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

P••••••• C•••••• P•••••••• L••

Former SEC-registered adviserLaguna Hills, CaliforniaCRD 167159SEC 801-100486IAPD
Latest filing Mar 29, 2019
First filing on the tape Jun 29, 2015 · 7 filings
RAUM
$97.2M
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$97.2M gross assets
History
7 filings and snapshots on the tape
RAUM$97.2M as of Mar 29, 2019
Mar 29, 2016$120M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 29, 20160 then
Employees (5.A)10 as of Mar 29, 2019
Mar 29, 201614 then
Private funds1 as of Mar 29, 2019
Mar 29, 20163 then
RAUM -17% over the last fiscal year-6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$97.2MderivedRAUM 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
-17%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$13,842, 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)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$97.2M100%
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
$13,842 for 1 clientsreported
Compensation
% of AUM, fixedreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• C•••••• F•••• L•Private Equity Fund$23.1M14Mar 18, 2013
      P•• 1• L••Private Equity Fund$21.5M22Mar 31, 2015
      P••••••• A••••••••• G••••• L••Private Equity Fund$26,0009Mar 18, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• R••••••• N••••• · Chief Compliance Officer & Chief Financial Officercontrol
        since 05/2008 · owns less than 5%
      • H•••• J••••• R•••••• · Managing Membercontrol
        since 01/1999 · owns 50% to 75%
      • H••••••••• L•••• J•• · Managing Membercontrol
        since 01/1999 · owns 50% to 75%
      • M••••••• J••••• P•••••• · Partnercontrol
        since 07/2013 · owns less than 5%
      • S•••••••• V•••••• C•••••• · Partner
        since 12/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $54.4M to $13,842
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 3 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $117M to $97.2M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $117M to $97.2M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $117M to $97.2M
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 7
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $65.3M to $54.4M
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $156M to $117M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 117050346.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $156M to $117M
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 11 to 6
        Jan 25, 2017 to Mar 30, 2017
      • Assets in custody · $67.0M to $65.3M
        Jan 25, 2017 to Mar 30, 2017
      • Employees · 14 to 10
        Jan 25, 2017 to Mar 30, 2017
      • Financial planning clients · 1-10 to unset
        Jan 25, 2017 to Mar 30, 2017
      • Discretionary RAUM · $120M to $156M
        Jan 25, 2017 to Mar 30, 2017
      • RAUM · $120M to $156M
        Jan 25, 2017 to Mar 30, 2017
      • Advisory employees · 10 to 11
        Jul 1, 2015 to Mar 29, 2016
      • Assets in custody · $91.0M to $67.0M
        Jul 1, 2015 to Mar 29, 2016
      • Employees · 11 to 14
        Jul 1, 2015 to Mar 29, 2016
      • Discretionary RAUM · $170M to $120M
        Jul 1, 2015 to Mar 29, 2016
      • RAUM · $170M to $120M
        Jul 1, 2015 to Mar 29, 2016
      • Private funds · 6 to 3
        Jun 29, 2015 to Jul 1, 2015
      Signals
      1 dated events
      • P••••••• C•••••• P•••••••• 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