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

C•••••••• C•••••• A•••• M••••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 167408SEC 801-78493website IAPD

Latest filing May 12, 2025

First filing on the tape Aug 21, 2013 · 23 filings

SEC status approved since Nov 5, 2013

RAUM

$2.1B

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

36 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM$2.1B as of May 12, 2025

Mar 28, 2014$101M then

HNW client RAUM: $10.9M

State-registered IARs (5.B.3)0 as of May 12, 2025

Mar 28, 20140 then

Employees (5.A)44 as of May 12, 2025

Mar 28, 201410 then

Private funds19 as of May 12, 2025

Mar 28, 20142 then

RAUM -48% over the last fiscal year+11% a year over threeIARs 0 to 0offices 2 to 3

Practice profile

derived from the filing of May 12, 2025; 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: $90.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year: -48%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 businesses and institutions, portfolio management for pooled vehicles, 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

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)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.8B89%
Investment companies$186M9.0%
Insurance companies$43.2M2.1%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 23reported
Financial planning clients: reported
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 departure Every arrival

Private funds

27 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
D•••• C•• 1•• L•••	Securitized Asset Fund	$459M	0	Mar 29, 2019
C•••••••• L••• V•••• L•••	Securitized Asset Fund	$399M	0	Feb 2, 2022
C•••••••• L••• V•• L•••	Securitized Asset Fund	$395M	0	Feb 22, 2021
C•••••••• L••• V••• L•••	Securitized Asset Fund	$389M	0	Feb 2, 2022
T••••••• E••• C•• I• D••••••••• A••••••• C••••••	Securitized Asset Fund	$387M	2	Mar 30, 2022
C•••••••• L••• C•• 2•••• L•••	Securitized Asset Fund	$369M	0	Feb 26, 2015
D•••• C•• I• L•••no longer reported	Securitized Asset Fund	$337M	0	Mar 30, 2016
M•• C•• 2•••••• L•••	Securitized Asset Fund	$325M	0	Mar 30, 2022
C•••••••• L••• V• L•••	Securitized Asset Fund	$314M	0	Feb 20, 2019
M•• C•• 2•••••• L•••	Securitized Asset Fund	$271M	0	Mar 30, 2022
T•••• C•• 2•••••• L•••	Securitized Asset Fund	$233M	0	Mar 28, 2014
M••••• S•••••• E••• C•••• D••no longer reported	Securitized Asset Fund	$232M	1	Mar 30, 2022
D•••• C•• I•• L•••no longer reported	Securitized Asset Fund	$222M	0	Mar 30, 2016
M••••• S•••••• E••• C••••• D••••••••• A••••••• C••••••no longer reported	Other Private Fund	$115M	1	Mar 30, 2022
T•••• C•• 2•••••• L•••	Securitized Asset Fund	$100M	0	Mar 30, 2015
T••••••• C•• V• L•••no longer reported	Other Private Fund	$98.6M	2	Mar 30, 2016
T•••• C•• 2•••••• L•••	Securitized Asset Fund	$60.9M	0	Mar 28, 2013
W•••••••• T••••••• C••••• O••••••••• M••••• F••• I• L•	Other Private Fund	$55.6M	86	Mar 30, 2022
W•••••••• T••••••• C••••• O••••••••• I• L••no longer reported	Securitized Asset Fund	$45.3M	72	Mar 31, 2021
T•••••• O••••••••• F••• L•• S••••• B•no longer reported	Other Private Fund	$39.1M	65	Mar 30, 2015
T•••• 2•••••• L•••	Securitized Asset Fund	$32.2M	0	Mar 30, 2015
D•••• C•• 1•• L•••	Securitized Asset Fund	$30.5M	0	Mar 30, 2016
T•••••• C•••• O••••••••• L••no longer reported	Other Private Fund	$14.2M	30	Mar 28, 2014
D•••• C•• 8• L•••	Securitized Asset Fund	$10.0M	0	Mar 31, 2015
W••••••••• I•• L•••	Securitized Asset Fund	$2.4M	0	Mar 31, 2015
T••••••• C•• I•• L•••	Securitized Asset Fund	$1.9M	20	Mar 30, 2015
T••••••• C•• I• L•••	Securitized Asset Fund	$797,075	23	Mar 28, 2014

