control person joined · fact
      • Charles Louis Lucido (Executive Committee) no longer on Schedule A of D••••••••• E••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Alan Philip Barach (Executive Committee) no longer on Schedule A of D••••••••• E••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • John Joseph Galligan (Executive Committee) no longer on Schedule A of D••••••••• E••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Elpidio Ignacio Sosa (Executive Committee) no longer on Schedule A of D••••••••• E••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Wayne Mark Christensen (Executive Committee) no longer on Schedule A of D••••••••• E••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • D••••••••• E••••• L• filed its initial SEC registration (Form ADV)
        Jan 29, 2013 · 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