DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•••• F••• A•••••••• L••

No RAUM reportedLos Angeles, CaliforniaCRD 167905SEC 801-79814websiteIAPD
Latest filing Jul 6, 2026
First filing on the tape May 20, 2014 · 30 filings
SEC status approved since Jun 9, 2014
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
38 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$0 as of Jul 6, 2026
Jan 30, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 6, 2026
Mar 25, 20150 then
Employees (5.A)55 as of Jul 6, 2026
Mar 25, 20159 then
Private funds1 as of Jul 6, 2026
Mar 6, 20261 then
RAUM n/a over the last fiscal yearIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Jul 6, 2026; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
pension consulting, educational seminars, otherreportedItem 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
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourly, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      • K•••••••• G••• · Chairmancontrol
        since 04/2013 · owns less than 5%
      • M•••••• T••••• · Senior Managing Director, Ceocontrol
        since 01/2016 · owns less than 5%
      • C••••••• C•••• · Cco
        since 09/2023 · owns less than 5%
      Entity owners
      • R••••• C•••••• L••••• • C••• L•• · Direct Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list R•••• F••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Bethesda, MD5 employees
      • Denver, CO4 employees
      What changed
      consecutive filings, newest first
      • Employees · 52 to 55
        Apr 7, 2026 to Jul 6, 2026
      • Other offices · 2 to 3
        Jan 22, 2026 to Mar 6, 2026
      • Private funds · unset to 1
        Jan 22, 2026 to Mar 6, 2026
      • Employees · 45 to 52
        May 16, 2025 to Jan 22, 2026
      • Financial planning clients · unset to
        Jan 30, 2025 to May 16, 2025
      • Accounts · unset to 0.0
        May 7, 2024 to Jan 30, 2025
      • Employees · 43 to 45
        May 7, 2024 to Jan 30, 2025
      • Discretionary RAUM · unset to 0.0
        May 7, 2024 to Jan 30, 2025
      • Non-discretionary RAUM · unset to 0.0
        May 7, 2024 to Jan 30, 2025
      • RAUM · unset to 0.0
        May 7, 2024 to Jan 30, 2025
      • Advisory employees · 37 to 38
        Sep 6, 2023 to Jan 8, 2024
      • Employees · 41 to 43
        Sep 6, 2023 to Jan 8, 2024
      • Advisory employees · 32 to 37
        Apr 4, 2022 to Jan 13, 2023
      • Advisory activities · 2 to 3
        Apr 4, 2022 to Jan 13, 2023
      • Employees · 32 to 41
        Apr 4, 2022 to Jan 13, 2023
      • Other offices · 1 to 2
        Jan 26, 2022 to Apr 4, 2022
      • Advisory employees · 19 to 32
        Mar 24, 2020 to Dec 22, 2020
      • Employees · 20 to 32
        Mar 24, 2020 to Dec 22, 2020
      • Advisory employees · 14 to 19
        Oct 31, 2019 to Dec 11, 2019
      • Employees · 14 to 20
        Oct 31, 2019 to Dec 11, 2019
      • HQ city · BETHESDA to LOS ANGELES
        Jul 30, 2019 to Oct 31, 2019
      • HQ state · MD to CA
        Jul 30, 2019 to Oct 31, 2019
      • Advisory employees · 20 to 14
        Mar 30, 2018 to Mar 11, 2019
      • Employees · 21 to 14
        Mar 30, 2018 to Mar 11, 2019
      • Advisory employees · 16 to 20
        Dec 7, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Dec 7, 2017 to Mar 30, 2018
      • Employees · 17 to 21
        Dec 7, 2017 to Mar 30, 2018
      • Advisory employees · 14 to 16
        Mar 31, 2017 to Nov 15, 2017
      • Employees · 15 to 17
        Mar 31, 2017 to Nov 15, 2017
      • Other offices · unset to 1.0
        Mar 31, 2017 to Nov 15, 2017
      • Advisory employees · 20 to 14
        Aug 25, 2016 to Mar 31, 2017
      • Business name · R•••• I••••••••• A••••••• S•••••••• L•• to R•••• F••• A•••••••• L••
        Aug 25, 2016 to Mar 31, 2017
      • Employees · 20 to 15
        Aug 25, 2016 to Mar 31, 2017
      • Legal name · R•••• I••••••••• A••••••• S•••••••• L•• to R•••• F••• A•••••••• L••
        Aug 25, 2016 to Mar 31, 2017
      • Advisory employees · 9 to 20
        Mar 25, 2015 to Mar 21, 2016
      • Employees · 9 to 20
        Mar 25, 2015 to Mar 21, 2016
      • Advisory employees · 7 to 9
        Sep 26, 2014 to Mar 25, 2015
      • Employees · 7 to 9
        Sep 26, 2014 to Mar 25, 2015
      Signals
      8 dated events
      • Jose Lesaca Marianito Ereso (Cco) no longer on Schedule A of R•••• F••• A•••••••• L•• (listed 2023-09-06, absent 2024-01-08)
        Jan 8, 2024 · Control person left · inference
      • Jose Lesaca Marianito Ereso (Cco) appeared on Schedule A of R•••• F••• A•••••••• L••
        Dec 22, 2020 · Control person joined · fact
      • Seth Gordon Levy (Chief Compliance Officer) no longer on Schedule A of R•••• F••• A•••••••• L•• (listed 2020-03-24, absent 2020-12-22)
        Dec 22, 2020 · Control person left · inference
      • Eira Helen Webb (Chief Compliance Officer) no longer on Schedule A of R•••• F••• A•••••••• L•• (listed 2020-02-28, absent 2020-03-24)
        Mar 24, 2020 · Control person left · inference
      • Seth Gordon Levy (Chief Compliance Officer) appeared on Schedule A of R•••• F••• A•••••••• L••
        Mar 24, 2020 · Control person joined · fact
      • Eira Helen Webb (Chief Compliance Officer) appeared on Schedule A of R•••• F••• A•••••••• L••
        Feb 28, 2020 · Control person joined · fact
      • Seth Gordon Levy (Chief Compliance Officer) appeared on Schedule A of R•••• F••• A•••••••• L••
        Mar 11, 2019 · Control person joined · fact
      • R•••• I••••••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
        May 20, 2014 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      r••••.comreportedpublic record, Form ADV, Jul 6, 2026
      Principal office phone
      310-817-6474reportedpublic record, Form ADV, Jul 6, 2026
      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
      No RAUM reportedderiveda 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