Owners and control persons

Schedule A and B, latest filing

B•••••• P•••••• R•••••• · Managing Directorcontrol
since 09/2015 · owns less than 5%
C•••••• J•••• F•••••• · Chief Compliance Officercontrol
since 07/2020 · owns less than 5%
M•••••• G•••••• W••••• · Chief Executive Officercontrol
since 02/2013 · owns less than 5%
M•••••• M•••• T••••• · Chief Financial Officercontrol
since 08/2017 · owns less than 5%
E••••••• B••••• · Membercontrol
since 12/2018 · owns 25% to 50% of C•• G•••••• L••
F••••••••• J•••• E•••••• · Membercontrol
since 12/2018 · owns 50% to 75% of C•• G•••••• L••

Entity owners

W••• H••••• L•• · Member
direct · owns 75% or more
C•• G•••••• L•• · Member
indirect · owns 75% or more of C•• O••••••••• L••
C•• O••••••••• L•• · Managing Member
indirect · owns 75% or more of C•••••••• C•••••• G•••• G•• L••
C•••••••• C•••••• G•••• G•• L•• · General Partner
indirect · owns F of C•••••••• S•••••••• P•••••••• L•••
C•••••••• S•••••••• P•••••••• L••• · Member
indirect · owns 75% or more of W••• H••••• L••

Related persons

Schedule D 7.A

T••••••• C•••••• M•••••••••
investment advisernRAUM $20B
W•••••••• T•••••••• C••••• O••••••••• I•• G•• L••
pooled vehicle sponsorn

Advisers that list C•••••••• C•••••• A•••• M••••••••• L•• as a related person

281328 n

Offices

Schedule D 1.F, the 25 largest

Dublin 2, Ireland8 employees
London, United Kingdom

What changed

consecutive filings, newest first

Business name · W•••••••• A•••• M••••••••• L•• to C•••••••• C•••••• A•••• M••••••••• L••
Mar 31, 2025 to May 12, 2025
Financial planning clients · unset to
Mar 31, 2025 to May 12, 2025
HQ city · DALLAS to SANTA MONICA
Mar 31, 2025 to May 12, 2025
HQ state · TX to CA
Mar 31, 2025 to May 12, 2025
Legal name · W•••••••• A•••• M••••••••• L•• to C•••••••• C•••••• A•••• M••••••••• L••
Mar 31, 2025 to May 12, 2025
Other offices · 2 to 3
Mar 31, 2025 to May 12, 2025
Accounts · 20 to 23
May 15, 2024 to Mar 31, 2025
Advisory employees · 32 to 36
May 15, 2024 to Mar 31, 2025
HNW clients · 1.0 to unset
May 15, 2024 to Mar 31, 2025
Pooled vehicle clients · 18 to 19
May 15, 2024 to Mar 31, 2025
Employees · 45 to 44
May 15, 2024 to Mar 31, 2025
Private funds · 18 to 19
May 15, 2024 to Mar 31, 2025
Discretionary RAUM · $4.0B to $2.1B
May 15, 2024 to Mar 31, 2025
HNW RAUM · 10925758.0 to unset
May 15, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $3.8B to $1.8B
May 15, 2024 to Mar 31, 2025
RAUM · $4.0B to $2.1B
May 15, 2024 to Mar 31, 2025
Accounts · 15 to 20
Dec 7, 2023 to Mar 29, 2024
HNW clients · unset to 1.0
Dec 7, 2023 to Mar 29, 2024
Pooled vehicle clients · 11 to 18
Dec 7, 2023 to Mar 29, 2024
Assets in custody · $58.6M to $0
Dec 7, 2023 to Mar 29, 2024
Custody of client assets · true to false
Dec 7, 2023 to Mar 29, 2024
Employees · 40 to 45
Dec 7, 2023 to Mar 29, 2024
Private funds · 11 to 18
Dec 7, 2023 to Mar 29, 2024
Discretionary RAUM · $3.8B to $4.0B
Dec 7, 2023 to Mar 29, 2024
HNW RAUM · unset to 10925758.0
Dec 7, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $3.2B to $3.8B
Dec 7, 2023 to Mar 29, 2024
RAUM · $3.8B to $4.0B
Dec 7, 2023 to Mar 29, 2024
Accounts · 8 to 15
Mar 30, 2022 to Mar 31, 2023
Advisory employees · 28 to 32
Mar 30, 2022 to Mar 31, 2023
Advisory activities · 1 to 3
Mar 30, 2022 to Mar 31, 2023
Pooled vehicle clients · 8 to 11
Mar 30, 2022 to Mar 31, 2023
Assets in custody · $0 to $58.6M
Mar 30, 2022 to Mar 31, 2023
Custody of client assets · false to true
Mar 30, 2022 to Mar 31, 2023
Employees · 32 to 40
Mar 30, 2022 to Mar 31, 2023
Other offices · 1 to 2
Mar 30, 2022 to Mar 31, 2023
Private funds · 8 to 11
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $1.5B to $3.8B
Mar 30, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $1.5B to $3.2B
Mar 30, 2022 to Mar 31, 2023
RAUM · $1.5B to $3.8B
Mar 30, 2022 to Mar 31, 2023
Accounts · 5 to 8
Mar 31, 2021 to Mar 30, 2022

Signals

14 dated events

C•••••••• C•••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $2.1B)
Apr 1, 2026 · Left the SEC roster · derived
C•••••••• C•••••• A•••• M••••••••• L•• reported RAUM $2.1B, down 48% from $4.0B (2024-05-15 to 2025-03-31)
Mar 31, 2025 · RAUM change · derived
C•••••••• C•••••• A•••• M••••••••• L•• reported RAUM $3.8B, up 147% from $1.5B (2022-03-30 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
C•••••••• C•••••• A•••• M••••••••• L•• reported RAUM $1.5B, up 380% from $317.0M (2021-03-31 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
C•••••••• C•••••• A•••• M••••••••• L•• reported RAUM $317.0M, down 33% from $472.2M (2020-07-20 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
Enrique Jose Feliciano (Member) appeared on Schedule A of C•••••••• C•••••• A•••• M••••••••• L••
Mar 31, 2021 · Control person joined · fact
T Bharath Srikrishnan (Member) no longer on Schedule A of C•••••••• C•••••• A•••• M••••••••• L•• (listed 2020-03-30, absent 2020-07-20)
Jul 20, 2020 · Control person left · inference
Herman Howard Newman (Owner) no longer on Schedule A of C•••••••• C•••••• A•••• M••••••••• L•• (listed 2020-03-30, absent 2020-07-20)
Jul 20, 2020 · Control person left · inference
Jay Ethan Wang (Member) no longer on Schedule A of C•••••••• C•••••• A•••• M••••••••• L•• (listed 2020-03-30, absent 2020-07-20)
Jul 20, 2020 · Control person left · inference
Behdad Eghbali (Member) appeared on Schedule A of C•••••••• C•••••• A•••• M••••••••• L••
Jul 20, 2020 · Control person joined · fact
Francis John Cannon (Chief Compliance Officer) appeared on Schedule A of C•••••••• C•••••• A•••• M••••••••• L••
Jul 20, 2020 · Control person joined · fact
C•••••••• C•••••• A•••• M••••••••• L•• reported RAUM $620.9M, down 46% from $1.1B (2018-07-12 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
W•••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 29, 2018 · Succession (Item 4) · fact
T•••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)
Aug 21, 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